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Q-Functions + +Yevgen Chebotar∗, Quan Vuong∗, Alex Irpan, Karol Hausman, Fei Xia, Yao Lu, Aviral Kumar, Tianhe Yu, Alexander Herzog, Karl Pertsch, Keerthana Gopalakrishnan, Julian Ibarz, Ofir Nachum, Sumedh Sontakke, Grecia Salazar, Huong T Tran, Jodilyn Peralta, Clayton Tan, Deeksha Manjunath, Jaspiar Singht, Brianna Zitkovich, Tomas Jackson, Kanishka Rao, Chelsea Finn, Sergey Levine + +Google DeepMind + +Abstract: In this work, we present a scalable reinforcement learning method for training multi-task policies from large offline datasets that can leverage both human demonstrations and autonomously collected data. Our method uses a Transformer to provide a scalable representation for Q-functions trained via offline temporal difference backups. We therefore refer to the method as Q-Transformer. By discretizing each action dimension and representing the Q-value of each action dimension as separate tokens, we can apply effective high-capacity sequence modeling techniques for Q-learning. We present several design decisions that enable good performance with offline RL training, and show that Q-Transformer outperforms prior offline RL algorithms and imitation learning techniques on a large diverse real-world robotic manipulation task suite. The project’s website and videos can be found at qtransformer.github.io + +# 1 Introduction + +Robotic learning methods that incorporate large and diverse datasets in combination with highcapacity expressive models, such as Transformers [1, 2, 3, 4, 5, 6], have the potential to acquire generalizable and broadly applicable policies that perform well on a wide variety of tasks [1, 2]. For example, these policies can follow natural language instructions [4, 7], perform multi-stage behaviors [8, 9], and generalize broadly across environments, objects, and even robot morphologies [10, 3]. However, many of the recently proposed high-capacity models in the robotic learning literature are trained with supervised learning methods. As such, the performance of the resulting policy is limited by the degree to which human demonstrators can provide high-quality demonstration data. This is limiting for two reasons. First, we would like robotic systems that are more proficient than human teleoperators, exploiting the full potential of the hardware to perform tasks quickly, fluently, and reliably. Second, we would like robotic systems that get better with autonomously gathered experience, rather than relying entirely on high-quality demonstrations. + +![](images/8f3b8d97deb66fea8fdfde8197851ec9a51cda09800ea72c66a724048084a978.jpg) +Figure 1: Q-Transformer enables training highcapacity sequential architectures on mixed quality data. Our policies are able to improve upon human demonstrations and execute a variety of manipulation tasks in the real world. + +Reinforcement learning in principle provides both of these capabilities. A number of promising recent advances demonstrate the successes of large-scale robotic RL in varied settings, such as robotic grasping and stacking [11, 12], learning heterogeneous tasks with human-specified rewards [13], learning multi-task policies [14, 15], learning goal-conditioned policies [16, 17, 18, 19], and robotic navigation [20, 21, 22, 23, 24]. However, training high-capacity models such as Transformers using RL algorithms has proven more difficult to instantiate effectively at large scale. In this paper, we aim to combine large-scale robotic learning from diverse real-world datasets with modern high-capacity Transformer-based policy architectures. + +While in principle simply replacing existing architectures (e.g., ResNets [15] or smaller convolutional neural networks [11, 14]) with a Transformer is conceptually straightforward, devising a methodology that effectively makes use of such architectures is considerably more challenging. High-capacity models only make sense when we train on large and diverse datasets – small, narrow datasets simply do not require this much capacity and do not benefit from it. While prior works used simulation to create such datasets [2, 25, 26], the most representative data comes from the real world [12, 11, 14]. Therefore, we focus on reinforcement learning methods that can use Transformers and incorporate large, previously collected datasets via offline RL. Offline RL methods train on prior data, aiming to derive the most effective possible policy from a given dataset. Of course, this dataset can be augmented with additionally autonomously gathered data, but the training is separated from data collection, providing an appealing workflow for large-scale robotics applications [27]. + +Another issue in applying Transformer models to RL is to design RL systems that can effectively train such models. Effective offline RL methods generally employ Q-function estimation via temporal difference updates [28]. Since Transformers model discrete token sequences, we convert the Q-function estimation problem into a discrete token sequence modeling problem, and devise a suitable loss function for each token in the sequence. Na¨ıvely discretizing the action space leads to exponential blowup in action cardinality, so we employ a per-dimension discretization scheme, where each dimension of the action space is treated as a separate time step for RL. Different bins in the discretization corresponds to distinct actions. The per-dimension discretization scheme allows us to use simple discrete-action Q-learning methods with a conservative regularizer to handle distributional shift [29, 30]. We propose a specific regularizer that minimizes values of every action that was not taken in the dataset and show that our method can learn from both narrow demonstration-like data and broader data with exploration noise. Finally, we utilize a hybrid update that combines Monte Carlo and $n$ -step returns with temporal difference backups [31], and show that doing so improves the performance of our Transformer-based offline RL method on large-scale robotic learning problems. + +In summary, our main contribution is the Q-Transformer, a Transformer-based architecture for robotic offline reinforcement learning that makes use of per-dimension tokenization of Q-values and can readily be applied to large and diverse robotic datasets, including real-world data. We summarize the components of Q-Transformer in Figure 1. Our experimental evaluation validates the Q-Transformer by learning large-scale text-conditioned multi-task policies, both in simulation for rigorous comparisons and in large-scale real-world experiments for realistic validation. Our real-world experiments utilize a dataset with 38,000 successful demonstrations and 20,000 failed autonomously collected episodes on more than 700 tasks, gathered with a fleet of 13 robots. QTransformer outperforms previously proposed architectures for large-scale robotic RL [15, 14], as well as previously proposed Transformer-based models such as the Decision Transformer [32, 33]. + +# 2 Related Work + +Offline RL has been extensively studied in recent works [34, 35, 36, 37, 35, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 39]. Conservative Q-learning (CQL) [29] learns policies constrained to a conservative lower bound of the value function. Our goal is not to develop a new algorithmic principle for offline RL, but to devise an offline RL system that can integrate with high-capacity Transformers, and scale to real-world multi-task robotic learning. We thus develop a version of CQL particularly effective for training large Transformer-based Q-functions on mixed quality data. While some works have noted that imitation learning outperforms offline RL on demonstration data [49], other works showed offline RL techniques to be effective with demonstrations both in theory and in practice [50, 15]. Nonetheless, a setting that combines “narrow” demonstration data with “broad” sub-optimal (e.g., autonomously collected) data is known to be particularly difficult [51, 52, 53], though it is quite natural in many robotic learning settings where we might want to augment a core set of demonstrations with relatively inexpensive low-quality autonomously collected data. We believe that the effectiveness of our method in this setting is of particular interest to practitioners. + +Transformer-based architectures [54] have been explored in recent robotics research, both to learn generalizable task spaces [55, 56, 57, 58, 8, 59] and to learn multi-task or even multi-domain sequential policies directly [2, 1, 6, 3]. Although most of these works considered Transformers in a supervised learning setting, e.g., learning from demonstrations [4, 5], there are works on employing Transformers for RL and conditional imitation learning [32, 20, 60, 33]. In our experiments, we compare to Decision Transformer (DT) in particular [32], which extends conditional imitation learning with reward conditioning [61, 62] to use sequence models, and structurally resembles imitation learning methods that have been used successfully for robotic control. Although DT incorporates elements of RL (namely, reward functions), it does not provide a mechanism to improve over the demonstrated behavior or recombine parts of the dataset to synthesize more optimal behaviors, and indeed is known to have theoretical limitations [63]. On the other hand, such imitation-based recipes are popular perhaps due to the difficulty of integrating Transformer architectures with more powerful temporal difference methods (e.g., Q-learning). We show that several simple but important design decisions are needed to make this work, and our method significantly outperforms non-TD methods such as DT, as well as imitation learning, on our large-scale multi-task robotic control evaluation. Extending Decision Transformer, Yamagata et al. [64] proposed to use a Q-function in combination with a Transformer-based policy, but the Q-function itself did not use a Transformer-based architecture. Our Q-function could in principle be combined with this method, but our focus is specifically on directly training Transformers to represent Q-values. + +![](images/986b982ec8c568fb40ea32d38ae1b19d3470a6ea1e8ed97267472f6f8e9e17f2.jpg) +Figure 2: Q-values update for each action dimension at timestep t. Given a history of states, we update the Q-values of all bins in all action dimensions. The Q-values of the discrete action bins of the dataset actions are trained via the Bellman update (green boxes). The values of action bins not observed in the dataset are minimized towards zero (red boxes). The Q-targets of all action dimensions except the last one are computed using maximization over the next action dimension within the same time step. The Q-target of the last action dimension is computed using the discounted maximization of the first dimension of the next time step plus the reward. We also incorporate Monte Carlo returns by taking the maximum of the computed Q-targets and the return-to-go. + +To develop a Transformer-based Q-learning method, we discretize each action space dimension, with each dimension acting as a distinct time step. Autoregressive generation of discrete actions has been explored by Metz et al. [65], who propose a hierarchical decomposition of an MDP and then utilize LSTM [66] for autoregressive discretization. Our discretization scheme is similar but simpler, in that we do not use any hierarchical decomposition but simply treat each dimension as a time step. However, since our goal is to perform offline RL at scale with real-world image based tasks (vs. the smaller state-space tasks learned via online RL by Metz et al. [65]), we present a number of additional design decisions to impose a conservative regularizer, enabling training our Transformerbased offline Q-learning method at scale, providing a complete robotic learning system. + +# 3 Background + +In RL, we learn policies $\pi$ that maximizes the expected total reward in a Markov decision process (MDP) with states $s$ , actions $a$ , discount factor $\gamma \in \mathsf { \Gamma } ( 0 , 1 ]$ , transition function $T ( s ^ { \prime } | s , { \bar { a } } )$ and a reward function $R ( s , a )$ . Actions $a$ have dimensionality $d _ { \mathcal { A } }$ . Value-based RL approaches learn a Q-function $Q ( s , a )$ representing the total discounted return $\begin{array} { r } { \sum _ { t } \gamma ^ { t } R ( s _ { t } , a _ { t } ) } \end{array}$ , with policy $\pi ( a | s ) =$ arg maxa $Q ( s , a )$ . The Q-function can be learned by iteratively applying the Bellman operator [67]: + +$$ +\mathcal { B } ^ { * } Q ( s _ { t } , a _ { t } ) = R ( s _ { t } , a _ { t } ) + \gamma \operatorname* { m a x } _ { a _ { t + 1 } } Q ( s _ { t + 1 } , a _ { t + 1 } ) , +$$ + +approximated via function approximation and sampling. The offline RL setting assumes access to an offline dataset of transitions or episodes, produced by some unknown behavior policy $\pi _ { \beta } ( a | s )$ , but does not assume the ability to perform additional online interaction during training. This is appealing for real-world robotic learning, where on-policy data collection is time-consuming. Learning from offline datasets requires addressing distributional shift, since in general the action that maximizes $Q ( s _ { t + 1 } , a _ { t + 1 } )$ might lie outside of the data distribution. One approach to mitigate this is to add a conservative penalty [29, 52] that pushes down the Q-values $Q ( s , a )$ for any action $a$ outside of the dataset, thus ensuring that the maximum value action is in-distribution. + +![](images/66b914dead3ba20f12925e3d7db42b32bbe75dce7aa50d0d18bb162fd19fdb6e.jpg) +Figure 3: Q-Transformer network architecture, as applied to our multi-task language-conditioned robotic control setting. The encoding of the observations is concatenated with embeddings of the previous predicted action dimensions and processed by Transformer layers. We apply a sigmoid to the Transformer output to produce Q-values (normalized to lie in the range $[ 0 , 1 ] )$ for each of the action value bins. Finally, one-hot action vectors are constructed by taking the arg max over all bins and are fed back to the network to predict the Q-values of the next action dimensions. The language instruction is encoded with Universal Sentence Encoder [68] and then fed to FiLM EfficientNet [69, 70] network together with the robot camera images. + +In this work, we consider tasks with sparse rewards, where a binary reward $R \in \{ 0 , 1 \}$ (indicating success or failure) is assigned at the last time step of episodes. Although our method is not specific to this setting, such reward structure is common in robotic manipulation tasks that either succeed or fail on each episode, and can be particularly challenging for RL due to the lack of reward shaping. + +# 4 Q-Transformer + +In this section, we introduce Q-Transformer, an architecture for offline Q-learning with Transformer models, which is based on three main ingredients. First, we describe how we apply discretization and autoregression to enable TD-learning with Transformer architectures. Next, we introduce a particular conservative Q-function regularizer that enables learning from offline datasets. Lastly, we show how Monte Carlo and $n$ -step returns can be used to improve learning efficiency. + +# 4.1 Autoregressive Discrete Q-Learning + +Using Transformers with Q-learning presents two challenges: (1) we must tokenize the inputs to effectively apply attention mechanisms, which requires discretizing the action space; (2) we must perform maximization of Q-values over discretized actions while avoiding the curse of dimensionality. Addressing these issues within the standard Q-learning framework requires new modeling decisions. The intuition behind our autoregressive Q-learning update is to treat each action dimension as essentially a separate time step. That way, we can discretize individual dimensions (1D quantities), rather than the entire action space, avoiding the curse of dimensionality. This can be viewed as a simplified version of the scheme proposed in [65], though we apply this to high-capacity Transformer models, extend it to the offline RL setting, and scale it up to real-world robotic learning. + +Let $\tau = ( s _ { 1 } , a _ { 1 } , \dots , s _ { T } , a _ { T } )$ be a trajectory of robotic experience of length $T$ from an offline dataset $\mathcal { D }$ . For a given time-step $t$ , and the corresponding action $a _ { t }$ in the trajectory, we define a per-dimension view of the action $a _ { t }$ . Let $a _ { t } ^ { 1 : i }$ denote the vector of action dimensions from the first dimension $a _ { t } ^ { 1 }$ until the $i$ -th dimension $a _ { t } ^ { i }$ , where $i$ can range from 1 to the total number of action dimensions, that we denote as $d _ { \mathcal { A } }$ . Then, for a time window $w$ of state history, we define the Q-value of the action $a _ { t } ^ { i }$ in the $_ { i - t h }$ dimension using an autoregressive Q-function conditioned on states from this time window $s _ { t - w : t }$ and previous action dimensions for the current time step $a _ { t } ^ { 1 : i - 1 }$ . To train the Q-function, we define a per-dimension Bellman update. For all dimensions $i \in \{ \bar { 1 } , \ldots , d _ { A } \}$ : + +$$ +Q ( s _ { t - w : t } , a _ { t } ^ { 1 : i - 1 } , a _ { t } ^ { i } ) \gets \left\{ \begin{array} { l l } { \operatorname* { m a x } _ { a _ { t } ^ { i + 1 } } Q ( s _ { t - w : t } , a _ { t } ^ { 1 : i } , a _ { t } ^ { i + 1 } ) } & { \mathrm { i f ~ } i \in \{ 1 , \dots , d _ { A } - 1 \} } \\ { a _ { t } ^ { i + 1 } } & { \mathrm { ~ i f ~ } i \in \{ 1 , \dots , d _ { A } \} } \end{array} \right. +$$ + +The reward is only applied on the last dimension (second line in the equation), as we do not receive any reward before executing the whole action. In addition, we only discount Q-values between the time steps and keep discounting at 1.0 for all but the last dimension within each time step, to ensure the same discounting as in the original MDP. Figure 2 illustrates this process, where each yellow box represents the Q-target computation with additional conservatism and Monte Carlo returns described in the next subsections. It should be noted that by treating each action dimension as a time step for the Bellman update, we do not change the general optimization properties of Q-learning algorithms and the principle of the Bellman optimality still holds for a given MDP as we maximize over an action dimension given the optimality of all action dimensions in the future. We show that this approach provides a theoretically consistent way to optimize the original MDP in Appendix A, with a proof of convergence in the tabular setting in Appendix B. + +# 4.2 Conservative Q-Learning with Transformers + +Having defined a Bellman backup for running Q-learning with Transformers, we now develop a technique that enables learning from offline data, including human demonstrations and autonomously collected data. This typically requires addressing over-estimation due to the distributional shift, when the Q-function for the target value is queried at an action that differs from the one on which it was trained. Conservative Q-learning (CQL) [29] minimizes the Q-function on out-of-distribution actions, which can result in Q-values that are significantly smaller than the minimal possible cumulative reward that can be attained in any trajectory. When dealing with sparse rewards $R \in \{ 0 , 1 \}$ , results in [27] show that the Q-function regularized with a standard conservative objective can take on negative values, even though instantaneous rewards are all non-negative. This section presents a modified version of conservative Q-learning that addresses this issue in our problem setting. + +The key insight behind our design is that, rather than minimizing the Q-values on actions not in the data, we can instead regularize these $\mathrm { Q }$ -values to be close to the minimal attainable possible cumulative reward. Concretely, denoting the minimal possible reward on the task as $R _ { \mathrm { m i n } }$ , and the time horizon of the task as $T$ , our approach regularizes the Q-values on actions not covered by the dataset towards $R _ { \operatorname* { m i n } } \cdot T$ , which in our problem setting is equal to 0 (i.e., $R _ { \mathrm { m i n } } = 0 .$ ). For simplicity of notation, we omit the action dimension indices in presenting the resulting objective, but remark that the training objective below is applied to Bellman backups on all action dimensions as described in the previous section. Let $\pi _ { \beta }$ be the behavioral policy that induced a given dataset $\mathcal { D }$ , and let $\begin{array} { r } { \tilde { \pi } _ { \beta } ( a | s ) = \frac { 1 } { Z ( s ) } \cdot ( 1 . 0 - \pi _ { \beta } ( a | \dot { s } ) ) } \end{array}$ be the distribution over all actions which have a very low density under $\pi _ { \beta } ( a | s )$ . Our objective to train the Q-function is: + +$$ +J = \ \frac { 1 } { 2 } \underbrace { \mathbb { E } _ { s \sim \mathcal { D } , a \sim \pi _ { \beta } ( a | s ) } \left[ \left( Q ( s , a ) - B ^ { * } Q ^ { k } ( s , a ) \right) ^ { 2 } \right] } _ { ( i ) , \mathrm { ~ I D ~ e r r o r } } + \alpha \cdot \frac { 1 } { 2 } \underbrace { \mathbb { E } _ { s \sim \mathcal { D } , a \sim \pi _ { \beta } ( a | s ) } \left[ \left( Q ( s , a ) - 0 \right) ^ { 2 } \right] } _ { ( i i ) , \mathrm { ~ c o n s e r v a t i v e ~ r e g u l a r i z a t i o n ~ } \mathcal { L } _ { C } } , +$$ + +where the first term $( i )$ trains the Q-function by minimizing the temporal difference error objective as defined in Eq. 1, and the second term $( i i )$ regularizes the $\mathbf { Q }$ -values to the minimal possible $\mathrm { Q }$ - value of 0 in expectation under the distribution of actions induced by $\tilde { \pi } _ { \beta }$ , which we denote as a conservative regularization term $\mathcal { L } _ { C }$ . Term $( i i )$ is also weighted by a multiplier $\alpha$ , which modulates the strength of this conservative regularization. We discuss the choice of $\alpha$ in our implementation in Appendix D.2 and analyze the behavior of the conservatism term in Appendix C, providing a simple characterization of how this regularizer modifies the learned Q-function in tabular settings. + +# 4.3 Improving Learning Efficiency with Monte Carlo and $n$ -step Returns + +When the dataset contains some good trajectories (e.g., demonstrations) and some suboptimal trajectories (e.g., autonomously collected trials), utilizing Monte Carlo return-to-go estimates to accelerate Q-learning can lead to significant performance improvements, as the Monte Carlo estimates along the better trajectories lead to much faster value propagation. This has also been observed in prior work [31]. Based on this observation, we propose a simple improvement to Q-Transformer that we found to be quite effective in practice. The Monte Carlo return is defined by the cumulative reward within the offline trajectory $\begin{array} { r } { \tau \colon \mathbf { M } \mathbf { C } _ { t : T } = \sum _ { j = t } ^ { T } \gamma ^ { j - t } R ( s _ { j } , a _ { j } ) } \end{array}$ . This matches the Q-value of the behavior policy $\pi _ { \beta }$ , and since the optimal $Q ^ { * } ( s , a )$ is larger than the Q-value for any other policy, we have $Q ^ { * } ( s _ { t } , a _ { t } ) \geq \mathbf { M } \mathbf { C } _ { t : T }$ . Since the Monte Carlo return is a lower bound of the optimal Q-function, we can augment the Bellman update to take the maximum between the MC-return and the current Q-value: max $( \mathbf { M } \mathbf { C } _ { t : T } , Q ( s _ { t } , a _ { t } \mathbf { \bar { ) } } )$ , without changing what the Bellman update will converge to. + +![](images/f92bdbe0b51c194ecf6f9283f428c517cca501a702b0252001d60139f983a236.jpg) +Figure 4: Left: Real world manipulation tasks. Right: Real world performance comparison. RT-1 [1] is imitation learning on demonstrations. Q-Transformer (Q-T), Decision Transformer (DT) [32], Implicit Q-learning (IQL) [40] learn from both demonstrations and autonomous data. + +Although this does not change convergence, including this maximization speeds up learning (see Section 5.3). We present a hypothesis why this occurs. In practice, $\mathrm { Q }$ -values for final timesteps $( s _ { T } , a _ { T } )$ are learned first and then propagated backwards in future gradient steps. It can take multiple gradients for the Q-value to propagate all the way to $( s _ { 1 } , a _ { 1 } )$ . The $\operatorname* { m a x } ( \mathbf { M C } , Q )$ allows us to apply useful gradients to $Q ( s _ { 1 } , a _ { 1 } )$ at the start of training before the $\mathbf { Q }$ -values have propagated. + +In our experiments, we also notice that additionally employing $n$ -step returns [71, 72] over action dimensions can significantly help with the learning speed. We pick $n$ such that the final Q-value of the last dimension of the next time step is used as the Q-target. This is because we get a new state and reward only after inferring and executing the whole action as opposed to parts of it, meaning that intermediate rewards remain 0 all the way until the last action dimension. While this introduces bias to the Bellman backups, as is always the case with off-policy learning with $n$ -step returns, we find in our ablation study in Section 5.3 that the detrimental effects of this bias are small, while the speedup in training is significant. This is consistent with previously reported results [72]. More details about our Transformer sequence model architecture (depicted in Figure 3) conservative Qlearning implementation, and the robot system can be found in Appendix D. + +# 5 Experiments + +In our experiments, we aim to answer the following questions: (1) Can Q-Transformer learn from a combination of demonstrations and sub-optimal data? (2) How does Q-Transformer compare to other methods? (3) How important are the specific design choices in Q-Transformer? (4) Can QTransformer be applied to large-scale real world robotic manipulation problems? + +# 5.1 Real-world language-conditioned manipulation evaluation + +Training dataset. The offline data used in our experiments was collected with a fleet of 13 robots, and consists of a subset of the demonstration data described by Brohan et al. [1], combined with lower quality autonomously collected data. The demonstrations were collected via human teleoperation for over 700 distinct tasks, each with a separate language description. We use a maximum of 100 demonstrations per task, for a total of about 38,000 demonstrations. All of these demonstrations succeed on their respective tasks and receive a reward of 1.0. The rest of the dataset was collected by running the robots autonomously, executing policies learned via behavioral cloning. + +To ensure a fair comparison between Q-Transformer and imitation learning methods, we discard all successful episodes in the autonomously collected data when we train our method, to ensure that by including the autonomous data the Q-Transformer does not get to observe more successful trials than the imitation learning baselines. This leaves us with about 20,000 additional autonomously collected failed episodes, each with a reward of 0.0, for a dataset size of about 58,000 episodes. The episodes are on average 35 time steps in length. Examples of the tasks are shown in Figure 4. + +Performance evaluation. To evaluate how well Q-Transformer can perform when learning from real-world offline datasets while effectively incorporating autonomously collected failed episodes, we evaluate Q-Transformer on 72 unique manipulation tasks, and a variety of different skills, such as “drawer pick and place”, “open and close drawer”, “move object near target”, each consisting of 18, 7 and 48 unique tasks instructions respectively to specify different object combinations and drawers. As such, the average success rate in Table 4 is the average over 72 tasks. + +Since each task in the training set only has a maximum of 100 demonstrations, we observe from Figure 4 that an imitation learning algorithm like RT-1 [1], which also uses a similar Transformer architecture, struggles to obtain a good performance when learning from only the limited pool of successful robot demonstrations. Existing offline RL methods, such as IQL [40] and a Transformerbased method such as Decision Transformer [32], can learn from both successful demonstrations and failed episodes, and show better performance compared to RT-1, though by a relatively small margin. Q-Transformer has the highest success rate and outperforms both the behavior cloning baseline (RT-1) and offline RL baselines (Decision Transformer, IQL), exceeding the average performance of the best-performing prior method by about $70 \%$ . This demonstrates that Q-Transformer can effectively improve upon human demonstrations using autonomously collected sub-optimal data. + +Appendix G also shows that Q-Transformer can be successfully applied in combination with a recently proposed language task planner [8] to perform both affordance estimation and robot action execution. Q-Transformer outperforms prior methods for planning and executing long-horizon tasks. + +# 5.2 Benchmarking in simulation + +In this section, we evaluate Q-Transformer on a challenging simulated offline RL task that require incorporating sub-optimal data to solve the task. In particular, we use a visual simulated picking task depicted in Figure 5, where we have a small amount of position controlled human demonstrations ${ \sim } 8 \%$ of the data). The demonstrations are replayed with noise to generate more trajectories ( ${ \sim } 9 2 \%$ of the data). Figure 5 shows a comparison to several offline algorithms, such as QT-Opt with CQL [11, 29], IQL [40], AW-Opt [73], and Decision Transformer [32], along with RT-1 using Behavioral Cloning [1] on demonstrations only. As we see, algorithms that can effectively perform TDlearning to combine optimal and sub-optimal data (such as Q-Transformer and QT-Opt) perform better than others. BC with RT-1 is not + +![](images/a2c99c10cf55b4c6ab22b7a5b8fd317dcfb759dd2644215d5fd65744698b5e1f.jpg) +Figure 5: Performance comparison on a simulated picking task. + +able to take advantage of sub-optimal data. Decision Transformer is trained on both demonstrations and sub-optimal data, but is not able to leverage the noisy data for policy improvement and does not end up performing as well as our method. Although IQL and AW-Opt perform TD-learning, the actor remains too close to the data and can not fully leverage the sub-optimal data. Q-Transformer is able to both bootstrap the policy from demonstrations and also quickly improve through propagating information with TD-learning. We also analyze the statistical significance of the results by training with multiple random seeds in Appendix F. + +# 5.3 Ablations + +We perform a series of ablations of our method design choices in simulation, with results presented in Figure 6 (left). First, we demonstrate that our choice of conservatism for Q-Transformer performs better than the standard CQL regularizer, which corresponds to a softmax layer on top of the Q-function outputs with a cross-entropy loss between the dataset action and the output of this softmax [29]. This regularizer plays a similar role to the one we propose, decreasing the Q-values for out-of-distribution actions and staying closer to the behavior policy. + +As we see in Figure 6 (left), performance with softmax conservatism drops to around the fraction of demonstration episodes $( \sim 8 \% )$ . This suggests a collapse to the behavior policy as the conservatism penalty becomes too good at constraining to the behavior policy distribution. Due to the nature of the softmax, pushing Q-values down for unobserved actions also pushes Q-values up for the observed actions, and we theorize this makes it difficult to keep Q-values low for sub-optimal in-distribution actions that fail to achieve high reward. Next, we show that using conservatism is important. When removing conservatism entirely, we observe that performance collapses. Actions that are rare in the dataset will have overestimated Q-values, since they are not trained by the offline Q-learning procedure. The resulting overestimated values will propagate and collapse the entire Q-function, as described in prior work [38]. Finally, we ablate the Monte-Carlo returns and again observe performance collapse. This demonstrates that adding information about the sampled future returns significantly helps in bootstrapping the training of large architectures such as Transformers. + +![](images/1eba88ec9249b5b4812bc607c8926c1418975b18085015c1bc5e30d4d2d5bc77.jpg) +Figure 6: Left: Ablations: changing to softmax conservatism decreases performance. Removing MC returns or conservatism completely collapse performance. Top Right: The $n$ -step return version of our method reaches similar performance to the standard version with 4 times fewer steps, indicating that the added bias from $n$ -step returns is small compared to the gain in training speed. Using $n$ -step return also leads to better performance on tasks that have longer horizon, e.g. move object near target. Bottom Right: Success rates on real world task categories with a larger dataset. + +
n-step ablationn-step 1-step1-step
# of gradient steps Training duration (hours)137480 582960 32 163136920 40
pick object move object near target94% 88%97% 92% 80% 67%
Large offline datasetQ-T DTRT-1
Average success rate88% 78%82%
+ +We also ablate the choice of $n$ -step returns from the Section 4.3 on real robots and observe that using $n$ -step returns leads to a significantly faster training speed as measured by the number of gradient steps and wall clock time compared to using 1-step returns, with a minimal loss in performance, as shown in Figure 6 (top right). + +# 5.4 Massively scaling up Q-Transformer + +The experiments in the previous section used a large dataset that included successful demonstrations and failed autonomous trials, comparable in size to some of the largest prior experiments that utilized demonstration data [74, 15, 58]. We also carry out a preliminary experiment with a much larger dataset to investigate the performance of Q-Transformer as we scale up the dataset size. + +This experiment includes all of the data collected with 13 robots and comprises of the demonstrations used by RT-1 [1] and successful autonomous episodes, corresponding to about 115,000 successful trials, and an additional 185,000 failed autonomous episodes, for a total dataset size of about 300,000 trials. Model architecture and hyperparameters were kept exactly the same, as the computational cost of the experiment made further hyperparameter tuning prohibitive (in fact, we only train the models once). Note that with this number of successful demonstrations, even standard imitation learning with the RT-1 architecture already performs very well, attaining $82 \%$ success rate. However, as shown in Figure 6 (bottom right), Q-Transformer was able to improve even on this very high number. This experiment demonstrates that Q-Transformer can continue to scale to extremely large dataset sizes, and continues to outperform both imitation learning with RT-1 and Decision Transformer. + +# 6 Limitations and Discussion + +In this paper, we introduced the Q-Transformer, an architecture for offline reinforcement learning with high-capacity Transformer models that is suitable for large-scale multi-task robotic RL. Our framework does have several limitations. First, we focus on sparse binary reward tasks corresponding to success or failure for each trial. While this setup is reasonable for a broad range of episodic robotic manipulation problems, it is not universal, and we expect that Q-Transformer could be extended to more general settings as well in the future. + +Second, the per-dimension action discretization scheme that we employ may become more cumbersome in higher dimensions (e.g., controlling a humanoid robot), as the sequence length and inference time for our model increases with action dimensionality. Although $n$ -step returns mitigate this to a degree, the length of the sequences still increases with action dimensionality. For such higherdimensional action space, adaptive discretization methods might also be employed, for example by training a discrete autoencoder model and reducing representation dimensionality. Uniform action discretization can also pose problems for manipulation tasks that require a large range of motion granularities, e.g. both coarse and fine movements. 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URL https://arxiv.org/abs/2204.02311. + +# A Proof of MDP optimization consistency + +To show that transforming MDP into a per-action-dimension form still ensures optimization of the original MDP, we show that optimizing the Q-function for each action dimension is equivalent to optimizing the Q-function for the full action. + +If we consider the full action $a _ { 1 : d _ { \mathcal { A } } }$ and that we switch to the state $s ^ { \prime }$ at the next timestep, the Qfunction for optimizing over the full action MDP would be: + +$$ +\begin{array} { r l } & { \underset { a _ { 1 : d _ { \cal A } } } { \operatorname* { m a x } } Q ( s , a _ { 1 : d _ { \cal A } } ) = \underset { a _ { 1 : d _ { \cal A } } } { \operatorname* { m a x } } \left[ R ( s , a _ { 1 : d _ { \cal A } } ) + \gamma \underset { a _ { 1 : d _ { \cal A } } } { \operatorname* { m a x } } Q ( s ^ { \prime } , a _ { 1 : d _ { \cal A } } ) \right] } \\ & { \quad \quad \quad \quad = R ( s , a _ { 1 : d _ { \cal A } } ^ { * } ) + \gamma \underset { a _ { 1 : d _ { \cal A } } } { \operatorname* { m a x } } Q ( s ^ { \prime } , a _ { 1 : d _ { \cal A } } ) , } \end{array} +$$ + +where $R ( s , a _ { 1 : d _ { A } } ^ { * } )$ is the reward we get after executing the full action. + +The optimization over each action dimension using our Bellman update is: + +$$ +\begin{array} { r l } { \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \delta , \epsilon } ^ { \star } , \eta _ { \epsilon } \in \mathcal { G } _ { \epsilon - 1 } \sim \mathcal { G } _ { \epsilon } ^ { \star } } } & { = - \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon } ^ { \star } \cup \mathcal { G } _ { \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon } ^ { \star } } } \\ & { = \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon } ^ { \star } \cup \mathcal { G } _ { \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon + 1 , \epsilon - 1 } } } \\ & { = \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon } ^ { \star } \cup \mathcal { G } _ { \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & { - \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { F } _ { \epsilon } \cup \mathcal { G } _ { \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & { - \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { F } _ { \epsilon } \cap \mathcal { G } _ { \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & { - \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon + 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & { - \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon + 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & { = \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon + 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } + \operatorname* { m a x } _ { \mathbf { x } \in \mathcal { G } _ { \epsilon + 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 , \epsilon - 1 } } } \\ & - \operatorname* { m a x } _ \ \end{array} +$$ + +which optimizes the original full action MDP as in Eq. 3. + +# B Proof of convergence + +Convergence of Q-learning has been shown in the past [67, 75]. Below we demonstrate that per-action dimension Q-function converges as well, by providing a proof almost identical to the standard $\mathrm { Q }$ -learning convergence proof, but extended to account for the per-action dimension maximization. + +Let $d _ { \mathcal { A } }$ be the dimensionality of the action space, $a$ indicates a possible sequence of actions, whose dimension is not necessarily equal to the dimension of the action space. That is: + +$$ +a \in \{ a _ { 1 : i } , \forall i \leq d _ { A } \} +$$ + +To proof convergence, we can demonstrate that the Bellman operator applied to the per-action dimension Q-function is a contraction, i.e.: + +$$ +| | \mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \infty } \leq c | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \infty } , +$$ + +where + +$$ +B ^ { \ast } Q ( s , a ) = \left\{ \begin{array} { l l } { R ( s , a ) + \gamma \displaystyle \operatorname* { m a x } _ { a ^ { \prime } } Q ( s , a , a ^ { \prime } ) } & { \mathrm { i f ~ t h e ~ d i m e n s i o n ~ o f ~ } a \mathrm { ~ i s ~ l e s s ~ t h a n ~ } d \mathcal { A } } \\ { R ( s , a ) + \gamma \displaystyle \operatorname* { m a x } _ { a ^ { \prime } } \frac { E } { s ^ { \prime } } [ Q ( s ^ { \prime } , a ^ { \prime } ) ] } & { \mathrm { i f ~ t h e ~ d i m e n s i o n ~ o f ~ } a \mathrm { ~ i s ~ e q u a l ~ t o ~ } d \mathcal { A } } \end{array} \right. +$$ + +$a ^ { \prime }$ is the next action dimension following the sequence $a , s ^ { \prime }$ is the next state of the MDP, $\gamma$ is the discounting factor, and $0 \leq c \leq 1$ . + +Proof: We can show that this is the case as follows: + +Case 1: For action sequence whose dimension is less than the dimension of the action space. + +$$ +\begin{array} { r l } & { \mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \mathcal { B } ^ { * } Q _ { 2 } ( s , a ) } \\ & { \quad = R ( s , a ) + \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } Q _ { 1 } ( s , a , a ^ { \prime } ) - R ( s , a ) - \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } Q _ { 2 } ( s , a , a ^ { \prime } ) } \\ & { \quad = \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } [ Q _ { 1 } ( s , a , a ^ { \prime } ) - Q _ { 2 } ( s , a , a ^ { \prime } ) ] } \\ & { \quad \le \gamma \underset { s , a } { \operatorname* { s u p } } [ Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) ] } \\ & { \quad \Longrightarrow | | \mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \infty } \le \gamma | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \infty } } \end{array} +$$ + +where $\operatorname { s u p } _ { s , a }$ is the supremum over all action sequences, with $0 \leq \gamma \leq 1$ and $\| f \| _ { \infty } = \operatorname* { s u p } _ { x } [ f ( x ) ]$ . + +Case 2: For action sequence whose dimension is equal to the dimension of the action space + +$$ +\begin{array} { r l } & { \mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \mathcal { B } ^ { * } Q _ { 2 } ( s , a ) } \\ & { \ = R ( s , a ) + \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } E [ Q _ { 1 } ( s ^ { \prime } , a ^ { \prime } ) ] - R ( s , a ) - \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } E [ Q _ { 2 } ( s ^ { \prime } , a ^ { \prime } ) ] } \\ & { \ = \gamma \underset { a ^ { \prime } } { \operatorname* { m a x } } E [ Q _ { 1 } ( s ^ { \prime } , a ^ { \prime } ) - Q _ { 2 } ( s ^ { \prime } , a ^ { \prime } ) ] } \\ & { \ \leq \gamma \underset { s , a } { \operatorname* { s u p } } [ Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) ] } \\ & { \ \Longrightarrow \ | | \mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \infty } \leq \gamma | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \infty } } \end{array} +$$ + +# C Analysis of the conservatism term + +With the goal of understanding the behavior of our training procedure, we theoretically analyze the solution obtained by Eq. 2 for the simpler cases when $Q$ is represented as a table, and when the objective in Eq. 2 can be minimized exactly. We derive the minimizer of the objective in Eq. 2 by differentiating $J$ with respect to $Q$ : + +$$ +\begin{array} { r l } & { \forall s , a , k , \frac { d J } { d Q ( s , a ) } = 0 } \\ & { \pi _ { \beta } ( a | s ) \left( Q ( s , a ) - B ^ { * } Q ^ { k } ( s , a ) \right) + \alpha \tilde { \pi } _ { \beta } ( a | s ) Q ( s , a ) = 0 } \\ & { Q ( s , a ) \left( \pi _ { \beta } ( a | s ) + \alpha \tilde { \pi } _ { \beta } ( a | s ) \right) = \pi _ { \beta } ( a | s ) B ^ { * } Q ^ { k } ( s , a ) } \\ & { Q ^ { k + 1 } ( s , a ) = \underbrace { \pi _ { \beta } ( a | s ) } _ { : = m ( s , a ) } . } \end{array} +$$ + +Eq. 4 implies that training with the objective in Eq. 2 performs a weighted Bellman backup: unlike the standard Bellman backup, training with Eq. 2 multiplies large Q-value targets by a weight $m ( s , a )$ . This weight $m ( s , a )$ takes values between 0 and 1, with larger values close to 1 for indistribution actions where $( s , a ) \in \mathcal { D }$ , and very small values close to 0 for out-of-distribution actions $a$ at any state $s$ (i.e., actions where $\pi _ { \beta } ( a | s )$ is small). Thus, the Bellman backup induced via Eq. 4 should effectively prevent over-estimation of Q-values for unseen actions. + +# D Q-Transformer Architecture & System + +In this section, we describe the architecture of Q-Transformer as well as the important implementation and system details that make it an effective Q-learning algorithm for real robots. + +# D.1 Transformer sequence model architecture + +Our neural network architecture is shown in Figure 3. The architecture is derived from the RT-1 design [1], adapted to accommodate the Q-Transformer framework, and consists of a Transformer backbone that reads in images via a convolutional encoder followed by tokenization. Since we apply Q-Transformer to a multi-task robotic manipulation problem where each task is specified by a natural language instruction, we first embed the natural language instruction into an embedding vector via the Universal Sentence Encoder [68]. The embedding vector and images from the robot camera are then converted into a sequence of input tokens via a FiLM EfficientNet [69, 70]. In the standard RT-1 architecture [1], the robot action space is discretized and the Transformer sequence model outputs the logits for the discrete action bins per dimension and per time step. In this work, we extend the network architecture to use Q-learning by applying a sigmoid activation to the output values for each action, and interpreting the resulting output after the sigmoid as Q-values. This representation is particularly suitable for tasks with sparse per-episode rewards $R \in [ 0 , 1 ]$ , since the Q-values may be interpreted as probabilities of task success and should always lie in the range $[ 0 , 1 ]$ . Note that unlike the standard softmax, this interpretation of Q-values does not prescribe normalizing across actions (i.e., each action output can take on any value in $[ 0 , 1 ] )$ ). + +Since our robotic system, described in Section D.3, has 8-dimensional actions, we end up with 8 dimensions per time step and discretize each one into $N = 2 5 6$ value bins. Our reward function is a sparse reward that assigns value 1.0 at the last step of an episode if the episode is successful and 0.0 otherwise. We use a discount rate $\gamma = 0 . 9 8$ . As is common in deep RL, we use a target network to estimate target Q-values $Q ^ { k }$ , using an exponential moving average of $Q$ -network weights to update the target network. The averaging constant is set to 0.01. + +# D.2 Conservative Q-learning implementation + +The conservatism penalty in Section 4.2 requires estimating expectations under $\pi _ { \beta } ( a | s )$ and $\tilde { \pi } _ { \beta } ( a | s ) \propto ( 1 - \pi _ { \beta } ( \bar { a } | s ) )$ , with the latter being especially non-trivial to estimate. We employ a simple and crude approximation that we found to work well in practice, replacing $\pi _ { \beta } ( a | s )$ with the empirical distribution corresponding, for each sampled state-action tuple $( s _ { j } , a _ { j } ) \in \mathcal { D }$ , to a Dirac delta centered on $a _ { j }$ , such that $\pi _ { \beta } ( { \bar { a } } | s _ { j } ) = \delta ( a = { \bar { a } } _ { j } )$ . This results in a simple expression for $\tilde { \pi } _ { \beta } ( a | s _ { j } )$ corresponding to the uniform distribution over all other actions, such that ${ \tilde { \pi } } _ { \beta } ( a | s _ { j } ) \propto \delta ( a \stackrel { . } { \neq } a _ { j } )$ . After discretizing the actions, there are $N - 1$ bins per dimension to exhaustively iterate over when computing the conservatism term in Eq. 2, which is the same as taking the average over targets for all unseen action values. In our experiments, we find that simply setting the conservatism weight to $\alpha = 1 . 0$ worked best, without additional tuning. + +# D.3 Robot system overview + +The robot that we use in this work is a mobile manipulator with a 7-DOF arm with a 2 jaw parallel gripper, attached to a mobile base with a head-mounted RGB camera, illustrated in Figure 1. The RGB camera provides a $6 4 0 \times 5 1 2$ RGB image, which is downsampled to $3 2 0 \times 2 5 6$ before being consumed by the Q-Transformer. See Figure 4 for images from the robot camera view. The learned policy is set up to control the arm and the gripper of the robot. Our action space consists of 8 dimensions: 3D position, 3D orientation, gripper closure command, and an additional dimension indicating whether the episode should terminate, which the policy must trigger to receive a positive reward upon successful task completion. Position and orientation are relative to the current pose, while the gripper command is the absolute closedness fraction, ranging from fully open to fully closed. Orientation is represented via axis-angles, and all actions except whether to terminate are continuous actions discretized over their full action range in 256 bins. The termination action is binary, but we pad it to be the same size as the other action dimensions to avoid any issues with unequal weights. The policy operates at $3 \ : \mathrm { H z }$ , with actions executed asynchronously [76]. + +Algorithm 1 Temporal difference error and loss computation for one action dimension i at timestep $t$ , $\hat { a } _ { t } ^ { i }$ . + +Input Sequence of state in time window of size $w$ , $s _ { t - w : t }$ Input Language embedding of task instruction $l$ . +Input The state at timestep $t + 1$ , $s _ { t + 1 }$ . +Input Dataset action up to dimension $i$ , $\{ \boldsymbol { \mathcal { D } } \boldsymbol { a } _ { t } ^ { j } \} _ { j = 0 } ^ { i }$ . +Output The loss to optimize Q-Transformer. + +${ Q } ^ { t a r g } \gets$ Compute maximum Q-values of the next action dimension using Eq. 1 // Compute the maximum between $\mathsf { Q }$ -target and Monte Carlo return. $Q ^ { t a r g } \gets \mathrm { m a x } ( \mathbf { M } \mathbf { C } , Q ^ { t a r g } )$ + +// Compute the temporal difference error. $\mathrm { T D E r r o r } = \frac { 1 } { 2 } ( \mathrm { Q } \mathrm { - } \mathrm { T r a n s f o r m e r } ( l , s _ { t - w : t } , \{ a ^ { j } \} _ { j = 1 } ^ { i } ) - Q ^ { t a r g } ) ^ { 2 }$ + +// Compute the conservative regularizer. +// The sum is over all action bins not equal to the tokenized dataset action. +// $N$ is the number of discretization bin. +$\mathrm { R e g } = \frac { 1 } { 2 ( N - 1 ) } \sum _ { a \neq _ { \mathscr D } a _ { t } ^ { i } } \left( \mathrm { Q } \mathrm { - T r a n s f o r m e r } ( l , s _ { t - w : t } , \{ a ^ { j } \} _ { j = 1 } ^ { i - 1 } \cup \{ a \} ) \right) ^ { 2 }$ +// Compute the loss function +$\mathcal { L } = \mathrm { T D E r r o r } + \mathrm { R e g }$ + +Return $\mathcal { L }$ as the loss function to optimize Q-Transformer with. + +# E Pseudo-code + +Algorithm 1 shows the loss computation for training each action dimension of the Q-Transformer. We first use Eq. 1 to compute the maximum Q-values over the next action dimensions. Then we compute the Q-target for the given dataset action by using the Bellman update with an additional maximization over the Monte-Carlo return and predicted maximum Q-value at the next time step. The TD-error is then computed using the Mean-Squared Error. Finally, we set a target of 0 for all discretized action bins except the dataset action and add the averaged Mean-Squared Error over these dimensions to the TD-Error, which results in the total loss $\mathcal { L }$ . + +# F Running training for multiple random seeds + +![](images/03319d946e15d6073b3d3dc41af3eba492e895c4c32254425de7b2833e2b1373.jpg) +Figure 7: Mean and variance of Q-Transformer and RT-1 performance in simulation when running the training for 5 different random seeds. + +In addition to performing a large amount of evaluations, we also analyze the statistical significance of our learning results by running our training of Q-Transformer and RT-1 on multiple seeds in simulation. In particular, we run the training for 5 random seeds in Figure 7. As we can see, QTransformer retains its improved performance across the distribution of the random seeds. + +# G Q-Transformer value function with a language planner experiments + +![](images/418de5cc2615f3453f597de834c6ca9da2678908ac1770117968ab5dd507f285.jpg) +Figure 8: Qualitative comparisons of Q-values from QT-Opt (sim-to-real) and Q-Transformer. QTransformer outputs sharper Q-values for objects close to the robot, which can be grasped faster and more easily than the objects farther away. + +Recently, the SayCan algorithm [8] was proposed as a way to combine large language models (LLMs) with learned policies and value functions to solve long-horizon tasks. In this framework, the value function for each available skill is used to determine the “affordance” of the current state for that skill, and a large language model then selects from among the available affordances to take a step towards performing some temporally extended task. For example, if the robot is commanded to bring all the items on a table, the LLM might propose a variety of semantically meaningful items, and select from among them based on the item grasping skill that currently has a high value (corresponding to items that the robot thinks it can grasp). SayCan uses QT-Opt in combination with sim-to-real transfer to train Q-functions for these affordances. In the following set of experiments, we demonstrate that the Q-Transformer outperforms QT-Opt for affordance estimation without using any sim-to-real transfer, entirely using the real world dataset that we employ in the preceding experiments. + +We first benchmark Q-Transformer on the problem of correctly estimating task affordances from the RT-1 dataset [1]. In addition to the standard training on demonstrations and autonomous data, we introduce a training with relabeling, which we found particularly useful for affordance estimation. During relabeling, we sample a random alternate task for a given episode. We relabel the task name of the episode to the newly sampled task, and set reward to 0.0. This ensures that the boundaries between tasks are more clearly learned during train + +
ModelPrecisionRecallF1
QT-Opt (sim-to-real)0.610.680.64
Q-T w/ relabel0.760.890.82
Q-T w/o relabel0.580.930.71
+ +Table 1: Affordance estimation comparison: precision, recall and F1 score when using Q-values to determine if a task is feasible. Q-Transformer (Q-T) with multitask relabeling consistently produces better affordance estimates. + +ing. Table 1 shows comparison of performance of our model with and without relabeling as well as the sim-to-real QT-Opt model used in SayCan [8]. Both of our models outperform the QT-Opt model on F1 score, with the relabeled model outperforming it by a large margin. This demonstrates that our Q-function can be effectively used for affordance estimation, even without training with sim-to-real transfer. Visualization of the Q-values produced by our Q-function can be found in Figure 8. + +We then use Q-Transformer in a long horizon SayCan style evaluation, replacing both the sim-to-real QT-Opt model for affordance estimation, and the RT-1 policy for low-level robotic control. During this evaluation, a PaLM language model [77] is used to propose task candidates given a user query. Q-values are then used to pick the task candidate with the highest affordance score, which is then executed on the robot using the execution policy. The $\mathrm { Q } \mathrm { - }$ Transformer used for affordance estimation is trained with relabeling. The QTransformer used for low-level control is + +Table 2: Performance on SayCan style long-horizon tasks: SayCan queries $Q ( s , \bar { a } )$ in planning to pick a language instruction, then runs a policy to execute the plan. Q-Transformer outperforms RT-1 with QT-Opt in both planning and execution. + +
MethodSuccess Rate
AffordanceExecution PlanningExecution
Q-T w/ relabel QT-Opt (sim-to-real)Q-T RT-193 8793 67
+ +trained without relabeling, since we found relabeling episodes at the task level did not improve execution performance. SayCan with Q-Transformer is better at both planning the sequence of tasks and executing those plans, as illustrated in Table 2. + +# H Real robotic manipulation tasks used in our evaluation + +We include the complete list of evaluation tasks in our real robot experiments below. + +Drawer pick and place: pick 7up can from top drawer and place on counter, place 7up can into top drawer, pick brown chip bag from top drawer and place on counter, place brown chip bag into top drawer, pick orange can from top drawer and place on counter, place orange can into top drawer, pick coke can from middle drawer and place on counter, place coke can into middle drawer, pick orange from middle drawer and place on counter, place orange into middle drawer, pick green rice chip bag from middle drawer and place on counter, place green rice chip bag into middle drawer, pick blue plastic bottle from bottom drawer and place on counter, place blue plastic bottle into bottom drawer, pick water bottle from bottom drawer and place on counter, place water bottle into bottom drawer, pick rxbar blueberry from bottom drawer and place on counter, place rxbar blueberry into bottom drawer. + +Open and close drawer: open top drawer, close top drawer, open middle drawer, close middle drawer, open bottom drawer, close bottom drawer. + +Move object near target: move 7up can near apple, move 7up can near blue chip bag, move apple near blue chip bag, move apple near 7up can, move blue chip bag near 7up can, move blue chip bag near apple, move blue plastic bottle near pepsi can, move blue plastic bottle near orange, move pepsi can near orange, move pepsi can near blue plastic bottle, move orange near blue plastic bottle, move orange near pepsi can, move redbull can near rxbar blueberry, move redbull can near water bottle, move rxbar blueberry near water bottle, move rxbar blueberry near redbull can, move water bottle near redbull can, move water bottle near rxbar blueberry, move brown chip bag near coke can, move brown chip bag near green can, move coke can near green can, move coke can near brown chip bag, move green can near brown chip bag, move green can near coke can, move green jalapeno chip bag near green rice chip bag, move green jalapeno chip bag near orange can, move green rice chip bag near orange can, move green rice chip bag near green jalapeno chip bag, move orange can near green jalapeno chip bag, move orange can near green rice chip bag, move redbull can near sponge, move sponge near water bottle, move sponge near redbull can, move water bottle near sponge, move 7up can near blue blastic bottle, move 7up can near green can, move blue plastic bottle near green can, move blue plastic bottle near 7up can, move green can near 7up can, move green can near blue plastic bottle, move apple near brown chip bag, move apple near green jalapeno chip bag, move brown chip bag near green jalapeno chip bag, move brown chip bag near apple, move green jalapeno chip bag near apple, move green jalapeno chip bag near brown chip bag. \ No newline at end of file diff --git a/parse/dev/0I3su3mkuL/0I3su3mkuL_content_list.json b/parse/dev/0I3su3mkuL/0I3su3mkuL_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..e433f35f27f6f057a3fb3636166d5031d29df12f --- /dev/null +++ b/parse/dev/0I3su3mkuL/0I3su3mkuL_content_list.json @@ -0,0 +1,1610 @@ +[ + { + "type": "text", + "text": "Q-Transformer: Scalable Offline Reinforcement Learning via Autoregressive Q-Functions ", + "text_level": 1, + "bbox": [ + 209, + 102, + 789, + 151 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yevgen Chebotar∗, Quan Vuong∗, Alex Irpan, Karol Hausman, Fei Xia, Yao Lu, Aviral Kumar, Tianhe Yu, Alexander Herzog, Karl Pertsch, Keerthana Gopalakrishnan, Julian Ibarz, Ofir Nachum, Sumedh Sontakke, Grecia Salazar, Huong T Tran, Jodilyn Peralta, Clayton Tan, Deeksha Manjunath, Jaspiar Singht, Brianna Zitkovich, Tomas Jackson, Kanishka Rao, Chelsea Finn, Sergey Levine ", + "bbox": [ + 183, + 166, + 818, + 219 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Google DeepMind ", + "bbox": [ + 434, + 228, + 558, + 242 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract: In this work, we present a scalable reinforcement learning method for training multi-task policies from large offline datasets that can leverage both human demonstrations and autonomously collected data. Our method uses a Transformer to provide a scalable representation for Q-functions trained via offline temporal difference backups. We therefore refer to the method as Q-Transformer. By discretizing each action dimension and representing the Q-value of each action dimension as separate tokens, we can apply effective high-capacity sequence modeling techniques for Q-learning. We present several design decisions that enable good performance with offline RL training, and show that Q-Transformer outperforms prior offline RL algorithms and imitation learning techniques on a large diverse real-world robotic manipulation task suite. The project’s website and videos can be found at qtransformer.github.io ", + "bbox": [ + 233, + 250, + 764, + 415 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 176, + 435, + 310, + 452 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Robotic learning methods that incorporate large and diverse datasets in combination with highcapacity expressive models, such as Transformers [1, 2, 3, 4, 5, 6], have the potential to acquire generalizable and broadly applicable policies that perform well on a wide variety of tasks [1, 2]. For example, these policies can follow natural language instructions [4, 7], perform multi-stage behaviors [8, 9], and generalize broadly across environments, objects, and even robot morphologies [10, 3]. However, many of the recently proposed high-capacity models in the robotic learning literature are trained with supervised learning methods. As such, the performance of the resulting policy is limited by the degree to which human demonstrators can provide high-quality demonstration data. This is limiting for two reasons. First, we would like robotic systems that are more proficient than human teleoperators, exploiting the full potential of the hardware to perform tasks quickly, fluently, and reliably. Second, we would like robotic systems that get better with autonomously gathered experience, rather than relying entirely on high-quality demonstrations. ", + "bbox": [ + 174, + 462, + 495, + 792 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/8f3b8d97deb66fea8fdfde8197851ec9a51cda09800ea72c66a724048084a978.jpg", + "image_caption": [ + "Figure 1: Q-Transformer enables training highcapacity sequential architectures on mixed quality data. Our policies are able to improve upon human demonstrations and execute a variety of manipulation tasks in the real world. " + ], + "image_footnote": [], + "bbox": [ + 511, + 465, + 813, + 728 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reinforcement learning in principle provides both of these capabilities. A number of promising recent advances demonstrate the successes of large-scale robotic RL in varied settings, such as robotic grasping and stacking [11, 12], learning heterogeneous tasks with human-specified rewards [13], learning multi-task policies [14, 15], learning goal-conditioned policies [16, 17, 18, 19], and robotic navigation [20, 21, 22, 23, 24]. However, training high-capacity models such as Transformers using RL algorithms has proven more difficult to instantiate effectively at large scale. In this paper, we aim to combine large-scale robotic learning from diverse real-world datasets with modern high-capacity Transformer-based policy architectures. ", + "bbox": [ + 174, + 801, + 825, + 869 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 823, + 133 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "While in principle simply replacing existing architectures (e.g., ResNets [15] or smaller convolutional neural networks [11, 14]) with a Transformer is conceptually straightforward, devising a methodology that effectively makes use of such architectures is considerably more challenging. High-capacity models only make sense when we train on large and diverse datasets – small, narrow datasets simply do not require this much capacity and do not benefit from it. While prior works used simulation to create such datasets [2, 25, 26], the most representative data comes from the real world [12, 11, 14]. Therefore, we focus on reinforcement learning methods that can use Transformers and incorporate large, previously collected datasets via offline RL. Offline RL methods train on prior data, aiming to derive the most effective possible policy from a given dataset. Of course, this dataset can be augmented with additionally autonomously gathered data, but the training is separated from data collection, providing an appealing workflow for large-scale robotics applications [27]. ", + "bbox": [ + 174, + 138, + 825, + 291 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Another issue in applying Transformer models to RL is to design RL systems that can effectively train such models. Effective offline RL methods generally employ Q-function estimation via temporal difference updates [28]. Since Transformers model discrete token sequences, we convert the Q-function estimation problem into a discrete token sequence modeling problem, and devise a suitable loss function for each token in the sequence. Na¨ıvely discretizing the action space leads to exponential blowup in action cardinality, so we employ a per-dimension discretization scheme, where each dimension of the action space is treated as a separate time step for RL. Different bins in the discretization corresponds to distinct actions. The per-dimension discretization scheme allows us to use simple discrete-action Q-learning methods with a conservative regularizer to handle distributional shift [29, 30]. We propose a specific regularizer that minimizes values of every action that was not taken in the dataset and show that our method can learn from both narrow demonstration-like data and broader data with exploration noise. Finally, we utilize a hybrid update that combines Monte Carlo and $n$ -step returns with temporal difference backups [31], and show that doing so improves the performance of our Transformer-based offline RL method on large-scale robotic learning problems. ", + "bbox": [ + 174, + 297, + 825, + 491 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In summary, our main contribution is the Q-Transformer, a Transformer-based architecture for robotic offline reinforcement learning that makes use of per-dimension tokenization of Q-values and can readily be applied to large and diverse robotic datasets, including real-world data. We summarize the components of Q-Transformer in Figure 1. Our experimental evaluation validates the Q-Transformer by learning large-scale text-conditioned multi-task policies, both in simulation for rigorous comparisons and in large-scale real-world experiments for realistic validation. Our real-world experiments utilize a dataset with 38,000 successful demonstrations and 20,000 failed autonomously collected episodes on more than 700 tasks, gathered with a fleet of 13 robots. QTransformer outperforms previously proposed architectures for large-scale robotic RL [15, 14], as well as previously proposed Transformer-based models such as the Decision Transformer [32, 33]. ", + "bbox": [ + 174, + 497, + 825, + 636 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 647, + 321, + 664 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Offline RL has been extensively studied in recent works [34, 35, 36, 37, 35, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 39]. Conservative Q-learning (CQL) [29] learns policies constrained to a conservative lower bound of the value function. Our goal is not to develop a new algorithmic principle for offline RL, but to devise an offline RL system that can integrate with high-capacity Transformers, and scale to real-world multi-task robotic learning. We thus develop a version of CQL particularly effective for training large Transformer-based Q-functions on mixed quality data. While some works have noted that imitation learning outperforms offline RL on demonstration data [49], other works showed offline RL techniques to be effective with demonstrations both in theory and in practice [50, 15]. Nonetheless, a setting that combines “narrow” demonstration data with “broad” sub-optimal (e.g., autonomously collected) data is known to be particularly difficult [51, 52, 53], though it is quite natural in many robotic learning settings where we might want to augment a core set of demonstrations with relatively inexpensive low-quality autonomously collected data. We believe that the effectiveness of our method in this setting is of particular interest to practitioners. ", + "bbox": [ + 174, + 670, + 825, + 849 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Transformer-based architectures [54] have been explored in recent robotics research, both to learn generalizable task spaces [55, 56, 57, 58, 8, 59] and to learn multi-task or even multi-domain sequential policies directly [2, 1, 6, 3]. Although most of these works considered Transformers in a supervised learning setting, e.g., learning from demonstrations [4, 5], there are works on employing Transformers for RL and conditional imitation learning [32, 20, 60, 33]. In our experiments, we compare to Decision Transformer (DT) in particular [32], which extends conditional imitation learning with reward conditioning [61, 62] to use sequence models, and structurally resembles imitation learning methods that have been used successfully for robotic control. Although DT incorporates elements of RL (namely, reward functions), it does not provide a mechanism to improve over the demonstrated behavior or recombine parts of the dataset to synthesize more optimal behaviors, and indeed is known to have theoretical limitations [63]. On the other hand, such imitation-based recipes are popular perhaps due to the difficulty of integrating Transformer architectures with more powerful temporal difference methods (e.g., Q-learning). We show that several simple but important design decisions are needed to make this work, and our method significantly outperforms non-TD methods such as DT, as well as imitation learning, on our large-scale multi-task robotic control evaluation. Extending Decision Transformer, Yamagata et al. [64] proposed to use a Q-function in combination with a Transformer-based policy, but the Q-function itself did not use a Transformer-based architecture. Our Q-function could in principle be combined with this method, but our focus is specifically on directly training Transformers to represent Q-values. ", + "bbox": [ + 176, + 856, + 823, + 911 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/986b982ec8c568fb40ea32d38ae1b19d3470a6ea1e8ed97267472f6f8e9e17f2.jpg", + "image_caption": [ + "Figure 2: Q-values update for each action dimension at timestep t. Given a history of states, we update the Q-values of all bins in all action dimensions. The Q-values of the discrete action bins of the dataset actions are trained via the Bellman update (green boxes). The values of action bins not observed in the dataset are minimized towards zero (red boxes). The Q-targets of all action dimensions except the last one are computed using maximization over the next action dimension within the same time step. The Q-target of the last action dimension is computed using the discounted maximization of the first dimension of the next time step plus the reward. We also incorporate Monte Carlo returns by taking the maximum of the computed Q-targets and the return-to-go. " + ], + "image_footnote": [], + "bbox": [ + 202, + 87, + 790, + 272 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 400, + 825, + 608 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To develop a Transformer-based Q-learning method, we discretize each action space dimension, with each dimension acting as a distinct time step. Autoregressive generation of discrete actions has been explored by Metz et al. [65], who propose a hierarchical decomposition of an MDP and then utilize LSTM [66] for autoregressive discretization. Our discretization scheme is similar but simpler, in that we do not use any hierarchical decomposition but simply treat each dimension as a time step. However, since our goal is to perform offline RL at scale with real-world image based tasks (vs. the smaller state-space tasks learned via online RL by Metz et al. [65]), we present a number of additional design decisions to impose a conservative regularizer, enabling training our Transformerbased offline Q-learning method at scale, providing a complete robotic learning system. ", + "bbox": [ + 174, + 613, + 825, + 739 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Background ", + "text_level": 1, + "bbox": [ + 174, + 750, + 308, + 766 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In RL, we learn policies $\\pi$ that maximizes the expected total reward in a Markov decision process (MDP) with states $s$ , actions $a$ , discount factor $\\gamma \\in \\mathsf { \\Gamma } ( 0 , 1 ]$ , transition function $T ( s ^ { \\prime } | s , { \\bar { a } } )$ and a reward function $R ( s , a )$ . Actions $a$ have dimensionality $d _ { \\mathcal { A } }$ . Value-based RL approaches learn a Q-function $Q ( s , a )$ representing the total discounted return $\\begin{array} { r } { \\sum _ { t } \\gamma ^ { t } R ( s _ { t } , a _ { t } ) } \\end{array}$ , with policy $\\pi ( a | s ) =$ arg maxa $Q ( s , a )$ . The Q-function can be learned by iteratively applying the Bellman operator [67]: ", + "bbox": [ + 173, + 771, + 825, + 840 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/569597bb7f17aba457ce3e4ccbde1fb37c48889bc9ee42c773acbcfffbe3f640.jpg", + "text": "$$\n\\mathcal { B } ^ { * } Q ( s _ { t } , a _ { t } ) = R ( s _ { t } , a _ { t } ) + \\gamma \\operatorname* { m a x } _ { a _ { t + 1 } } Q ( s _ { t + 1 } , a _ { t + 1 } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 334, + 844, + 661, + 868 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "approximated via function approximation and sampling. The offline RL setting assumes access to an offline dataset of transitions or episodes, produced by some unknown behavior policy $\\pi _ { \\beta } ( a | s )$ , but does not assume the ability to perform additional online interaction during training. This is appealing for real-world robotic learning, where on-policy data collection is time-consuming. Learning from offline datasets requires addressing distributional shift, since in general the action that maximizes $Q ( s _ { t + 1 } , a _ { t + 1 } )$ might lie outside of the data distribution. One approach to mitigate this is to add a conservative penalty [29, 52] that pushes down the Q-values $Q ( s , a )$ for any action $a$ outside of the dataset, thus ensuring that the maximum value action is in-distribution. ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/66b914dead3ba20f12925e3d7db42b32bbe75dce7aa50d0d18bb162fd19fdb6e.jpg", + "image_caption": [ + "Figure 3: Q-Transformer network architecture, as applied to our multi-task language-conditioned robotic control setting. The encoding of the observations is concatenated with embeddings of the previous predicted action dimensions and processed by Transformer layers. We apply a sigmoid to the Transformer output to produce Q-values (normalized to lie in the range $[ 0 , 1 ] )$ for each of the action value bins. Finally, one-hot action vectors are constructed by taking the arg max over all bins and are fed back to the network to predict the Q-values of the next action dimensions. The language instruction is encoded with Universal Sentence Encoder [68] and then fed to FiLM EfficientNet [69, 70] network together with the robot camera images. " + ], + "image_footnote": [], + "bbox": [ + 181, + 85, + 803, + 217 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 343, + 825, + 412 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this work, we consider tasks with sparse rewards, where a binary reward $R \\in \\{ 0 , 1 \\}$ (indicating success or failure) is assigned at the last time step of episodes. Although our method is not specific to this setting, such reward structure is common in robotic manipulation tasks that either succeed or fail on each episode, and can be particularly challenging for RL due to the lack of reward shaping. ", + "bbox": [ + 174, + 419, + 825, + 476 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 Q-Transformer ", + "text_level": 1, + "bbox": [ + 174, + 487, + 334, + 505 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this section, we introduce Q-Transformer, an architecture for offline Q-learning with Transformer models, which is based on three main ingredients. First, we describe how we apply discretization and autoregression to enable TD-learning with Transformer architectures. Next, we introduce a particular conservative Q-function regularizer that enables learning from offline datasets. Lastly, we show how Monte Carlo and $n$ -step returns can be used to improve learning efficiency. ", + "bbox": [ + 174, + 510, + 825, + 580 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 Autoregressive Discrete Q-Learning ", + "text_level": 1, + "bbox": [ + 176, + 588, + 462, + 603 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Using Transformers with Q-learning presents two challenges: (1) we must tokenize the inputs to effectively apply attention mechanisms, which requires discretizing the action space; (2) we must perform maximization of Q-values over discretized actions while avoiding the curse of dimensionality. Addressing these issues within the standard Q-learning framework requires new modeling decisions. The intuition behind our autoregressive Q-learning update is to treat each action dimension as essentially a separate time step. That way, we can discretize individual dimensions (1D quantities), rather than the entire action space, avoiding the curse of dimensionality. This can be viewed as a simplified version of the scheme proposed in [65], though we apply this to high-capacity Transformer models, extend it to the offline RL setting, and scale it up to real-world robotic learning. ", + "bbox": [ + 173, + 606, + 825, + 731 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Let $\\tau = ( s _ { 1 } , a _ { 1 } , \\dots , s _ { T } , a _ { T } )$ be a trajectory of robotic experience of length $T$ from an offline dataset $\\mathcal { D }$ . For a given time-step $t$ , and the corresponding action $a _ { t }$ in the trajectory, we define a per-dimension view of the action $a _ { t }$ . Let $a _ { t } ^ { 1 : i }$ denote the vector of action dimensions from the first dimension $a _ { t } ^ { 1 }$ until the $i$ -th dimension $a _ { t } ^ { i }$ , where $i$ can range from 1 to the total number of action dimensions, that we denote as $d _ { \\mathcal { A } }$ . Then, for a time window $w$ of state history, we define the Q-value of the action $a _ { t } ^ { i }$ in the $_ { i - t h }$ dimension using an autoregressive Q-function conditioned on states from this time window $s _ { t - w : t }$ and previous action dimensions for the current time step $a _ { t } ^ { 1 : i - 1 }$ . To train the Q-function, we define a per-dimension Bellman update. For all dimensions $i \\in \\{ \\bar { 1 } , \\ldots , d _ { A } \\}$ : ", + "bbox": [ + 173, + 736, + 825, + 849 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/4f751a2835744a7a6d4a3a407c59c8dcaaab05991a98dc0557102b3561e2c40a.jpg", + "text": "$$\nQ ( s _ { t - w : t } , a _ { t } ^ { 1 : i - 1 } , a _ { t } ^ { i } ) \\gets \\left\\{ \\begin{array} { l l } { \\operatorname* { m a x } _ { a _ { t } ^ { i + 1 } } Q ( s _ { t - w : t } , a _ { t } ^ { 1 : i } , a _ { t } ^ { i + 1 } ) } & { \\mathrm { i f ~ } i \\in \\{ 1 , \\dots , d _ { A } - 1 \\} } \\\\ { a _ { t } ^ { i + 1 } } & { \\mathrm { ~ i f ~ } i \\in \\{ 1 , \\dots , d _ { A } \\} } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 183, + 852, + 795, + 910 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The reward is only applied on the last dimension (second line in the equation), as we do not receive any reward before executing the whole action. In addition, we only discount Q-values between the time steps and keep discounting at 1.0 for all but the last dimension within each time step, to ensure the same discounting as in the original MDP. Figure 2 illustrates this process, where each yellow box represents the Q-target computation with additional conservatism and Monte Carlo returns described in the next subsections. It should be noted that by treating each action dimension as a time step for the Bellman update, we do not change the general optimization properties of Q-learning algorithms and the principle of the Bellman optimality still holds for a given MDP as we maximize over an action dimension given the optimality of all action dimensions in the future. We show that this approach provides a theoretically consistent way to optimize the original MDP in Appendix A, with a proof of convergence in the tabular setting in Appendix B. ", + "bbox": [ + 174, + 90, + 825, + 244 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 Conservative Q-Learning with Transformers ", + "text_level": 1, + "bbox": [ + 173, + 252, + 524, + 268 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Having defined a Bellman backup for running Q-learning with Transformers, we now develop a technique that enables learning from offline data, including human demonstrations and autonomously collected data. This typically requires addressing over-estimation due to the distributional shift, when the Q-function for the target value is queried at an action that differs from the one on which it was trained. Conservative Q-learning (CQL) [29] minimizes the Q-function on out-of-distribution actions, which can result in Q-values that are significantly smaller than the minimal possible cumulative reward that can be attained in any trajectory. When dealing with sparse rewards $R \\in \\{ 0 , 1 \\}$ , results in [27] show that the Q-function regularized with a standard conservative objective can take on negative values, even though instantaneous rewards are all non-negative. This section presents a modified version of conservative Q-learning that addresses this issue in our problem setting. ", + "bbox": [ + 174, + 272, + 825, + 411 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The key insight behind our design is that, rather than minimizing the Q-values on actions not in the data, we can instead regularize these $\\mathrm { Q }$ -values to be close to the minimal attainable possible cumulative reward. Concretely, denoting the minimal possible reward on the task as $R _ { \\mathrm { m i n } }$ , and the time horizon of the task as $T$ , our approach regularizes the Q-values on actions not covered by the dataset towards $R _ { \\operatorname* { m i n } } \\cdot T$ , which in our problem setting is equal to 0 (i.e., $R _ { \\mathrm { m i n } } = 0 .$ ). For simplicity of notation, we omit the action dimension indices in presenting the resulting objective, but remark that the training objective below is applied to Bellman backups on all action dimensions as described in the previous section. Let $\\pi _ { \\beta }$ be the behavioral policy that induced a given dataset $\\mathcal { D }$ , and let $\\begin{array} { r } { \\tilde { \\pi } _ { \\beta } ( a | s ) = \\frac { 1 } { Z ( s ) } \\cdot ( 1 . 0 - \\pi _ { \\beta } ( a | \\dot { s } ) ) } \\end{array}$ be the distribution over all actions which have a very low density under $\\pi _ { \\beta } ( a | s )$ . Our objective to train the Q-function is: ", + "bbox": [ + 173, + 416, + 825, + 561 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/150614c1792f137a23173e35064e844028c395f9be48f46f5d4ef598e6d4a0d9.jpg", + "text": "$$\nJ = \\ \\frac { 1 } { 2 } \\underbrace { \\mathbb { E } _ { s \\sim \\mathcal { D } , a \\sim \\pi _ { \\beta } ( a | s ) } \\left[ \\left( Q ( s , a ) - B ^ { * } Q ^ { k } ( s , a ) \\right) ^ { 2 } \\right] } _ { ( i ) , \\mathrm { ~ I D ~ e r r o r } } + \\alpha \\cdot \\frac { 1 } { 2 } \\underbrace { \\mathbb { E } _ { s \\sim \\mathcal { D } , a \\sim \\pi _ { \\beta } ( a | s ) } \\left[ \\left( Q ( s , a ) - 0 \\right) ^ { 2 } \\right] } _ { ( i i ) , \\mathrm { ~ c o n s e r v a t i v e ~ r e g u l a r i z a t i o n ~ } \\mathcal { L } _ { C } } ,\n$$", + "text_format": "latex", + "bbox": [ + 178, + 568, + 797, + 619 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where the first term $( i )$ trains the Q-function by minimizing the temporal difference error objective as defined in Eq. 1, and the second term $( i i )$ regularizes the $\\mathbf { Q }$ -values to the minimal possible $\\mathrm { Q }$ - value of 0 in expectation under the distribution of actions induced by $\\tilde { \\pi } _ { \\beta }$ , which we denote as a conservative regularization term $\\mathcal { L } _ { C }$ . Term $( i i )$ is also weighted by a multiplier $\\alpha$ , which modulates the strength of this conservative regularization. We discuss the choice of $\\alpha$ in our implementation in Appendix D.2 and analyze the behavior of the conservatism term in Appendix C, providing a simple characterization of how this regularizer modifies the learned Q-function in tabular settings. ", + "bbox": [ + 173, + 627, + 825, + 726 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.3 Improving Learning Efficiency with Monte Carlo and $n$ -step Returns ", + "text_level": 1, + "bbox": [ + 174, + 734, + 694, + 750 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "When the dataset contains some good trajectories (e.g., demonstrations) and some suboptimal trajectories (e.g., autonomously collected trials), utilizing Monte Carlo return-to-go estimates to accelerate Q-learning can lead to significant performance improvements, as the Monte Carlo estimates along the better trajectories lead to much faster value propagation. This has also been observed in prior work [31]. Based on this observation, we propose a simple improvement to Q-Transformer that we found to be quite effective in practice. The Monte Carlo return is defined by the cumulative reward within the offline trajectory $\\begin{array} { r } { \\tau \\colon \\mathbf { M } \\mathbf { C } _ { t : T } = \\sum _ { j = t } ^ { T } \\gamma ^ { j - t } R ( s _ { j } , a _ { j } ) } \\end{array}$ . This matches the Q-value of the behavior policy $\\pi _ { \\beta }$ , and since the optimal $Q ^ { * } ( s , a )$ is larger than the Q-value for any other policy, we have $Q ^ { * } ( s _ { t } , a _ { t } ) \\geq \\mathbf { M } \\mathbf { C } _ { t : T }$ . Since the Monte Carlo return is a lower bound of the optimal Q-function, we can augment the Bellman update to take the maximum between the MC-return and the current Q-value: max $( \\mathbf { M } \\mathbf { C } _ { t : T } , Q ( s _ { t } , a _ { t } \\mathbf { \\bar { ) } } )$ , without changing what the Bellman update will converge to. ", + "bbox": [ + 173, + 753, + 825, + 912 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/f92bdbe0b51c194ecf6f9283f428c517cca501a702b0252001d60139f983a236.jpg", + "image_caption": [ + "Figure 4: Left: Real world manipulation tasks. Right: Real world performance comparison. RT-1 [1] is imitation learning on demonstrations. Q-Transformer (Q-T), Decision Transformer (DT) [32], Implicit Q-learning (IQL) [40] learn from both demonstrations and autonomous data. " + ], + "image_footnote": [], + "bbox": [ + 176, + 88, + 821, + 193 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Although this does not change convergence, including this maximization speeds up learning (see Section 5.3). We present a hypothesis why this occurs. In practice, $\\mathrm { Q }$ -values for final timesteps $( s _ { T } , a _ { T } )$ are learned first and then propagated backwards in future gradient steps. It can take multiple gradients for the Q-value to propagate all the way to $( s _ { 1 } , a _ { 1 } )$ . The $\\operatorname* { m a x } ( \\mathbf { M C } , Q )$ allows us to apply useful gradients to $Q ( s _ { 1 } , a _ { 1 } )$ at the start of training before the $\\mathbf { Q }$ -values have propagated. ", + "bbox": [ + 174, + 251, + 823, + 321 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In our experiments, we also notice that additionally employing $n$ -step returns [71, 72] over action dimensions can significantly help with the learning speed. We pick $n$ such that the final Q-value of the last dimension of the next time step is used as the Q-target. This is because we get a new state and reward only after inferring and executing the whole action as opposed to parts of it, meaning that intermediate rewards remain 0 all the way until the last action dimension. While this introduces bias to the Bellman backups, as is always the case with off-policy learning with $n$ -step returns, we find in our ablation study in Section 5.3 that the detrimental effects of this bias are small, while the speedup in training is significant. This is consistent with previously reported results [72]. More details about our Transformer sequence model architecture (depicted in Figure 3) conservative Qlearning implementation, and the robot system can be found in Appendix D. ", + "bbox": [ + 174, + 327, + 825, + 465 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 Experiments ", + "text_level": 1, + "bbox": [ + 173, + 477, + 312, + 494 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In our experiments, we aim to answer the following questions: (1) Can Q-Transformer learn from a combination of demonstrations and sub-optimal data? (2) How does Q-Transformer compare to other methods? (3) How important are the specific design choices in Q-Transformer? (4) Can QTransformer be applied to large-scale real world robotic manipulation problems? ", + "bbox": [ + 174, + 501, + 825, + 558 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.1 Real-world language-conditioned manipulation evaluation ", + "text_level": 1, + "bbox": [ + 173, + 568, + 617, + 582 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Training dataset. The offline data used in our experiments was collected with a fleet of 13 robots, and consists of a subset of the demonstration data described by Brohan et al. [1], combined with lower quality autonomously collected data. The demonstrations were collected via human teleoperation for over 700 distinct tasks, each with a separate language description. We use a maximum of 100 demonstrations per task, for a total of about 38,000 demonstrations. All of these demonstrations succeed on their respective tasks and receive a reward of 1.0. The rest of the dataset was collected by running the robots autonomously, executing policies learned via behavioral cloning. ", + "bbox": [ + 174, + 587, + 825, + 684 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To ensure a fair comparison between Q-Transformer and imitation learning methods, we discard all successful episodes in the autonomously collected data when we train our method, to ensure that by including the autonomous data the Q-Transformer does not get to observe more successful trials than the imitation learning baselines. This leaves us with about 20,000 additional autonomously collected failed episodes, each with a reward of 0.0, for a dataset size of about 58,000 episodes. The episodes are on average 35 time steps in length. Examples of the tasks are shown in Figure 4. ", + "bbox": [ + 174, + 690, + 825, + 773 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Performance evaluation. To evaluate how well Q-Transformer can perform when learning from real-world offline datasets while effectively incorporating autonomously collected failed episodes, we evaluate Q-Transformer on 72 unique manipulation tasks, and a variety of different skills, such as “drawer pick and place”, “open and close drawer”, “move object near target”, each consisting of 18, 7 and 48 unique tasks instructions respectively to specify different object combinations and drawers. As such, the average success rate in Table 4 is the average over 72 tasks. ", + "bbox": [ + 174, + 779, + 823, + 863 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Since each task in the training set only has a maximum of 100 demonstrations, we observe from Figure 4 that an imitation learning algorithm like RT-1 [1], which also uses a similar Transformer architecture, struggles to obtain a good performance when learning from only the limited pool of successful robot demonstrations. Existing offline RL methods, such as IQL [40] and a Transformerbased method such as Decision Transformer [32], can learn from both successful demonstrations and failed episodes, and show better performance compared to RT-1, though by a relatively small margin. Q-Transformer has the highest success rate and outperforms both the behavior cloning baseline (RT-1) and offline RL baselines (Decision Transformer, IQL), exceeding the average performance of the best-performing prior method by about $70 \\%$ . This demonstrates that Q-Transformer can effectively improve upon human demonstrations using autonomously collected sub-optimal data. ", + "bbox": [ + 174, + 869, + 823, + 911 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 189 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Appendix G also shows that Q-Transformer can be successfully applied in combination with a recently proposed language task planner [8] to perform both affordance estimation and robot action execution. Q-Transformer outperforms prior methods for planning and executing long-horizon tasks. ", + "bbox": [ + 174, + 194, + 825, + 237 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.2 Benchmarking in simulation ", + "text_level": 1, + "bbox": [ + 176, + 252, + 411, + 267 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section, we evaluate Q-Transformer on a challenging simulated offline RL task that require incorporating sub-optimal data to solve the task. In particular, we use a visual simulated picking task depicted in Figure 5, where we have a small amount of position controlled human demonstrations ${ \\sim } 8 \\%$ of the data). The demonstrations are replayed with noise to generate more trajectories ( ${ \\sim } 9 2 \\%$ of the data). Figure 5 shows a comparison to several offline algorithms, such as QT-Opt with CQL [11, 29], IQL [40], AW-Opt [73], and Decision Transformer [32], along with RT-1 using Behavioral Cloning [1] on demonstrations only. As we see, algorithms that can effectively perform TDlearning to combine optimal and sub-optimal data (such as Q-Transformer and QT-Opt) perform better than others. BC with RT-1 is not ", + "bbox": [ + 174, + 273, + 483, + 522 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/a2c99c10cf55b4c6ab22b7a5b8fd317dcfb759dd2644215d5fd65744698b5e1f.jpg", + "image_caption": [ + "Figure 5: Performance comparison on a simulated picking task. " + ], + "image_footnote": [], + "bbox": [ + 496, + 276, + 821, + 484 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "able to take advantage of sub-optimal data. Decision Transformer is trained on both demonstrations and sub-optimal data, but is not able to leverage the noisy data for policy improvement and does not end up performing as well as our method. Although IQL and AW-Opt perform TD-learning, the actor remains too close to the data and can not fully leverage the sub-optimal data. Q-Transformer is able to both bootstrap the policy from demonstrations and also quickly improve through propagating information with TD-learning. We also analyze the statistical significance of the results by training with multiple random seeds in Appendix F. ", + "bbox": [ + 174, + 522, + 825, + 618 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.3 Ablations ", + "text_level": 1, + "bbox": [ + 174, + 633, + 279, + 648 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We perform a series of ablations of our method design choices in simulation, with results presented in Figure 6 (left). First, we demonstrate that our choice of conservatism for Q-Transformer performs better than the standard CQL regularizer, which corresponds to a softmax layer on top of the Q-function outputs with a cross-entropy loss between the dataset action and the output of this softmax [29]. This regularizer plays a similar role to the one we propose, decreasing the Q-values for out-of-distribution actions and staying closer to the behavior policy. ", + "bbox": [ + 174, + 656, + 825, + 739 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "As we see in Figure 6 (left), performance with softmax conservatism drops to around the fraction of demonstration episodes $( \\sim 8 \\% )$ . This suggests a collapse to the behavior policy as the conservatism penalty becomes too good at constraining to the behavior policy distribution. Due to the nature of the softmax, pushing Q-values down for unobserved actions also pushes Q-values up for the observed actions, and we theorize this makes it difficult to keep Q-values low for sub-optimal in-distribution actions that fail to achieve high reward. Next, we show that using conservatism is important. When removing conservatism entirely, we observe that performance collapses. Actions that are rare in the dataset will have overestimated Q-values, since they are not trained by the offline Q-learning procedure. The resulting overestimated values will propagate and collapse the entire Q-function, as described in prior work [38]. Finally, we ablate the Monte-Carlo returns and again observe performance collapse. This demonstrates that adding information about the sampled future returns significantly helps in bootstrapping the training of large architectures such as Transformers. ", + "bbox": [ + 174, + 746, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/1eba88ec9249b5b4812bc607c8926c1418975b18085015c1bc5e30d4d2d5bc77.jpg", + "image_caption": [ + "Figure 6: Left: Ablations: changing to softmax conservatism decreases performance. Removing MC returns or conservatism completely collapse performance. Top Right: The $n$ -step return version of our method reaches similar performance to the standard version with 4 times fewer steps, indicating that the added bias from $n$ -step returns is small compared to the gain in training speed. Using $n$ -step return also leads to better performance on tasks that have longer horizon, e.g. move object near target. Bottom Right: Success rates on real world task categories with a larger dataset. " + ], + "image_footnote": [], + "bbox": [ + 174, + 92, + 493, + 227 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/c56b0574733981cab833e76ad054a637ff0fcae2988ec6f6c71be7f1c2b609e7.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
n-step ablationn-step 1-step1-step
# of gradient steps Training duration (hours)137480 582960 32 163136920 40
pick object move object near target94% 88%97% 92% 80% 67%
Large offline datasetQ-T DTRT-1
Average success rate88% 78%82%
", + "bbox": [ + 501, + 92, + 810, + 224 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also ablate the choice of $n$ -step returns from the Section 4.3 on real robots and observe that using $n$ -step returns leads to a significantly faster training speed as measured by the number of gradient steps and wall clock time compared to using 1-step returns, with a minimal loss in performance, as shown in Figure 6 (top right). ", + "bbox": [ + 174, + 324, + 825, + 380 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.4 Massively scaling up Q-Transformer ", + "text_level": 1, + "bbox": [ + 176, + 388, + 465, + 404 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The experiments in the previous section used a large dataset that included successful demonstrations and failed autonomous trials, comparable in size to some of the largest prior experiments that utilized demonstration data [74, 15, 58]. We also carry out a preliminary experiment with a much larger dataset to investigate the performance of Q-Transformer as we scale up the dataset size. ", + "bbox": [ + 174, + 407, + 825, + 463 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "This experiment includes all of the data collected with 13 robots and comprises of the demonstrations used by RT-1 [1] and successful autonomous episodes, corresponding to about 115,000 successful trials, and an additional 185,000 failed autonomous episodes, for a total dataset size of about 300,000 trials. Model architecture and hyperparameters were kept exactly the same, as the computational cost of the experiment made further hyperparameter tuning prohibitive (in fact, we only train the models once). Note that with this number of successful demonstrations, even standard imitation learning with the RT-1 architecture already performs very well, attaining $82 \\%$ success rate. However, as shown in Figure 6 (bottom right), Q-Transformer was able to improve even on this very high number. This experiment demonstrates that Q-Transformer can continue to scale to extremely large dataset sizes, and continues to outperform both imitation learning with RT-1 and Decision Transformer. ", + "bbox": [ + 174, + 469, + 825, + 608 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 Limitations and Discussion ", + "text_level": 1, + "bbox": [ + 176, + 619, + 431, + 637 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this paper, we introduced the Q-Transformer, an architecture for offline reinforcement learning with high-capacity Transformer models that is suitable for large-scale multi-task robotic RL. Our framework does have several limitations. First, we focus on sparse binary reward tasks corresponding to success or failure for each trial. While this setup is reasonable for a broad range of episodic robotic manipulation problems, it is not universal, and we expect that Q-Transformer could be extended to more general settings as well in the future. ", + "bbox": [ + 174, + 643, + 825, + 727 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Second, the per-dimension action discretization scheme that we employ may become more cumbersome in higher dimensions (e.g., controlling a humanoid robot), as the sequence length and inference time for our model increases with action dimensionality. Although $n$ -step returns mitigate this to a degree, the length of the sequences still increases with action dimensionality. For such higherdimensional action space, adaptive discretization methods might also be employed, for example by training a discrete autoencoder model and reducing representation dimensionality. Uniform action discretization can also pose problems for manipulation tasks that require a large range of motion granularities, e.g. both coarse and fine movements. In this case, adaptive discretization based on the distribution of actions could be used for representing both types of motions. ", + "bbox": [ + 174, + 733, + 825, + 858 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Finally, in this work we concentrated on the offline RL setting. However, extending Q-Transformer to online finetuning is an exciting direction for future work that would enable even more effective autonomous improvement of complex robotic policies. ", + "bbox": [ + 174, + 864, + 823, + 906 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "References \n[1] A. Brohan, N. Brown, J. Carbajal, Y. Chebotar, J. Dabis, C. Finn, K. Gopalakrishnan, K. Hausman, A. Herzog, J. Hsu, et al. Rt-1: Robotics transformer for real-world control at scale. arXiv preprint arXiv:2212.06817, 2022. \n[2] Y. 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", + "bbox": [ + 171, + 89, + 826, + 920 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 87, + 826, + 919 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 45, + 826, + 917 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 168, + 50, + 826, + 921 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 169, + 90, + 826, + 521 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A Proof of MDP optimization consistency ", + "text_level": 1, + "bbox": [ + 174, + 88, + 537, + 107 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "To show that transforming MDP into a per-action-dimension form still ensures optimization of the original MDP, we show that optimizing the Q-function for each action dimension is equivalent to optimizing the Q-function for the full action. ", + "bbox": [ + 173, + 121, + 825, + 164 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "If we consider the full action $a _ { 1 : d _ { \\mathcal { A } } }$ and that we switch to the state $s ^ { \\prime }$ at the next timestep, the Qfunction for optimizing over the full action MDP would be: ", + "bbox": [ + 173, + 170, + 820, + 199 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/7487f47b2ac1bc6b38c4ab364b5f1b629ef52eb201a3192d6c9da18e940924db.jpg", + "text": "$$\n\\begin{array} { r l } & { \\underset { a _ { 1 : d _ { \\cal A } } } { \\operatorname* { m a x } } Q ( s , a _ { 1 : d _ { \\cal A } } ) = \\underset { a _ { 1 : d _ { \\cal A } } } { \\operatorname* { m a x } } \\left[ R ( s , a _ { 1 : d _ { \\cal A } } ) + \\gamma \\underset { a _ { 1 : d _ { \\cal A } } } { \\operatorname* { m a x } } Q ( s ^ { \\prime } , a _ { 1 : d _ { \\cal A } } ) \\right] } \\\\ & { \\quad \\quad \\quad \\quad = R ( s , a _ { 1 : d _ { \\cal A } } ^ { * } ) + \\gamma \\underset { a _ { 1 : d _ { \\cal A } } } { \\operatorname* { m a x } } Q ( s ^ { \\prime } , a _ { 1 : d _ { \\cal A } } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 289, + 207, + 705, + 270 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $R ( s , a _ { 1 : d _ { A } } ^ { * } )$ is the reward we get after executing the full action. ", + "bbox": [ + 174, + 277, + 630, + 294 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The optimization over each action dimension using our Bellman update is: ", + "bbox": [ + 176, + 297, + 661, + 314 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/d0da9c5ea4c7b137e89f8fa4a27999c9e4cd84da366bdd8228586aff03539d30.jpg", + "text": "$$\n\\begin{array} { r l } { \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\delta , \\epsilon } ^ { \\star } , \\eta _ { \\epsilon } \\in \\mathcal { G } _ { \\epsilon - 1 } \\sim \\mathcal { G } _ { \\epsilon } ^ { \\star } } } & { = - \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon } ^ { \\star } \\cup \\mathcal { G } _ { \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon } ^ { \\star } } } \\\\ & { = \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon } ^ { \\star } \\cup \\mathcal { G } _ { \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon + 1 , \\epsilon - 1 } } } \\\\ & { = \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon } ^ { \\star } \\cup \\mathcal { G } _ { \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & { - \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { F } _ { \\epsilon } \\cup \\mathcal { G } _ { \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & { - \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { F } _ { \\epsilon } \\cap \\mathcal { G } _ { \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & { - \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon + 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & { - \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon + 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & { = \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon + 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } + \\operatorname* { m a x } _ { \\mathbf { x } \\in \\mathcal { G } _ { \\epsilon + 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 , \\epsilon - 1 } } } \\\\ & - \\operatorname* { m a x } _ \\ \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 259, + 325, + 738, + 625 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "which optimizes the original full action MDP as in Eq. 3. ", + "bbox": [ + 173, + 633, + 549, + 648 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B Proof of convergence ", + "text_level": 1, + "bbox": [ + 174, + 669, + 383, + 686 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Convergence of Q-learning has been shown in the past [67, 75]. Below we demonstrate that per-action dimension Q-function converges as well, by providing a proof almost identical to the standard $\\mathrm { Q }$ -learning convergence proof, but extended to account for the per-action dimension maximization. ", + "bbox": [ + 173, + 702, + 825, + 758 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Let $d _ { \\mathcal { A } }$ be the dimensionality of the action space, $a$ indicates a possible sequence of actions, whose dimension is not necessarily equal to the dimension of the action space. That is: ", + "bbox": [ + 169, + 777, + 823, + 808 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/b040944a45e4f5ac99da083a45c7e52c6615808d3aa22be78ca9577f3432e467.jpg", + "text": "$$\na \\in \\{ a _ { 1 : i } , \\forall i \\leq d _ { A } \\}\n$$", + "text_format": "latex", + "bbox": [ + 431, + 828, + 566, + 845 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "To proof convergence, we can demonstrate that the Bellman operator applied to the per-action dimension Q-function is a contraction, i.e.: ", + "bbox": [ + 171, + 858, + 823, + 887 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/37b47e0fc95bee4ea8586f854d0829efb89afb432a1c4b9c4b1bf53e064e01ad.jpg", + "text": "$$\n| | \\mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \\mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \\infty } \\leq c | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \\infty } ,\n$$", + "text_format": "latex", + "bbox": [ + 297, + 895, + 699, + 912 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where ", + "bbox": [ + 173, + 92, + 217, + 106 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/bc6b2b1fefab326201752b12ff8f248a04ed408f41c0b7de862e7e9747e0237e.jpg", + "text": "$$\nB ^ { \\ast } Q ( s , a ) = \\left\\{ \\begin{array} { l l } { R ( s , a ) + \\gamma \\displaystyle \\operatorname* { m a x } _ { a ^ { \\prime } } Q ( s , a , a ^ { \\prime } ) } & { \\mathrm { i f ~ t h e ~ d i m e n s i o n ~ o f ~ } a \\mathrm { ~ i s ~ l e s s ~ t h a n ~ } d \\mathcal { A } } \\\\ { R ( s , a ) + \\gamma \\displaystyle \\operatorname* { m a x } _ { a ^ { \\prime } } \\frac { E } { s ^ { \\prime } } [ Q ( s ^ { \\prime } , a ^ { \\prime } ) ] } & { \\mathrm { i f ~ t h e ~ d i m e n s i o n ~ o f ~ } a \\mathrm { ~ i s ~ e q u a l ~ t o ~ } d \\mathcal { A } } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 217, + 111, + 771, + 155 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "$a ^ { \\prime }$ is the next action dimension following the sequence $a , s ^ { \\prime }$ is the next state of the MDP, $\\gamma$ is the discounting factor, and $0 \\leq c \\leq 1$ . ", + "bbox": [ + 173, + 167, + 825, + 198 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proof: We can show that this is the case as follows: ", + "bbox": [ + 174, + 217, + 509, + 231 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Case 1: For action sequence whose dimension is less than the dimension of the action space. ", + "bbox": [ + 169, + 251, + 779, + 266 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/8787bf610cf5381f089a6a4c0f59bf827659bc7b4be889459956c1de3da2f818.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \\mathcal { B } ^ { * } Q _ { 2 } ( s , a ) } \\\\ & { \\quad = R ( s , a ) + \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } Q _ { 1 } ( s , a , a ^ { \\prime } ) - R ( s , a ) - \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } Q _ { 2 } ( s , a , a ^ { \\prime } ) } \\\\ & { \\quad = \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } [ Q _ { 1 } ( s , a , a ^ { \\prime } ) - Q _ { 2 } ( s , a , a ^ { \\prime } ) ] } \\\\ & { \\quad \\le \\gamma \\underset { s , a } { \\operatorname* { s u p } } [ Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) ] } \\\\ & { \\quad \\Longrightarrow | | \\mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \\mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \\infty } \\le \\gamma | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \\infty } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 271, + 272, + 725, + 386 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "where $\\operatorname { s u p } _ { s , a }$ is the supremum over all action sequences, with $0 \\leq \\gamma \\leq 1$ and $\\| f \\| _ { \\infty } = \\operatorname* { s u p } _ { x } [ f ( x ) ]$ . ", + "bbox": [ + 171, + 390, + 825, + 406 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Case 2: For action sequence whose dimension is equal to the dimension of the action space ", + "bbox": [ + 171, + 424, + 771, + 440 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/de2fd24a8f8370a32f347fc1e451a861e64825afcf94de61d1ff8c3635462ae1.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \\mathcal { B } ^ { * } Q _ { 2 } ( s , a ) } \\\\ & { \\ = R ( s , a ) + \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } E [ Q _ { 1 } ( s ^ { \\prime } , a ^ { \\prime } ) ] - R ( s , a ) - \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } E [ Q _ { 2 } ( s ^ { \\prime } , a ^ { \\prime } ) ] } \\\\ & { \\ = \\gamma \\underset { a ^ { \\prime } } { \\operatorname* { m a x } } E [ Q _ { 1 } ( s ^ { \\prime } , a ^ { \\prime } ) - Q _ { 2 } ( s ^ { \\prime } , a ^ { \\prime } ) ] } \\\\ & { \\ \\leq \\gamma \\underset { s , a } { \\operatorname* { s u p } } [ Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) ] } \\\\ & { \\ \\Longrightarrow \\ | | \\mathcal { B } ^ { * } Q _ { 1 } ( s , a ) - \\mathcal { B } ^ { * } Q _ { 2 } ( s , a ) | | _ { \\infty } \\leq \\gamma | | Q _ { 1 } ( s , a ) - Q _ { 2 } ( s , a ) | | _ { \\infty } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 259, + 444, + 736, + 561 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C Analysis of the conservatism term ", + "text_level": 1, + "bbox": [ + 173, + 598, + 493, + 616 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "With the goal of understanding the behavior of our training procedure, we theoretically analyze the solution obtained by Eq. 2 for the simpler cases when $Q$ is represented as a table, and when the objective in Eq. 2 can be minimized exactly. We derive the minimizer of the objective in Eq. 2 by differentiating $J$ with respect to $Q$ : ", + "bbox": [ + 174, + 628, + 825, + 685 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/d0d9029ad042d428a10b4cd0114f02f4fa8a7a3bdb61051b9325fc1ba058ad5c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\forall s , a , k , \\frac { d J } { d Q ( s , a ) } = 0 } \\\\ & { \\pi _ { \\beta } ( a | s ) \\left( Q ( s , a ) - B ^ { * } Q ^ { k } ( s , a ) \\right) + \\alpha \\tilde { \\pi } _ { \\beta } ( a | s ) Q ( s , a ) = 0 } \\\\ & { Q ( s , a ) \\left( \\pi _ { \\beta } ( a | s ) + \\alpha \\tilde { \\pi } _ { \\beta } ( a | s ) \\right) = \\pi _ { \\beta } ( a | s ) B ^ { * } Q ^ { k } ( s , a ) } \\\\ & { Q ^ { k + 1 } ( s , a ) = \\underbrace { \\pi _ { \\beta } ( a | s ) } _ { : = m ( s , a ) } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 308, + 690, + 687, + 823 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Eq. 4 implies that training with the objective in Eq. 2 performs a weighted Bellman backup: unlike the standard Bellman backup, training with Eq. 2 multiplies large Q-value targets by a weight $m ( s , a )$ . This weight $m ( s , a )$ takes values between 0 and 1, with larger values close to 1 for indistribution actions where $( s , a ) \\in \\mathcal { D }$ , and very small values close to 0 for out-of-distribution actions $a$ at any state $s$ (i.e., actions where $\\pi _ { \\beta } ( a | s )$ is small). Thus, the Bellman backup induced via Eq. 4 should effectively prevent over-estimation of Q-values for unseen actions. ", + "bbox": [ + 173, + 827, + 825, + 912 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "D Q-Transformer Architecture & System ", + "text_level": 1, + "bbox": [ + 173, + 89, + 534, + 107 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In this section, we describe the architecture of Q-Transformer as well as the important implementation and system details that make it an effective Q-learning algorithm for real robots. ", + "bbox": [ + 176, + 123, + 821, + 151 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D.1 Transformer sequence model architecture ", + "text_level": 1, + "bbox": [ + 173, + 172, + 506, + 188 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Our neural network architecture is shown in Figure 3. The architecture is derived from the RT-1 design [1], adapted to accommodate the Q-Transformer framework, and consists of a Transformer backbone that reads in images via a convolutional encoder followed by tokenization. Since we apply Q-Transformer to a multi-task robotic manipulation problem where each task is specified by a natural language instruction, we first embed the natural language instruction into an embedding vector via the Universal Sentence Encoder [68]. The embedding vector and images from the robot camera are then converted into a sequence of input tokens via a FiLM EfficientNet [69, 70]. In the standard RT-1 architecture [1], the robot action space is discretized and the Transformer sequence model outputs the logits for the discrete action bins per dimension and per time step. In this work, we extend the network architecture to use Q-learning by applying a sigmoid activation to the output values for each action, and interpreting the resulting output after the sigmoid as Q-values. This representation is particularly suitable for tasks with sparse per-episode rewards $R \\in [ 0 , 1 ]$ , since the Q-values may be interpreted as probabilities of task success and should always lie in the range $[ 0 , 1 ]$ . Note that unlike the standard softmax, this interpretation of Q-values does not prescribe normalizing across actions (i.e., each action output can take on any value in $[ 0 , 1 ] )$ ). ", + "bbox": [ + 174, + 199, + 825, + 407 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Since our robotic system, described in Section D.3, has 8-dimensional actions, we end up with 8 dimensions per time step and discretize each one into $N = 2 5 6$ value bins. Our reward function is a sparse reward that assigns value 1.0 at the last step of an episode if the episode is successful and 0.0 otherwise. We use a discount rate $\\gamma = 0 . 9 8$ . As is common in deep RL, we use a target network to estimate target Q-values $Q ^ { k }$ , using an exponential moving average of $Q$ -network weights to update the target network. The averaging constant is set to 0.01. ", + "bbox": [ + 174, + 412, + 825, + 497 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D.2 Conservative Q-learning implementation ", + "text_level": 1, + "bbox": [ + 176, + 517, + 500, + 532 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "The conservatism penalty in Section 4.2 requires estimating expectations under $\\pi _ { \\beta } ( a | s )$ and $\\tilde { \\pi } _ { \\beta } ( a | s ) \\propto ( 1 - \\pi _ { \\beta } ( \\bar { a } | s ) )$ , with the latter being especially non-trivial to estimate. We employ a simple and crude approximation that we found to work well in practice, replacing $\\pi _ { \\beta } ( a | s )$ with the empirical distribution corresponding, for each sampled state-action tuple $( s _ { j } , a _ { j } ) \\in \\mathcal { D }$ , to a Dirac delta centered on $a _ { j }$ , such that $\\pi _ { \\beta } ( { \\bar { a } } | s _ { j } ) = \\delta ( a = { \\bar { a } } _ { j } )$ . This results in a simple expression for $\\tilde { \\pi } _ { \\beta } ( a | s _ { j } )$ corresponding to the uniform distribution over all other actions, such that ${ \\tilde { \\pi } } _ { \\beta } ( a | s _ { j } ) \\propto \\delta ( a \\stackrel { . } { \\neq } a _ { j } )$ . After discretizing the actions, there are $N - 1$ bins per dimension to exhaustively iterate over when computing the conservatism term in Eq. 2, which is the same as taking the average over targets for all unseen action values. In our experiments, we find that simply setting the conservatism weight to $\\alpha = 1 . 0$ worked best, without additional tuning. ", + "bbox": [ + 173, + 545, + 825, + 683 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D.3 Robot system overview ", + "text_level": 1, + "bbox": [ + 174, + 704, + 375, + 718 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "The robot that we use in this work is a mobile manipulator with a 7-DOF arm with a 2 jaw parallel gripper, attached to a mobile base with a head-mounted RGB camera, illustrated in Figure 1. The RGB camera provides a $6 4 0 \\times 5 1 2$ RGB image, which is downsampled to $3 2 0 \\times 2 5 6$ before being consumed by the Q-Transformer. See Figure 4 for images from the robot camera view. The learned policy is set up to control the arm and the gripper of the robot. Our action space consists of 8 dimensions: 3D position, 3D orientation, gripper closure command, and an additional dimension indicating whether the episode should terminate, which the policy must trigger to receive a positive reward upon successful task completion. Position and orientation are relative to the current pose, while the gripper command is the absolute closedness fraction, ranging from fully open to fully closed. Orientation is represented via axis-angles, and all actions except whether to terminate are continuous actions discretized over their full action range in 256 bins. The termination action is binary, but we pad it to be the same size as the other action dimensions to avoid any issues with unequal weights. The policy operates at $3 \\ : \\mathrm { H z }$ , with actions executed asynchronously [76]. ", + "bbox": [ + 173, + 731, + 825, + 911 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Algorithm 1 Temporal difference error and loss computation for one action dimension i at timestep $t$ , $\\hat { a } _ { t } ^ { i }$ . ", + "bbox": [ + 169, + 90, + 823, + 119 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Input Sequence of state in time window of size $w$ , $s _ { t - w : t }$ Input Language embedding of task instruction $l$ . \nInput The state at timestep $t + 1$ , $s _ { t + 1 }$ . \nInput Dataset action up to dimension $i$ , $\\{ \\boldsymbol { \\mathcal { D } } \\boldsymbol { a } _ { t } ^ { j } \\} _ { j = 0 } ^ { i }$ . \nOutput The loss to optimize Q-Transformer. ", + "bbox": [ + 173, + 122, + 552, + 194 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "${ Q } ^ { t a r g } \\gets$ Compute maximum Q-values of the next action dimension using Eq. 1 // Compute the maximum between $\\mathsf { Q }$ -target and Monte Carlo return. $Q ^ { t a r g } \\gets \\mathrm { m a x } ( \\mathbf { M } \\mathbf { C } , Q ^ { t a r g } )$ ", + "bbox": [ + 173, + 207, + 699, + 222 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 234, + 794, + 265 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "// Compute the temporal difference error. $\\mathrm { T D E r r o r } = \\frac { 1 } { 2 } ( \\mathrm { Q } \\mathrm { - } \\mathrm { T r a n s f o r m e r } ( l , s _ { t - w : t } , \\{ a ^ { j } \\} _ { j = 1 } ^ { i } ) - Q ^ { t a r g } ) ^ { 2 }$ ", + "bbox": [ + 171, + 277, + 576, + 320 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "// Compute the conservative regularizer. \n// The sum is over all action bins not equal to the tokenized dataset action. \n// $N$ is the number of discretization bin. \n$\\mathrm { R e g } = \\frac { 1 } { 2 ( N - 1 ) } \\sum _ { a \\neq _ { \\mathscr D } a _ { t } ^ { i } } \\left( \\mathrm { Q } \\mathrm { - T r a n s f o r m e r } ( l , s _ { t - w : t } , \\{ a ^ { j } \\} _ { j = 1 } ^ { i - 1 } \\cup \\{ a \\} ) \\right) ^ { 2 }$ \n// Compute the loss function \n$\\mathcal { L } = \\mathrm { T D E r r o r } + \\mathrm { R e g }$ ", + "bbox": [ + 173, + 327, + 776, + 453 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Return $\\mathcal { L }$ as the loss function to optimize Q-Transformer with. ", + "bbox": [ + 173, + 463, + 581, + 478 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "E Pseudo-code ", + "text_level": 1, + "bbox": [ + 174, + 503, + 313, + 521 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Algorithm 1 shows the loss computation for training each action dimension of the Q-Transformer. We first use Eq. 1 to compute the maximum Q-values over the next action dimensions. Then we compute the Q-target for the given dataset action by using the Bellman update with an additional maximization over the Monte-Carlo return and predicted maximum Q-value at the next time step. The TD-error is then computed using the Mean-Squared Error. Finally, we set a target of 0 for all discretized action bins except the dataset action and add the averaged Mean-Squared Error over these dimensions to the TD-Error, which results in the total loss $\\mathcal { L }$ . ", + "bbox": [ + 174, + 535, + 825, + 632 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "F Running training for multiple random seeds ", + "text_level": 1, + "bbox": [ + 171, + 89, + 576, + 107 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/03319d946e15d6073b3d3dc41af3eba492e895c4c32254425de7b2833e2b1373.jpg", + "image_caption": [ + "Figure 7: Mean and variance of Q-Transformer and RT-1 performance in simulation when running the training for 5 different random seeds. " + ], + "image_footnote": [], + "bbox": [ + 308, + 131, + 689, + 324 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In addition to performing a large amount of evaluations, we also analyze the statistical significance of our learning results by running our training of Q-Transformer and RT-1 on multiple seeds in simulation. In particular, we run the training for 5 random seeds in Figure 7. As we can see, QTransformer retains its improved performance across the distribution of the random seeds. ", + "bbox": [ + 174, + 377, + 825, + 433 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "G Q-Transformer value function with a language planner experiments ", + "text_level": 1, + "bbox": [ + 171, + 453, + 777, + 470 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/418de5cc2615f3453f597de834c6ca9da2678908ac1770117968ab5dd507f285.jpg", + "image_caption": [ + "Figure 8: Qualitative comparisons of Q-values from QT-Opt (sim-to-real) and Q-Transformer. QTransformer outputs sharper Q-values for objects close to the robot, which can be grasped faster and more easily than the objects farther away. " + ], + "image_footnote": [], + "bbox": [ + 176, + 492, + 821, + 804 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Recently, the SayCan algorithm [8] was proposed as a way to combine large language models (LLMs) with learned policies and value functions to solve long-horizon tasks. In this framework, the value function for each available skill is used to determine the “affordance” of the current state for that skill, and a large language model then selects from among the available affordances to take a step towards performing some temporally extended task. For example, if the robot is commanded to bring all the items on a table, the LLM might propose a variety of semantically meaningful items, and select from among them based on the item grasping skill that currently has a high value (corresponding to items that the robot thinks it can grasp). SayCan uses QT-Opt in combination with sim-to-real transfer to train Q-functions for these affordances. In the following set of experiments, we demonstrate that the Q-Transformer outperforms QT-Opt for affordance estimation without using any sim-to-real transfer, entirely using the real world dataset that we employ in the preceding experiments. ", + "bbox": [ + 174, + 869, + 825, + 911 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 215 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We first benchmark Q-Transformer on the problem of correctly estimating task affordances from the RT-1 dataset [1]. In addition to the standard training on demonstrations and autonomous data, we introduce a training with relabeling, which we found particularly useful for affordance estimation. During relabeling, we sample a random alternate task for a given episode. We relabel the task name of the episode to the newly sampled task, and set reward to 0.0. This ensures that the boundaries between tasks are more clearly learned during train", + "bbox": [ + 174, + 222, + 450, + 401 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/b8b4d2d3d844336588a0292274b98f3182bfcb285f21a70bea7dd9e0129e1466.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ModelPrecisionRecallF1
QT-Opt (sim-to-real)0.610.680.64
Q-T w/ relabel0.760.890.82
Q-T w/o relabel0.580.930.71
", + "bbox": [ + 468, + 229, + 820, + 303 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Table 1: Affordance estimation comparison: precision, recall and F1 score when using Q-values to determine if a task is feasible. Q-Transformer (Q-T) with multitask relabeling consistently produces better affordance estimates. ", + "bbox": [ + 465, + 308, + 823, + 377 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "ing. Table 1 shows comparison of performance of our model with and without relabeling as well as the sim-to-real QT-Opt model used in SayCan [8]. Both of our models outperform the QT-Opt model on F1 score, with the relabeled model outperforming it by a large margin. This demonstrates that our Q-function can be effectively used for affordance estimation, even without training with sim-to-real transfer. Visualization of the Q-values produced by our Q-function can be found in Figure 8. ", + "bbox": [ + 174, + 401, + 825, + 470 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We then use Q-Transformer in a long horizon SayCan style evaluation, replacing both the sim-to-real QT-Opt model for affordance estimation, and the RT-1 policy for low-level robotic control. During this evaluation, a PaLM language model [77] is used to propose task candidates given a user query. Q-values are then used to pick the task candidate with the highest affordance score, which is then executed on the robot using the execution policy. The $\\mathrm { Q } \\mathrm { - }$ Transformer used for affordance estimation is trained with relabeling. The QTransformer used for low-level control is ", + "bbox": [ + 174, + 477, + 450, + 670 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/6ac7ddb2ebc7cab99c3a564eff694f52866063b5a12ecf9747e7e967f8f708a8.jpg", + "table_caption": [ + "Table 2: Performance on SayCan style long-horizon tasks: SayCan queries $Q ( s , \\bar { a } )$ in planning to pick a language instruction, then runs a policy to execute the plan. Q-Transformer outperforms RT-1 with QT-Opt in both planning and execution. " + ], + "table_footnote": [], + "table_body": "
MethodSuccess Rate
AffordanceExecution PlanningExecution
Q-T w/ relabel QT-Opt (sim-to-real)Q-T RT-193 8793 67
", + "bbox": [ + 465, + 491, + 823, + 569 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "trained without relabeling, since we found relabeling episodes at the task level did not improve execution performance. SayCan with Q-Transformer is better at both planning the sequence of tasks and executing those plans, as illustrated in Table 2. ", + "bbox": [ + 174, + 671, + 825, + 712 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "H Real robotic manipulation tasks used in our evaluation ", + "text_level": 1, + "bbox": [ + 176, + 742, + 666, + 758 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We include the complete list of evaluation tasks in our real robot experiments below. ", + "bbox": [ + 176, + 780, + 725, + 794 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Drawer pick and place: pick 7up can from top drawer and place on counter, place 7up can into top drawer, pick brown chip bag from top drawer and place on counter, place brown chip bag into top drawer, pick orange can from top drawer and place on counter, place orange can into top drawer, pick coke can from middle drawer and place on counter, place coke can into middle drawer, pick orange from middle drawer and place on counter, place orange into middle drawer, pick green rice chip bag from middle drawer and place on counter, place green rice chip bag into middle drawer, pick blue plastic bottle from bottom drawer and place on counter, place blue plastic bottle into bottom drawer, pick water bottle from bottom drawer and place on counter, place water bottle into bottom drawer, pick rxbar blueberry from bottom drawer and place on counter, place rxbar blueberry into bottom drawer. ", + "bbox": [ + 174, + 800, + 825, + 911 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 92, + 823, + 119 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Open and close drawer: open top drawer, close top drawer, open middle drawer, close middle drawer, open bottom drawer, close bottom drawer. ", + "bbox": [ + 173, + 126, + 823, + 154 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Move object near target: move 7up can near apple, move 7up can near blue chip bag, move apple near blue chip bag, move apple near 7up can, move blue chip bag near 7up can, move blue chip bag near apple, move blue plastic bottle near pepsi can, move blue plastic bottle near orange, move pepsi can near orange, move pepsi can near blue plastic bottle, move orange near blue plastic bottle, move orange near pepsi can, move redbull can near rxbar blueberry, move redbull can near water bottle, move rxbar blueberry near water bottle, move rxbar blueberry near redbull can, move water bottle near redbull can, move water bottle near rxbar blueberry, move brown chip bag near coke can, move brown chip bag near green can, move coke can near green can, move coke can near brown chip bag, move green can near brown chip bag, move green can near coke can, move green jalapeno chip bag near green rice chip bag, move green jalapeno chip bag near orange can, move green rice chip bag near orange can, move green rice chip bag near green jalapeno chip bag, move orange can near green jalapeno chip bag, move orange can near green rice chip bag, move redbull can near sponge, move sponge near water bottle, move sponge near redbull can, move water bottle near sponge, move 7up can near blue blastic bottle, move 7up can near green can, move blue plastic bottle near green can, move blue plastic bottle near 7up can, move green can near 7up can, move green can near blue plastic bottle, move apple near brown chip bag, move apple near green jalapeno chip bag, move brown chip bag near green jalapeno chip bag, move brown chip bag near apple, move green jalapeno chip bag near apple, move green jalapeno chip bag near brown chip bag. ", + "bbox": [ + 174, + 160, + 825, + 409 + ], + "page_idx": 19 + } +] \ No newline at end of file diff --git a/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI.md b/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI.md new file mode 100644 index 0000000000000000000000000000000000000000..85debc22309273e0ff159ef6304168efe011388a --- /dev/null +++ b/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI.md @@ -0,0 +1,560 @@ +# EXPLORING MEMORIZATION IN ADVERSARIAL TRAINING + +Yinpeng $\mathbf { D o n g ^ { 1 , 2 } }$ , Ke $\mathbf { X } \mathbf { u } ^ { 4 }$ , Xiao Yang1, Tianyu Pang1, Zhijie Deng1, Hang $\mathbf { S u } ^ { 1 , 3 }$ , J $\mathbf { u n } \mathbf { Z } \mathbf { h } \mathbf { u } ^ { 1 , 2 , 3 * }$ 1 Dept. of Comp. Sci. and Tech., Institute for AI, Tsinghua-Bosch Joint ML Center, THBI Lab 1 BNRist Center, Tsinghua University, Beijing, China; 2 RealAI; 3 Peng Cheng Laboratory; 4 CMU {dongyinpeng, suhangss, dcszj}@mail.tsinghua.edu.cn, kx1@andrew.cmu.edu + +# ABSTRACT + +Deep learning models have a propensity for fitting the entire training set even with random labels, which requires memorization of every training sample. In this paper, we explore the memorization effect in adversarial training (AT) for promoting a deeper understanding of model capacity, convergence, generalization, and especially robust overfitting of the adversarially trained models. We first demonstrate that deep networks have sufficient capacity to memorize adversarial examples of training data with completely random labels, but not all AT algorithms can converge under the extreme circumstance. Our study of AT with random labels motivates further analyses on the convergence and generalization of AT. We find that some AT approaches suffer from a gradient instability issue and most recently suggested complexity measures cannot explain robust generalization by considering models trained on random labels. Furthermore, we identify a significant drawback of memorization in AT that it could result in robust overfitting. We then propose a new mitigation algorithm motivated by detailed memorization analyses. Extensive experiments on various datasets validate the effectiveness of the proposed method. + +# 1 INTRODUCTION + +Deep neural networks (DNNs) usually exhibit excellent generalization ability in pattern recognition tasks, despite their sufficient capacity to overfit or memorize the entire training set with completely random labels (Zhang et al., 2017). The memorization behavior in deep learning has aroused tremendous attention to identifying the differences between learning on true and random labels (Arpit et al., 2017; Neyshabur et al., 2017), and examining what and why DNNs memorize (Feldman, 2020; Feldman & Zhang, 2020; Maennel et al., 2020). This phenomenon has also motivated a growing body of works on model capacity (Arpit et al., 2017; Belkin et al., 2019), convergence (Allen-Zhu et al., 2019; Du et al., 2019; Zou et al., 2020), and generalization (Neyshabur et al., 2017; Bartlett et al., 2017), which consequently provide a better understanding of the DNN working mechanism. + +In this paper, we explore the memorization behavior for a different learning algorithm—adversarial training (AT). Owing to the security threat of adversarial examples, i.e., maliciously generated inputs by adding imperceptible perturbations to cause misclassification (Szegedy et al., 2014; Goodfellow et al., 2015), various defense methods have been proposed to improve the adversarial robustness of DNNs (Kurakin et al., 2017; Madry et al., 2018; Liao et al., 2018; Wong & Kolter, 2018; Cohen et al., 2019; Zhang et al., 2019b; Pang et al., 2019; 2020; Dong et al., 2020a). AT is arguably the most effective defense technique (Athalye et al., 2018; Dong et al., 2020b), in which the network is trained on the adversarially augmented samples instead of the natural ones (Madry et al., 2018). + +Despite the popularity, the memorization behavior in AT is less explored. Schmidt et al. (2018) show that a model is able to fully (over)fit the training set against an adversary, i.e., reaching almost $1 0 0 \%$ robust training accuracy, while the performance on test data is much inferior, witnessing a significant generalization gap. The overfitting phenomenon in AT is further investigated in Rice et al. (2020). However, it is not clear whether DNNs could memorize adversarial examples of training data with completely random labels. Answering this question could help to examine the effects of memorization in AT under the “extreme” circumstance and facilitate a deeper understanding of capacity, convergence, generalization, and robust overfitting of the adversarially trained models. In general, it is difficult for a classifier to memorize adversarial examples with random labels since the model entails a much more complicated decision boundary, as illustrated in Fig. 1. Even though the networks have sufficient capacity, AT may not necessarily converge. Therefore, we aim to comprehensively study this problem and explore how the analysis can motivate better algorithms. + +![](images/f81cfa7059d13b8361f9e9bbd507b80b17845c0da03ef1bde410fef37354cce1.jpg) +Figure 1: A conceptual illustration of decision boundaries learned via standard training and adversarial training with true and random labels, respectively. The model needs a significantly more complicated decision boundary to memorize adversarial examples of training data with random labels. + +Our contributions. We first empirically investigate the memorization behavior in AT by performing PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) with random labels sampled uniformly over all classes. Different from standard training (ST) that can easily memorize random labels (Zhang et al., 2017), AT may fail to converge, with PGD-AT being a typical example. Nevertheless, TRADES can converge under this circumstance. It demonstrates that DNNs have sufficient capacity to memorize adversarial examples of training data with completely random labels. This phenomenon is commonly observed on multiple datasets, network architectures, and threat models. + +The memorization analysis has further implications for understanding the convergence and generalization of AT. We conduct a convergence analysis on gradient magnitude and stability to explain the counter-intuitive different convergence properties of PGD-AT and TRADES with random labels since they behave similarly when trained on true labels (Rice et al., 2020). We corroborate that PGD-AT suffers from a gradient instability issue while the gradients of TRADES are relatively stable thanks to its adversarial loss. Moreover, by considering models trained on random labels, our generalization analysis indicates that several recently suggested complexity measures are inadequate to explain robust generalization, which is complementary to the findings in ST (Neyshabur et al., 2017). Accordingly, an appropriate explanation of robust generalization remains largely under-addressed. + +Lastly, but most importantly, we identify a significant drawback of memorization in AT that it could result in robust overfitting (Rice et al., 2020). We argue that the cause of robust overfitting lies in the memorization of one-hot labels in the typical AT methods. The one-hot labels can be inappropriate or even noisy for some adversarial examples because some data naturally lies close to the decision boundary, and the corresponding adversarial examples should be assigned low predictive confidence (Stutz et al., 2020; Cheng et al., 2020). To solve this problem, we propose a new mitigation algorithm that impedes over-confident predictions by regularization for avoiding the excessive memorization of adversarial examples with possibly noisy labels. Experiments validate that our method can eliminate robust overfitting to a large extent across multiple datasets, network architectures, threat models, and AT methods, achieving better robustness under a variety of adversarial attacks than the baselines. + +# 2 BACKGROUND + +# 2.1 ADVERSARIAL TRAINING + +Let $\mathbf { \mathcal { D } } = \{ ( \mathbf { x } _ { i } , y _ { i } ) \} _ { i = 1 } ^ { n }$ denote a training dataset with $n$ samples, where $\mathbf { x } _ { i } \in \mathbb { R } ^ { d }$ is a natural example and $y _ { i } \in \{ 1 , . . . , C \}$ is its true label often encoded as an one-hot vector ${ \mathbf { 1 } } _ { y _ { i } }$ with totally $C$ classes. Adversarial training (AT) can be formulated as a robust optimization problem (Madry et al., 2018): + +$$ +\operatorname* { m i n } _ { \pmb { \theta } } \sum _ { i = 1 } ^ { n } \operatorname* { m a x } _ { \mathbf { x } _ { i } ^ { \prime } \in S ( \mathbf { x } _ { i } ) } \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ^ { \prime } ) , y _ { i } ) , +$$ + +where $f _ { \theta }$ is a DNN classifier with parameters $\pmb \theta$ that predicts probabilities over all classes, $\mathcal { L }$ is the classification loss (i.e., the cross-entropy loss as $\mathcal { L } ( f _ { \theta } ^ { \mathsf { ^ { * } } } ( \mathbf { x } ) , y ) \overset { \bullet } { = } - \mathbf { 1 } _ { y } ^ { \top } \log f _ { \theta } ( \mathbf { x } ) )$ , and $\begin{array} { r } S ( \mathbf { x } ) = \{ \mathbf { x } ^ { \prime } : \ \end{array}$ $\| \mathbf { x } ^ { \prime } - \mathbf { x } \| _ { p } \leq \epsilon \}$ is an adversarial region centered at $\mathbf { x }$ with radius $\epsilon > 0$ under the $\ell _ { p }$ -norm threat models (e.g., $\ell _ { 2 }$ and $\ell _ { \infty }$ norms that we consider). The robust optimization problem (1) is solved by using adversarial attacks to approximate the inner maximization and updating the model parameters $\pmb \theta$ via gradient descent. A typical method uses projected gradient descent (PGD) (Madry et al., 2018) for the inner problem, which starts at a randomly initialized point in $S ( \mathbf { x } _ { i } )$ and iteratively updates the adversarial example under the $\ell _ { \infty }$ -norm threat model by + +$$ +\mathbf { x } _ { i } ^ { \prime } = \Pi _ { S ( \mathbf { x } _ { i } ) } \big ( \mathbf { x } _ { i } ^ { \prime } + \alpha \cdot \mathrm { s i g n } \big ( \nabla _ { \mathbf { x } } \mathcal { L } \big ( f _ { \theta } ( \mathbf { x } _ { i } ^ { \prime } ) , y _ { i } \big ) \big ) \big ) , +$$ + +where $\Pi ( \cdot )$ is the projection operator and $\alpha$ is the step size. + +Besides PGD-AT, another typical AT method is TRADES (Zhang et al., 2019b), which balances the trade-off between robustness and natural accuracy by minimizing a different adversarial loss + +$$ +\operatorname* { m i n } _ { \pmb { \theta } } \sum _ { i = 1 } ^ { n } \left\{ \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ) , y _ { i } ) + \beta \cdot \operatorname* { m a x } _ { \mathbf { x } _ { i } ^ { \prime } \in S ( \mathbf { x } _ { i } ) } \mathcal { D } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ) | | f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ^ { \prime } ) ) \right\} , +$$ + +where $\mathcal { L }$ is the clean cross-entropy loss on the natural example, $\mathcal { D }$ is the Kullback–Leibler divergence, and $\beta$ is a balancing parameter. The inner maximization of TRADES is also solved by PGD. + +Recent progress of AT includes designing new adversarial losses (Mao et al., 2019; Qin et al., 2019; Pang et al., 2020; Wang et al., 2020; Dong et al., 2020a) and network architecture (Xie et al., 2019), training acceleration (Shafahi et al., 2019; Zhang et al., $2 0 1 9 \mathrm { a }$ ; Wong et al., 2020), and exploiting more training data (Hendrycks et al., 2019; Alayrac et al., 2019; Carmon et al., 2019; Zhai et al., 2019). Recent works highlight the training tricks in AT (Gowal et al., 2020; Pang et al., 2021). + +# 2.2 RELATED WORK ON DNN MEMORIZATION + +It has been observed that DNNs can easily memorize training data with random labels (Zhang et al., 2017), which requires “rethinking” of conventional techniques (e.g., VC dimension) to explain generalization. Arpit et al. (2017) identify qualitative differences between learning on true and random labels. Further works attempt to examine what and why DNNs memorize (Feldman, 2020; Feldman & Zhang, 2020; Maennel et al., 2020). Motivated by the memorization phenomenon in deep learning, convergence of training has been analyzed in the over-parameterized setting (Allen-Zhu et al., 2019; Du et al., 2019; Zou et al., 2020), while generalization has been studied with numerous theoretical and empirical complexity measures (Neyshabur et al., 2015; 2017; Bartlett et al., 2017; Novak et al., 2018; Arora et al., 2018; Cao & Gu, 2019; Jiang et al., 2020; Chen et al., 2020). + +In contrast, the memorization behavior in AT has been less explored. The previous works demonstrate that DNNs can fit training data against an adversary (Madry et al., 2018; Schmidt et al., 2018; Rice et al., 2020), e.g., achieving nearly $1 0 0 \%$ robust training accuracy against a PGD adversary, but this behavior is not explored when trained on random labels. This paper is dedicated to investigating the memorization in AT under the extreme condition with random labels, while drawing connections to capacity, convergence, generalization, and robust overfitting, with the overarching goal of better understanding the AT working mechanism. + +# 3 MEMORIZATION IN AT AND IMPLICATIONS + +In this section, we first explore the memorization behavior in AT through an empirical study. Our analysis raises new questions about the convergence and generalization of AT, many of which cannot be answered by existing works. Thereafter, we provide further analytical studies on the convergence and generalization of AT by considering models trained on random labels particularly. + +# 3.1 AT WITH RANDOM LABELS + +We explore the memorization behavior of PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) as two studying cases. The experiments are conducted on CIFAR-10 (Krizhevsky & Hinton, 2009) with a Wide ResNet model (Zagoruyko & Komodakis, 2016) of depth 28 and widen factor 10 (WRN-28-10). Similar to Zhang et al. (2017), we train a network on the original dataset with true labels and on a copy of the dataset in which the true labels are corrupted by random ones. For training and robustness evaluation, a 10-step $\ell _ { \infty }$ PGD adversary with $\epsilon = 8 / 2 5 5$ and $\alpha = 2 / 2 5 5$ is adopted. For TRADES, the PGD adversary maximizes the KL divergence during training, while maximizes the cross-entropy loss for robustness evaluation, as common practice (Zhang et al., 2019b). We set $\beta = 6 . 0$ . In the sequel, we denote accuracy of a classifier against the 10-step PGD adversary as “robust accuracy”, and accuracy on natural examples as “natural accuracy”. + +![](images/22d77cfd65523e8b562391b0e65ab4b94592a9d15543c79d8df8cea09f6ac952.jpg) +Figure 2: (a) and (b) show the natural and robust training accuracies of PGD-AT and TRADES, respectively, when trained on true or random labels. (c) shows the generalization gap under varying levels of label noise. + +Fig. 2(a) and Fig. 2(b) show the learning curves of PGD-AT and TRADES without explicit regularizations. Both methods achieve almost $\bar { 1 } 0 0 \%$ natural and robust training accuracies when trained on true labels. When the labels are random, we observe the totally different behaviors between PGDAT and TRADES—PGD-AT fails to converge while TRADES still reaches nearly $1 0 0 \%$ training accuracies. This phenomenon is somewhat striking because PGD-AT and TRADES perform similarly on true labels (Rice et al., 2020). We find that the different memorization behaviors between PGD-AT and TRADES when trained on random labels can commonly be observed across a variety of datasets, model architectures, and threat models (shown in Appendix A.1), indicating that it is a general phenomenon of memorization in the two AT methods. Therefore, our finding is: + +DNNs have sufficient capacity to memorize adversarial examples of training data with completely random labels, but the convergence depends on the AT algorithms. + +Partially corrupted labels. We then inspect the behavior of AT under varying levels of label noise from $0 \%$ (true labels) to $1 0 0 \%$ (completely random labels). The generalization gap (i.e., difference between training and test accuracies) presented in Fig. 2(c) grows steadily as we increase the noise rate before the network fails to converge. The learning curves are provided in Appendix A.1. + +Explicit regularizations. We study the role of common regularizers in AT memorization, including data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train TRADES on true and random labels with several combinations of regularizers. We observe the explicit regularizers do not significantly affect the model’s ability to memorize adversarial examples, similar to the finding in ST (Zhang et al., 2017; Arpit et al., 2017). The detailed results are provided in Appendix A.1. + +# 3.2 CONVERGENCE ANALYSIS OF AT WITH RANDOM LABELS + +Since we have observed a counter-intuitive fact that PGD-AT and TRADES exhibit different convergence properties with random labels, it is necessary to perform a convergence analysis to understand this phenomenon. Note that our finding can hardly be explained by previous works (Gao et al., 2019; Wang et al., 2019; Zhang et al., 2020). + +We first study the effects of different training settings on PGD-AT with random labels. We conduct experiments to analyze each training factor individually, including network architecture, attack steps, optimizer, and perturbation budget. We find that tuning the training settings cannot make PGD-AT converge with random labels (Appendix A.2 details the results). Based on the analysis, we think that the convergence issue of PGD-AT could be a result of the adversarial loss function in Eq. (1) rather than other training configurations. Specifically, TRADES in Eq. (3) minimizes a clean cross-entropy (CE) loss on natural examples, making DNNs memorize natural examples with random labels before fitting adversarial examples. As seen in Fig. 2(b), at the very early stage of TRADES training (the first 25 epochs), the natural accuracy starts to increase while the robust accuracy does not. However, PGD-AT in Eq. (1) directly minimizes the CE loss on adversarial samples with random labels, which can introduce unstable gradients with large variance, making it fail to converge. To corroborate the above argument, we analyze the gradient magnitude and stability below. + +Gradient magnitude. First, we calculate the average gradient norm of the adversarial loss in Eq. (1) w.r.t. model parameters over each training sample for PGD-AT, and similarly calculate the average gradient norm of the clean CE loss (the first term) and the KL loss (the second term) in Eq. (3) w.r.t. parameters for TRADES to analyze their effects, respectively. We present the gradient norm along with training in Fig. 3(a). We can see that at the initial training epochs, the gradient norm of the KL loss in TRADES is much smaller than that of the CE loss, which indicates that the CE loss dominates TRADES training initially. With the training progressing, the KL loss has a larger gradient norm, making the network memorize adversarial examples. However, it is still unclear why PGD-AT does not rely on a similar learning tactic for convergence. To make a direct comparison with TRADES, we rewrite the adversarial loss of PGD-AT in Eq. (1) as + +![](images/3d95aded5ce66adc65f626768cc2aa903a5da8dd130c8143836e938eb6eb27de.jpg) +Figure 3: (a): Gradient norm of PGD-AT and TRADES Figure 4: (a): The $\ell _ { 2 }$ distance between the gradients along the training process. (b): The ratio of the gra- at $\pmb { \theta }$ and $\pmb \theta + \lambda \mathbf d$ of different losses, where $\pmb { \theta }$ are inidient norm of PGD-AT and TRADES during the first tialized, $\lambda \in [ - 0 . 0 5 , 0 . 0 5 ]$ . (b): The cosine similarity 1000 training iterations. between the gradients in each two successive epochs. + +$$ +\operatorname* { m a x } _ { \mathbf { x } _ { i } ^ { \prime } \in S ( \mathbf { x } _ { i } ) } \mathcal { L } ( f _ { \theta } ( \mathbf { x } _ { i } ^ { \prime } ) , y _ { i } ) = \mathcal { L } ( f _ { \theta } ( \mathbf { x } _ { i } ) , y _ { i } ) + \mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb { \theta } ) , +$$ + +where $\mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb \theta )$ denotes the difference between the CE loss on adversarial example $\mathbf { x } _ { i } ^ { \prime }$ and that on natural example $\mathbf { x } _ { i }$ . Hence we can separately calculate the gradient norm of $\mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ) , y _ { i } )$ and $\mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb \theta )$ w.r.t. parameters $\pmb \theta$ to find out the effect of $\mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb \theta )$ on training. Specifically, we measure the relative gradient magnitude, i.e., in PGD-AT we calculate the ratio of the gradient norm $\begin{array} { r l } { { \frac { \| \nabla _ { \pmb { \theta } } \mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb { \theta } ) \| _ { 2 } } { \| \nabla _ { \pmb { \theta } } \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ) , y _ { i } ) \| _ { 2 } } } \quad } & { } \end{array}$ ; while in TRADES, we similarly calculate the ratio of the gradient norm of the KL loss to that of the CE loss. Fig. 3(b) illustrates the ratio of PGD-AT and TRADES during the first 1000 training iterations. The ratio of PGD-AT is consistently higher than that of TRADES, meaning that $\mathcal { R } ( \mathbf { x } _ { i } , y _ { i } , \pmb \theta )$ has a non-negligible impact on training. + +Gradient stability. Then, we analyze the gradient stability to explain why PGD-AT cannot converge. We denote the adversarial loss of PGD-AT as $\begin{array} { r } { \mathcal { I } ( \mathbf { x } , y , \theta ) \stackrel { - } { = } \operatorname* { m a x } _ { \mathbf { x } ^ { \prime } \in S ( \mathbf { x } ) } \mathcal { L } ( f _ { \theta } ( \mathbf { x } ^ { \prime } ) , y ) } \end{array}$ with the subscript $i$ omitted for notation simplicity. We have a theorem on gradient stability. + +Theorem 1. Suppose the gradient of the clean cross-entropy loss is locally Lipschitz continuous as + +$$ +\begin{array} { r } { \| \nabla _ { \theta } \mathcal { L } \big ( f _ { \theta } ( \mathbf { x } ^ { \prime } ) , y \big ) - \nabla _ { \theta } \mathcal { L } \big ( f _ { \theta } ( \mathbf { x } ) , y \big ) \| _ { 2 } \leq K \| \mathbf { x } ^ { \prime } - \mathbf { x } \| _ { p } , } \end{array} +$$ + +any $\mathbf { x } \in \mathbb { R } ^ { d }$ , $\mathbf { x } ^ { \prime } \in S ( \mathbf { x } )$ , and any $\pmb \theta$ , where $K$ is the Lipschitz constant. Then we ha + +$$ +\begin{array} { r } { \| \nabla _ { \theta } \mathcal { I } ( \mathbf { x } , y , \theta _ { 1 } ) - \nabla _ { \theta } \mathcal { I } ( \mathbf { x } , y , \theta _ { 2 } ) \| _ { 2 } \leq \| \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( \mathbf { x } ) , y ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( \mathbf { x } ) , y ) \| _ { 2 } + 2 \epsilon K . } \end{array} +$$ + +We provide the proof in Appendix B, where we show the upper bound in Eq. (5) is tight. Theorem 1 indicates that the gradient of the adversarial loss $\mathcal { I } ( \mathbf { x } , y , \pmb { \theta } )$ of PGD-AT will change more dramatically than that of the clean CE loss $\mathcal { L } ( f _ { \theta } ( \mathbf { x } ) , y )$ . When $\pmb { \theta } _ { 1 }$ and $\pmb { \theta } _ { 2 }$ are close, the difference between the gradients of $\mathcal { L }$ at $\pmb { \theta } _ { 1 }$ and $\pmb { \theta } _ { 2 }$ is close to 0 due to the semi-smoothness of over-parameterized DNNs (Allen-Zhu et al., 2019), but that of $\mathcal { I }$ is relatively large due to $2 \epsilon K$ in Eq. (5). To validate this, we visualize the change of gradient when moving the parameters $\pmb { \theta }$ along a random direction $\mathbf { d }$ with magnitude $\lambda$ . In particular, we set $\pmb \theta$ as initialization, $\mathbf { d }$ is sampled from a Gaussian distribution and normalized filter-wise (Li et al., 2018). For PGD-AT and TRADES, we craft adversarial examples on-the-fly for the model with $\pm \lambda \mathbf { d }$ and measure the change of gradient by the $\ell _ { 2 }$ distance to gradient at $\pmb { \theta }$ averaged over all data samples. The curves on gradient change of PGD-AT, TRADES, and the clean CE loss are shown in Fig. 4(a). In a small neighborhood of $\pmb { \theta }$ (i.e., small $\lambda$ ), the gradient of PGD-AT changes abruptly while the gradients of TRADES and the clean CE loss are more continuous. The gradient instability leads to a lower cosine similarity between the gradient directions w.r.t. the same data in each two successive training epochs of PGD-AT, as illustrated in Fig. 4(b). Therefore, the training of PGD-AT would be rather unstable that the gradient exhibits large variance, making it fail to converge. + +Clean CE loss helps PGD-AT converge. To further verify our argument, we add the clean CE loss into the PGD-AT objective to resemble the learning of TRADES with random labels, as + +![](images/0f3b904c9006568d1cb08aa0fa412d86aab5ac3e349857ac8558ac5b66161398.jpg) +Figure 5: AT by Eq. (6) + +$$ +\operatorname* { m i n } _ { \pmb { \theta } } \sum _ { i = 1 } ^ { n } \left\{ ( 1 - \gamma ) \cdot \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ) , y _ { i } ) + \gamma \cdot \operatorname* { m a x } _ { \mathbf { x } _ { i } ^ { \prime } \in S ( \mathbf { x } _ { i } ) } \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ^ { \prime } ) , y _ { i } ) \right\} , +$$ + +![](images/5d1ae9d9a6ebf5861669f883e38d9ba6c2fdd6d55fed8de7c66a2935cc0ee3f5.jpg) +Figure 6: The results on four complexity measures of the adversarially trained models w.r.t. robust generaliza tion gap. The training settings of these models are provided in Appendix A.3. + +where $\gamma$ is gradually increased from 0 to 1. By using Eq. (6), the gradient would be stabler at the initial stage and training on random labels can successfully converge, as shown Fig. 5. + +In summary, our convergence analysis identifies the gradient instability issue of PGD-AT, provides new insights on the differences between PGD-AT and TRADES, and partially explain the failures of AT under other realistic settings beyond the scope of this section as detailed in Appendix A.2. + +# 3.3 GENERALIZATION ANALYSIS OF AT WITH RANDOM LABELS + +As our study demonstrates DNNs’ ability to memorize adversarial examples with random labels, we raise the question of whether DNNs rely on a similar memorization tactic on true labels and how to explain/ensure robust generalization. Although many efforts have been devoted to studying robust generalization of AT theoretically or empirically (Yin et al., 2018; Schmidt et al., 2018; Bubeck et al., 2019; Tu et al., 2019; Wu et al., 2020), they do not take the models trained on random labels into consideration. As it is easy to show that the explicit regularizations are not the adequate explanation of generalization in ST (Zhang et al., 2017; Arpit et al., 2017) and AT (see Appendix A.3), people resort to complexity measures of a model to explain generalization (i.e., a lower complexity should imply a smaller generalization gap). Here we show how the recently proposed complexity measures fail to explain robust generalization when comparing models trained on true and random labels. + +We consider several norm-based and sharpness/flatness-based measures. We denote the parameters of a network by $\pmb \theta : = \{ W _ { i } \} _ { i = 1 } ^ { m }$ . The norm-based measures include spectral norm $\begin{array} { r } { \frac { 1 } { \gamma _ { \mathrm { m a r g i n } } } \prod _ { i = 1 } ^ { m } \| W _ { i } \| _ { 2 } } \end{array}$ and $\ell _ { 1 }$ norm $\begin{array} { r } { \frac { 1 } { \gamma _ { \mathrm { m a r g i n } } } \sum _ { i = 1 } ^ { m } \| W _ { i } \| _ { 1 } } \end{array}$ of model parameters, where $\gamma _ { \mathrm { m a r g i n } }$ is a margin on model output to make them scale-insensitive (Neyshabur et al., 2017). The spectral norm appears in the theoretical robust generalization bounds (Yin et al., 2018; Tu et al., 2019) and is related to the Lipschitz constant of neural networks (Cisse et al., 2017). The $\ell _ { 1 }$ norm is adopted to reduce the robust generalization gap (Yin et al., 2018). The sharpness/flatness-based measures include the curvature of input loss landscape (Moosavi-Dezfooli et al., 2019) as the dominant eigenvalue of the Hessian matrix, as well as the flatness of weight loss landscape (Wu et al., 2020) related to the change of adversarial loss when moving the weights along a random direction. Fig. 6 plots the four complexity measures w.r.t. robust generalization gap of several models trained with various combinations of regularizations on true or random labels. The results show that the first three measures can hardly ensure robust generalization, that lower complexity does not necessarily imply smaller robust generalization gap, e.g., the models trained on random labels can even lead to lower complexity than those trained on true labels. Among them, the flatness of weight loss landscape (Wu et al., 2020) is more reliable. + +In summary, the generalization analysis indicates that the previous approaches, especially various complexity measures, cannot adequately explain and ensure the robust generalization performance in AT. Our finding of robust generalization in AT is complementary to that of standard generalization in ST (Zhang et al., 2017; Neyshabur et al., 2017; Jiang et al., 2020). Accordingly, robust generalization of adversarially trained models remains an open problem for future research. + +# 4 ROBUST OVERFITTING ANALYSIS + +Rice et al. (2020) have identified robust overfitting as a dominant phenomenon in AT, i.e., shortly after the first learning rate decay, further training will continue to decrease the robust test accuracy. They further show that several remedies for overfitting, including explicit $\ell _ { 1 }$ and $\ell _ { 2 }$ regularizations, data augmentation, etc., cannot gain improvements upon early stopping. Although robust overfitting has been thoroughly investigated, there still lacks an explanation of why it occurs. In this section, we draw a connection between memorization and robust overfitting in AT by showing that robust overfitting is caused by excessive memorization of one-hot labels in the typical AT methods. Motivated by the analysis, we then propose an effective strategy to eliminate robust overfitting. + +![](images/2c2ebe3ba21b0fd0c69b97eb9a22e7f608815fec9e68d157cac0afe86e8aff46.jpg) +Figure 7: (a): The accuracy curves of PGD-AT with true labels to reproduce robust overfitting. (b): The robust test accuracy of PGD-AT under various perturbation budgets . (c): The adversarial loss of two independently trained networks by PGD-AT on 500 samples sorted by the loss of the first model. + +# 4.1 EXPLAINING ROBUST OVERFITTING + +The typical AT approaches (e.g., PGD-AT, TRADES) commonly adopt one-hot labels as the targets for training, as introduced in Sec. 2.1. The one-hot labels could be inappropriate for some adversarial examples because it is difficult for a network to assign high-confident one-hot labels for all perturbed samples within the perturbation budget $\epsilon$ (Stutz et al., 2020; Cheng et al., 2020). Intuitively, some examples may naturally lie close to the decision boundary and should be assigned lower predictive confidence for the worst-case adversarial examples. It indicates that one-hot labels of some training data may be noisy in $\mathsf { A T } ^ { 1 }$ . After a certain training epoch, the model memorizes these “hard” training examples with possibly noisy labels, leading to the reduction of test robustness, as shown in Fig. 7(a). Thus, we hypothesize the cause of robust overfitting lies in the memorization of one-hot labels. + +Our hypothesis is well supported by two pieces of evidence. First, we find that when the perturbation budget $\epsilon$ is small, robust overfitting does not occur, as shown in Fig. 7(b). This observation implies that the one-hot labels are more appropriate as the targets for adversarial examples within a smaller neighborhood while become noisier under a larger perturbation budget and lead to overfitting. Second, we validate that the “hard” training examples with higher adversarial loss values are consistent across different models. We first train two independent networks (using the same architecture and different random seeds) by PGD-AT and calculate the adversarial loss for each training sample. We show the adversarial losses on 500 samples sorted by the loss of the first model in Fig. 7(c). It can be seen that the samples with lower adversarial losses of the first model also have relatively lower losses of the second one and vice versa. We further quantitatively measure the consistency of the adversarial losses of all training samples between the two models using the Kendall’s rank coefficient (Kendall, 1938), which is 0.85 in this case. A similar result can be observed for two different model architectures (see Appendix C.1). The results verify that the “hard” training examples with possibly noisy labels are intrinsic of a dataset, supporting our hypothesis on why robust overfitting occurs. + +# 4.2 MITIGATING ROBUST OVERFITTING + +Based on the above analysis, we resort to the methods that are less prone to overfit noisy labels for mitigating robust overfitting in AT. Although learning with noisy labels has been broadly studied in ST (Natarajan et al., 2013; Patrini et al., 2017; Jiang et al., 2018; Han et al., 2018; Zhang & Sabuncu, 2018), we find that most of these approaches are not suitable for AT. For example, a typical line of methods filter out noisy samples and train the models on the identified clean samples (Jiang et al., 2018; Han et al., 2018; Ren et al., 2018). However, they will neglect a portion of training data with noisy labels, which can lead to inferior results for AT due to the reduction of training data (Schmidt et al., 2018). Table 2 shows the results to validate this. + +To address this problem, we propose to regularize the predictions of adversarial examples from being over-confident by integrating the temporal ensembling (TE) approach (Laine & Aila, 2017) into the AT frameworks. TE maintains an ensemble prediction of each data and penalizes the difference between the current prediction and the ensemble prediction, which is effective for semi-supervised learning and learning with noisy labels (Laine & Aila, 2017). We think that TE is suitable for AT since it enables to leverage all training samples and hinders the network from excessive memorization of one-hot labels with a regularization term. Specifically, we denote the ensemble prediction of a training sample $\mathbf { x } _ { i }$ as $\mathbf { p } _ { i }$ , which is updated in each training epoch as $\mathbf { p } _ { i } \eta \cdot \mathbf { p } _ { i } + ( 1 - \eta ) \cdot f _ { \pmb { \theta } } ( \mathbf { x } _ { i } )$ , where $\eta$ is the momentum term. The training objective of PGD-AT with TE can be expressed as + +Table 1: Test accuracy $( \% )$ of several methods on CIFAR-10, CIFAR-100, and SVHN under the $\ell _ { \infty }$ norm with $\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. We choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10. + +
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE83.75 84.82 -1.0782.35 82.79 -0.44[52.64 44.92 7.7255.79 54.83 0.96[51.22 42.74 8.4854.65 53.30 1.35|50.11 43.63 7.4852.30 51.73 0.57|47.74 41.84 5.9050.59 49.62 0.97
TRADESTRADES+TE[81.19 82.48 -1.29|83.86 83.97 -0.11[53.32 50.25 3.0755.15 54.42 0.73[52.44 48.67 3.7753.74 53.03 0.71|49.88 48.14 1.74|50.77 50.63 0.1449.03 46.80 2.2349.77 49.20 0.57
(a) The evaluation results on CIFAR-10.
MethodNatural AccuracyBest FinalDiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE57.54 57.510.0356.45 57.12 -0.6729.40 21.75 7.6531.74 30.24 1.5028.54 20.63 7.9131.27 29.80 1.4727.06 21.17 5.8928.27 27.36 0.9124.72 19.34 5.3826.30 25.34 0.96
TRADESTRADES+TE57.98 56.321.6659.35 58.72 0.63|29.93 27.70 2.23|31.09 30.12 0.9729.51 26.93 2.58|230.54 29.45 1.09[25.46 24.42 1.04|26.61 25.94 0.6724.6123.40 1.2125.27 24.55 0.72
(b) The evaluation results on CIFAR-100.
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE89.00 90.55 -1.5590.09 90.91 -0.82[54.51 46.97 7.5459.74 59.05 0.69[52.22 42.85 9.3757.7156.46 1.2548.66 44.13 4.5354.5553.94 0.6146.61 38.24 8.3751.44 50.61 0.83
TRADESTRADES+TE90.88 91.30 -0.4289.01 88.52 0.49[59.50 57.04 2.4659.81 58.49 1.32[52.78 50.17 2.6158.24 56.66 1.58[52.76 50.53 2.2354.00 53.24 0.7640.36 38.88 1.4851.45 50.16 1.29
+ +(c) The evaluation results on SVHN. + +$$ +\operatorname* { m i n } _ { \pmb { \theta } } \sum _ { i = 1 } ^ { n } \operatorname* { m a x } _ { \mathbf { x } _ { i } ^ { \prime } \in S ( \mathbf { x } _ { i } ) } \left\{ \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ^ { \prime } ) , y _ { i } ) + w \cdot | | f _ { \pmb { \theta } } ( \mathbf { x } _ { i } ^ { \prime } ) - \hat { \mathbf { p } } _ { i } | | _ { 2 } ^ { 2 } \right\} , +$$ + +where $\hat { { \bf p } } _ { i }$ is the normalization of $\mathbf { p } _ { i }$ as a probability vector and $w$ is a balancing weight. TE can be similarly integrated with TRADES with the same regularization term. The network would learn to fit relatively easy samples with one-hot labels in the initial training stage, as shown in Fig. 7(a). After the learning rate decays, the network can keep assigning low confidence for hard samples with the regularization term in Eq. (7) and avoid fitting one-hot labels. Therefore, the proposed algorithm enables to learn under label noise in AT and alleviates the robust overfitting problem. + +# 5 EMPIRICAL EVALUATION ON MITIGATING ROBUST OVERFITTING + +In this section, we provide the experimental results on CIFAR-10, CIFAR-100 (Krizhevsky & Hinton, 2009), and SVHN (Netzer et al., 2011) datasets to validate the effectiveness of our proposed method. Code is available at https://github.com/dongyp13/memorization-AT. + +Training details. We adopt the common setting that the perturbation budget is $\epsilon = 8 / 2 5 5$ under the $\ell _ { \infty }$ norm in most experiments. We consider PGD-AT and TRADES as two typical AT baselines and integrate the proposed TE approach into them, respectively. We use the ResNet-18 (He et al., 2016) model as the classifier in most experiments. In training, we use the 10-step PGD adversary with $\alpha = 2 / 2 5 5$ . The models are trained via the SGD optimizer with momentum 0.9, weight decay 0.0005, and batch size 128. For CIFAR-10/100, we set the learning rate as 0.1 initially which is decayed by 0.1 at 100 and 150 epochs with totally 200 training epochs. For SVHN, the learning rate starts from 0.01 with a cosine annealing schedule for a total number of 80 training epochs. In our method, We set $\eta = 0 . 9$ and $w = 3 0$ along a Gaussian ramp-up curve (Laine & Aila, 2017). + +Evaluation results. We adopt PGD-10, PGD-1000, C&W-1000 (Carlini & Wagner, 2017), and AutoAttack (Croce & Hein, 2020b) for evaluating adversarial robustness rigorously. AutoAttack is a strong attack to evaluate model robustness, which is composed of an ensemble of diverse attacks, including APGD-CE (Croce & Hein, 2020b), APGD-DLR (Croce & Hein, 2020b), FAB (Croce & Hein, 2020a), and Square attack (Andriushchenko et al., 2020). To show the performance of robust overfitting, we report the test accuracy on the best checkpoint that achieves the highest robust test accuracy under PGD-10 and the final checkpoint, as well as the difference between these two checkpoints. The results of PGD-AT, TRADES, and the combinations of them with our proposed approach (denoted as PGD- $\mathbf { A T + T E }$ and TRADES ${ \bf \nabla } + { \bf T } { \bf E }$ ) on the CIFAR-10, CIFAR-100, and SVHN datasets are shown in Table 1. + +We can observe that the differences between best and final test accuracies of our method are reduced to around $1 \%$ , while the accuracy gaps of PGDAT and TRADES are much larger. It indicates that our method largely eliminates robust overfitting. Due to being less affected by robust overfitting, our method achieves higher robust accuracies than the baselines. We also show the learning curves of these methods in Fig. 8. We consistently demonstrate the effectiveness of our method on different network architectures (including WRN-34-10 + +![](images/60741a322624e7a344d48dd39e648d3bdbec90b00204725405a64e566413b5ab.jpg) +Figure 8: The natural and robust test accuracy curves (under PGD10) of PGD-AT, TRADES, and their extensions by integrating the proposed TE approach. The models are trained on CIFAR-10 under the $\ell _ { \infty }$ norm with $\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. + +and VGG-16) and threat models (including $\ell _ { 2 }$ norm), which will be shown in Appendix C.2. + +Discussion and comparison with related works. Our method is kind of similar to the label smoothing (LS) technique, which is studied in AT (Pang et al., 2021). Recent works have also introduced the smoothness in training labels and model weights (Chen et al., 2021; Huang et al., 2020), which can alleviate robust overfitting to some extent. The significant difference between our work and them is that we provide a reasonable explanation for robust overfitting—one-hot labels are noisy for AT, while previous methods did not give such an explanation and could be viewed as solutions to our identified problem. To empirically compare with these methods, we conduct experiments on CIFAR-10 with the ResNet-18 network. Under the PGD-AT framework, we compare with the baseline PGD-AT, PGD-AT+LS, self-adaptive training (SAT) (Huang et al., 2020), and knowledge distillation with stochastic weight averaging (KD-SWA) (Chen et al., 2021). We also adopt the $C o$ - teaching approach (Han et al., 2018) adapted to PGD-AT, which jointly trains two models using the filtered samples given by each other. The results under the adopted attacks are presented in Table 2. Although various techniques can alleviate robust overfitting, our method achieves better robustness than the others, validating its effectiveness. For Co-teaching, though robust overfitting is alleviated, the performance is worse than our proposed method due to the reduction of training data. + +Table 2: Test accuracy $( \% )$ of the proposed method and other methods on CIFAR-10 under the $\ell _ { \infty }$ norm with $\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. + +
MethodNatural Accuracy Best Final 1DiffPGD-10 BestFinal DiffPGD-1000 Best Final DiffC&W-1000 BestFinal DiffAutoAttack Best Final Diff
PGD-AT83.75 84.82 -1.0752.64 44.927.7251.2242.74 8.48[50.11 43.63 7.4847.74 41.84 5.90
PGD-AT+LS82.68 85.16 -2.4853.70 48.90 4.8052.564 46.316.2550.41 46.06 4.3549.02 44.39 4.63
SAT82.81 81.86 0.9553.81 53.310.5052.41 52.000.4151.99 51.7150.214
KD-SWA84.84 85.26 -0.4254.890.2849.73 0.48
Co-teaching53.801.0953.31 52.450.8651.48 50.910.5750.42 49.83 0.59
81.94 82.22 -0.2851.27 50.520.7550.15 49.121.0350.85 49.86 0.9949.60 48.49 1.11
PGD-AT+TE82.35 82.79 -0.4455.7954.83 0.9654.65 53.30 1.3552.30 51.73 0.5750.59 49.62 0.97
+ +# 6 CONCLUSION + +In this paper, we demonstrate the capacity of DNNs to fit adversarial examples with random labels by exploring memorization in adversarial training, which also poses open questions on the convergence and generalization of adversarially trained models. We validate that some AT methods suffer from a gradient instability issue and robust generalization can hardly be explained by complexity measures. We further identify a significant drawback of memorization in AT related to the robust overfitting phenomenon—robust overfitting is caused by memorizing one-hot labels in adversarial training. We propose a new mitigation algorithm to address this issue, with the effectiveness validated extensively. + +# ACKNOWLEDGEMENTS + +This work was supported by the National Key Research and Development Program of China (2020AAA0106000, 2020AAA0104304, 2020AAA0106302), NSFC Projects (Nos. 61620106010, 62061136001, 61621136008, 62076147, U19B2034, U1811461, U19A2081), Beijing NSF Project (No. JQ19016), Beijing Academy of Artificial Intelligence (BAAI), Tsinghua-Alibaba Joint Research Program, Tsinghua Institute for Guo Qiang, Tsinghua-OPPO Joint Research Center for Future Terminal Technology. + +# ETHICS STATEMENT + +The existence of adversarial examples can pose severe security threats to machine learning and deep learning models when they are deployed to real-world applications. The vulnerability to adversarial examples could also lower the confidence of the public on machine learning techniques. Therefore, it is important to develop more robust models. As the most effective method for promoting model robustness, adversarial training (AT) has not been fully investigated. This paper aims to investigate the memorization effect of AT to facilitate a better understanding of its working mechanism. Some findings in this paper can be analyzed more deeply, including theoretical analysis of AT convergence, generalization, etc., which we leave to future work. + +# REPRODUCIBILITY STATEMENT + +Most of the experiments are easily reproducible. We provide the code for reproducing the results at https://github.com/dongyp13/memorization-AT. + +# REFERENCES + +Jean-Baptiste Alayrac, Jonathan Uesato, Po-Sen Huang, Alhussein Fawzi, Robert Stanforth, and Pushmeet Kohli. Are labels required for improving adversarial robustness? In Advances in Neural Information Processing Systems (NeurIPS), pp. 12214–12223, 2019. + +Zeyuan Allen-Zhu, Yuanzhi Li, and Zhao Song. A convergence theory for deep learning via overparameterization. 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The source code of this paper is submitted as the supplementary material, and will be released after the review process. + +# A.1 MEMORIZATION OF PGD-AT AND TRADES + +# A.1.1 DIFFERENT TRAINING SETTINGS + +We first demonstrate that the different memorization behaviors between PGD-AT and TRADES can be generally observed under various settings. + +![](images/f19db38b34f9d21f917d4e7209797991e6d8022a18684aa1716a72f9d5bb1b70.jpg) +Figure A.1: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-100 when trained on true or random labels. + +![](images/ab43ab6fdf6a00ae48be8412a6bf692a54f127080bef5aa0f6acc1017767cdf9.jpg) +Figure A.2: The natural and robust training accuracies of PGD-AT and TRADES on SVHN when trained on true or random labels. + +Datasets. Similar to Fig. 2, we show the accuracy curves of PGD-AT and TRADES when trained on true or random labels on CIFAR-100 (Krizhevsky & Hinton, 2009) in Fig. A.1 and on SVHN (Netzer et al., 2011) in Fig. A.2. We consistently observe that PGD-AT fails to converge with random labels, while TRADES can successfully converge, although it does not reach $1 0 0 \%$ accuracy on SVHN. + +Model architectures. We then consider other network architectures, including the DenseNet-121 model (Huang et al., 2017) and the deep layer aggregation (DLA) model (Yu et al., 2018). The corresponding results are shown in Fig. A.3. The similar results can be observed, although it may take more training epochs to make TRADES converge with the smaller DenseNet-121 network. + +![](images/d5eda5387f2599f593cc865fb51b857942018ca28c5b08dc4d08e7ea117e0822.jpg) +Figure A.3: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 with different architectures when trained on random labels. + +![](images/0dd2be9978c8615aa93dca9fe22a4a57d6426eb8bbad4886efdf4abf22fbf040.jpg) +Figure A.4: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 under the $\ell _ { 2 }$ -norm threat model when trained on random labels. + +Threat models. We further consider the $\ell _ { 2 }$ -norm threat model, in which we set $\epsilon = 1 . 0$ and $\alpha =$ 0.25 in the 10-step PGD adversary. The learning curves of PGD-AT and TRADES are shown in Fig. A.4, which also exhibit similar results. + +Perturbation budget. We study the memorization behavior in AT with different perturbation budgets $\epsilon$ . In Fig. A.5, we show that when the perturbation budget is $\epsilon = 1 6 / 2 5 5$ $\ell _ { \infty }$ norm), TRADES trained on random labels can still converge. But when we set a larger budget (e.g., $\epsilon = 3 2 / 2 5 5 )$ , both PGD-AT and TRADES cannot obtain near $100 \%$ robust training accuracy. We also find under this condition, even AT trained on true labels cannot get $100 \%$ robust training accuracy, indicating that the gradient instability issue discussed in Sec. 3.2 results in the convergence problem. + +In summary, our empirical observation that PGD-AT and TRADES perform differently when trained on random labels is general across multiple datasets, network architectures, and threat models. + +# A.1.2 LEARNING CURVES UNDER DIFFERENT NOISE RATES + +We show the learning curves of PGD-AT and TRADES under varying levels of label noise in Fig. A.6 and Fig. A.7, respectively. In this experiment, we adopt the weight decay and data augmentation for regularizations. We can see that the network achieves maximum accuracy on the test set before fitting the noisy training set. Thus the model learns easy and simple patterns first before fitting the noise, similar to the finding in ST (Arpit et al., 2017). It can also be observed that under $8 0 \%$ noise rate, PGD-AT fails to converge. Note that when the noise rate is $0 \%$ , the network is trained on true labels, but the robust test accuracy also decreases after a certain epoch. This phenomenon is called robust overfitting (Rice et al., 2020), which is studied in Sec. 4. + +![](images/b8f2b90ad7da75a795de9b520b62604bec856d992ebf18e5834ea338369802a7.jpg) +Figure A.5: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 with $\epsilon =$ 16/255 when trained on true or random labels. + +![](images/c0d0ee5a98572dca3b5f5568437605b62988ed77e18e50ccb84f76991a4b749a.jpg) +Figure A.6: Accuracy curves of PGD-AT under different noise rates on CIFAR-10. + +![](images/288d2a0eb84f973a11b7f0ea2c84c7f1928c3f415d17776a18ce7d82c06cbc5b.jpg) +Figure A.7: Accuracy curves of TRADES under different noise rates on CIFAR-10. + +# A.1.3 EXPLICIT REGULARIZATIONS + +We consider three common regularizers, including data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train the models based on TRADES on true and random labels with several combinations of explicit regularizers. As shown in Table A.1, the explicit regularizations do not significantly affect the model’s ability to memorize adversarial examples with random labels. + +# A.2 MORE RESULTS ON THE CONVERGENCE OF AT + +# A.2.1 TRAINING CONFIGURATIONS + +We study different training configurations on PGD-AT with random labels. We consider various factors as follows. These experiments are conducted on CIFAR-10. + +• Model capacity. Recent work suggests that model size is a critical factor to obtain better robustness (Madry et al., 2018; Xie & Yuille, 2020). A possible reason why PGD-AT fails to converge with random labels may also be the insufficient model capacity. Therefore, we try to use larger models, including WRN-34-20 (which is used in Rice et al. (2020)) and WRN-70-16 (which is used in Gowal et al. (2020)). However, using larger models under this setting cannot solve the convergence problem. + +Table A.1: The training accuracy, test accuracy, and generalization gap $( \% )$ of TRADES when trained on true or random labels, with and without explicit regularizations, including data augmentation (random crop and flip), weight decay (0.0002), and dropout (0.2). + +
LabelsData AugmentationWeight DecayDropoutTraining Accuracy NaturalRobustTest Accuracy Natural IRobustGeneralization Gap NaturalRobust
trueXX99.7399.6577.5337.4722.2062.18
trueX×99.5797.0382.9145.3716.9351.66
true×X×99.5999.5377.3138.9422.2860.59
trueXX99.6599.4079.9639.8619.6959.54
trueX99.5097.2884.2649.1615.2448.12
trueX99.4199.2080.2841.6419.1357.56
randomX×99.8099.559.790.1590.0199.40
randomXXX99.3686.109.710.2489.6585.86
randomXX99.8499.5310.130.2389.7199.30
randomXX99.1592.239.040.1790.1192.06
randomX99.2569.629.670.2489.5869.38
random×99.3881.579.540.1989.8481.38
+ +• Attack steps. We adopt the weaker FGSM adversary (Goodfellow et al., 2015) for training. We also adopt the random initialization trick as argued in Wong et al. (2020) and adjust the step size as $\alpha = 1 0 / 2 5 5$ , yielding the fast adversarial training method (Wong et al., 2020). However, fast AT still cannot converge. + +• Optimizer. We try to use various optimizers, including the SGD momentum optimizer, the Adam optimizer (Kingma & Ba, 2015), and the nesterov optimizer (Nesterov, 1983); different learning rate schedules, including the piecewise decay and cosine schedules, and different learning rates (0.1 and 0.01), but none of these attempts make PGD-AT converge. + +• Perturbation budget. The perturbation budget $\epsilon$ is an important factor to affect the convergence of PGD-AT. When $\epsilon$ approaches 0, PGD-AT would degenerate into standard training, which can easily converge (Zhang et al., 2017). Hence we try different values of $\epsilon$ , and find that PGD-AT can converge with a smaller $\epsilon$ (e.g., $\epsilon = 1 / 2 5 5 )$ but cannot converge when $\epsilon \geq 2 / 2 5 5$ . + +# A.2.2 GRADIENT STABILITY UNDER COSINE SIMILARITY + +In Fig. 4(a), we show the gradient change of PGD-AT, TRADES, and the clean CE loss under the $\ell _ { 2 }$ distance. We further show the cosine similarity between the gradients at $\pmb { \theta }$ and $\pm \lambda \mathbf { d }$ in Fig. A.8. The cosine similarity is also averaged over all data samples. The results based on cosine similarity are consistent with the results based on the $\ell _ { 2 }$ distance, showing that the gradient of PGD-AT changes more abruptly. + +# A.2.3 THE FAILURES OF AT UNDER REALISTIC SETTINGS + +We find that some AT methods (e.g., PGD-AT) suffer from a gradient instability issue, which results in the convergence problem when trained on random labels. Under other realistic setting, our analysis may also be valuable. + +First, PGD-AT fails to converge under $80 \%$ noise rate. We think that the unstable gradients can overwhelm the useful gradients given by clean examples. To prove it, we train the models under $80 \%$ uniform label noise, by either PGD-AT or standard training (ST) on natural examples. We then select 100 training images with wrong labels and another 100 training images with true labels for evaluation. Similarly, we calculate the gradient norm of the cross-entropy loss w.r.t. model parameters of each method. We show the results in Fig. A.9. For AT, the gradient norm of clean examples is larger than that of noisy examples at beginning, which makes the model learn to classify. However, for PGD-AT, the gradient norm of clean examples is almost the same as that of noisy examples (the two curves overlap together). And the unstable gradients provided by noisy examples would overwhelm the useful gradients given by clean examples, making the network fail to converge. + +![](images/f021ae54520ee3adda29ecf24637ed8b28ffaf88f6e7e183a2961d84a72d1b2d.jpg) +Figure A.8: The cosine similarity between the gradients at $\pmb \theta$ and $\pmb \theta + \lambda \mathbf d$ of different losses, where $\pmb { \theta }$ are initialized, $\lambda \in [ - 0 . 0 5 , 0 . 0 5 ]$ . + +![](images/0901b0009d3d3b6dec3a4207d30e08d232049dda50c62a32a48a055c282f2f6a.jpg) +Figure A.9: The gradient norm of PGD-AT and ST given clean examples or noisy examples, when trained on $80 \%$ uniform label noise. + +Second, when the perturbation budget is large (e.g., $\epsilon = 6 4 / 2 5 5 )$ , PGD-AT cannot converge with true labels, while TRADES can achieve about $5 0 \%$ training accuracies. This can also be explained by our convergence analysis that the gradient is very unstable in PGD-AT with a larger perturbation budget, making it fail to converge. + +# A.3 MORE DISCUSSIONS ON THE GENERALIZATION OF AT + +As shown in Table A.1, when trained on true labels, although the regularizers can help to reduce the generalization gap, the model without any regularization can still generalize non-trivially. The three explicit regularizations do not significantly affect the model’s ability to memorize adversarial examples with random labels. In consequence, the explicit regularizers are not the adequate explanation of generalization. By inspecting the learning dynamics of AT under different noise rates in Fig. A.6 and Fig. A.7, the network achieves maximum accuracy on the test set before fitting the noisy training set, meaning that the model learns simple patterns (i.e., clean data) before memorizing the hard examples with wrong labels, similar to the observation in standard training (Arpit et al., 2017). The results suggest that optimization by itself serves as an implicit regularizer to find a model with good generalization performance. + +![](images/3dbf668e1cf92664ba56b407dece84d8e78f9d83e2f3c78c5793e23d3a2af1a1.jpg) +Figure A.10: The natural and robust testing accuracies of TRADES on CIFAR-10 with different initialization strategies and training methods. + +A recent work (Liu et al., 2020b) points out that in standard training, pre-training on random labels can lead to substantial performance degeneration of subsequent SGD training on true labels, while adding regularizations can overcome the bad initialization caused by pre-training with random labels. In this paper, we further investigate whether this finding can generalize to adversarial training. + +As PGD-AT cannot converge with random labels, we adopt TRADES to conduct experiments. Following Liu et al. (2020b), we consider two initialization strategies — random initialization and adversarial initialization generated by training on random labeling of the training data. We also consider two training methods — vanilla SGD training and SOTA SGD training with data augmentation (random crops and flips), weight decay, and momentum. The results are shown in Fig. A.10. It can be seen that with vanilla SGD, the adversarial initialization can lead to worse performance than the random initialization. But with the regularization techniques, the models with different initializations converge to nearly the same test accuracy. The results are consistent with the findings in Liu et al. (2020b). + +# B PROOF OF THEOREM 1 + +Proof. Recall that $\begin{array} { r } { \mathcal { I } ( \mathbf { x } , y , \pmb { \theta } ) = \operatorname* { m a x } _ { \mathbf { x } ^ { \prime } \in S ( \mathbf { x } ) } \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } ^ { \prime } ) , y ) } \end{array}$ is the adversarial loss of PGD-AT. First, we have + +$$ +\begin{array} { r l } & { \quad \| \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 1 } ) - \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 2 } ) \| _ { 2 } } \\ & { = \| \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 1 } ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( { \bf x } ) , y ) - } \\ & { \quad \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 2 } ) + \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( { \bf x } ) , y ) + } \\ & { \quad \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( { \bf x } ) , y ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( { \bf x } ) , y ) \| _ { 2 } } \\ & { \le \| \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 1 } ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( { \bf x } ) , y ) \| _ { 2 } + } \\ & { \quad \| \nabla _ { \theta } \mathcal { I } ( { \bf x } , y , \theta _ { 2 } ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( { \bf x } ) , y ) \| _ { 2 } + } \\ & { \quad \| \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( { \bf x } ) , y ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( { \bf x } ) , y ) \| _ { 2 } . } \end{array} +$$ + +From the assumption, for any $\mathbf { x } \in \mathbb { R } ^ { d }$ and $\mathbf { x } ^ { \prime } \in { \mathcal { S } } ( \mathbf { x } )$ , we have + +$$ +\| \nabla _ { \pmb { \theta } } \mathcal { L } \big ( f _ { \pmb { \theta } } ( \mathbf { x } ^ { \prime } ) , y \big ) - \nabla _ { \pmb { \theta } } \mathcal { L } \big ( f _ { \pmb { \theta } } ( \mathbf { x } ) , y \big ) \| _ { 2 } \leq K \| \mathbf { x } ^ { \prime } - \mathbf { x } \| _ { p } \leq \epsilon K , +$$ + +due to the definition of $\boldsymbol { S } ( \mathbf { x } )$ . We also note that $\mathcal { I } ( \mathbf { x } , y , \pmb { \theta } )$ is the maximal cross-entropy loss $\mathcal { L }$ within $\boldsymbol { S } ( \mathbf { x } )$ , such that we have + +$$ +\begin{array} { r } { \| \nabla _ { \theta } \mathcal { I } ( \mathbf { x } , y , \pmb { \theta } ) - \nabla _ { \theta } \mathcal { L } ( f _ { \pmb { \theta } } ( \mathbf { x } ) , y ) \| _ { 2 } \le \epsilon K . } \end{array} +$$ + +Combining Eq. (B.1) and Eq. (B.2), we can obtain Eq. (5). + +Note that the bound is tight since the all the equalities can be reached. + +Remark 1. We note that a recent work (Liu et al., 2020a) gives a similar result on gradient stability. The difference is that they assume the loss function satisfies an additional Lipschitzian smoothness condition as + +$$ +\begin{array} { r } { \| \nabla _ { \pmb \theta } \mathcal { L } \big ( f _ { \pmb \theta _ { 1 } } ( \mathbf { x } ) , y \big ) - \nabla _ { \pmb \theta } \mathcal { L } \big ( f _ { \pmb \theta _ { 2 } } ( \mathbf { x } ) , y \big ) \| _ { 2 } \leq K _ { \pmb \theta } \| \pmb \theta _ { 1 } - \pmb \theta _ { 2 } \| _ { 2 } , } \end{array} +$$ + +where $K _ { \theta }$ is another constant. Then they prove that + +$$ +\begin{array} { r } { \| \nabla _ { \pmb { \theta } } \mathcal { I } ( \mathbf { x } , y , \pmb { \theta } _ { 1 } ) - \nabla _ { \pmb { \theta } } \mathcal { I } ( \mathbf { x } , y , \pmb { \theta } _ { 2 } ) \| _ { 2 } \leq K _ { \pmb { \theta } } \| \pmb { \theta } _ { 1 } - \pmb { \theta } _ { 2 } \| _ { 2 } + 2 \epsilon K . } \end{array} +$$ + +It can be noted that with this new assumption, we can simply obtain this result by Theorem 1. +Therefore, Theorem 1 is a more general result of the previous one. + +# B.1 THEORETICAL ANALYSIS FOR TRADES + +Note that TRADES adopts the $\mathrm { K L }$ divergence in its adversarial loss. The KL divergence is defined on two predicted probability distributions over all classes, as + +$$ +\mathcal { D } ( f _ { \pmb { \theta } } ( \mathbf { x } ) \| f _ { \pmb { \theta } } ( \mathbf { x } ^ { \prime } ) ) = \sum _ { y \in \{ 1 , \dots , C \} } f _ { \pmb { \theta } } ( \mathbf { x } ) _ { y } \cdot \log \frac { f _ { \pmb { \theta } } ( \mathbf { x } ) _ { y } } { f _ { \pmb { \theta } } ( \mathbf { x } ^ { \prime } ) _ { y } } . +$$ + +However, based on the local Lipschitz continuity assumption of the clean cross-entropy loss (which is only concerned with the predicted probability of the true class) in Eq. (4), we cannot derive a similar theoretical bound on the gradient stability of TRADES as in Eq. (5). Therefore, we need to make a different assumption on the KL divergence. For example, suppose the gradient of the KL divergence satisfies + +$$ +\begin{array} { r } { \| \nabla _ { \theta } \mathcal { D } \big ( f _ { \pmb { \theta } } ( \mathbf { x } ) \| f _ { \pmb { \theta } } ( \mathbf { x } ^ { \prime } ) \big ) \| _ { 2 } \leq K ^ { \prime } \| \mathbf { x } ^ { \prime } - \mathbf { x } \| _ { p } , } \end{array} +$$ + +for any $\mathbf { x } \in \mathbb { R } ^ { d }$ , $\mathbf { x } ^ { \prime } \in S ( \mathbf { x } )$ , and any $\pmb \theta$ , where $K ^ { \prime }$ is another constant. We denote the adversarial loss of TRADES as $\mathcal { I } ^ { \prime } ( \mathbf { x } , y , \pmb { \theta } )$ , then we have + +$$ +\begin{array} { r l } & { \quad \| \nabla _ { \theta } \mathcal { I } ^ { \prime } ( \mathbf { x } , y , \theta _ { 1 } ) - \nabla _ { \theta } \mathcal { I } ^ { \prime } ( \mathbf { x } , y , \theta _ { 1 } ) \| _ { 2 } } \\ & { { \le } \| \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( \mathbf { x } ) , y ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( \mathbf { x } ) , y ) \| _ { 2 } + } \\ & { \quad \beta \| \nabla _ { \theta } \underset { \mathbf { x } ^ { \prime } \in S ( \mathbf { x } ) } { \operatorname* { m a x } } \mathcal { D } ( f _ { \theta _ { 1 } } ( \mathbf { x } ) \| f _ { \theta _ { 1 } } ( \mathbf { x } ^ { \prime } ) ) \| _ { 2 } + } \\ & { \quad \beta \| \nabla _ { \theta } \underset { \mathbf { x } ^ { \prime } \in S ( \mathbf { x } ) } { \operatorname* { m a x } } \mathcal { D } ( f _ { \theta _ { 2 } } ( \mathbf { x } ) \| f _ { \theta _ { 2 } } ( \mathbf { x } ^ { \prime } ) ) \| _ { 2 } } \\ & { { \le } \| \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 1 } } ( \mathbf { x } ) , y ) - \nabla _ { \theta } \mathcal { L } ( f _ { \theta _ { 2 } } ( \mathbf { x } ) , y ) \| _ { 2 } + 2 \beta \epsilon K ^ { \prime } . } \end{array} +$$ + +Although we can derive a similar bound on gradient stability of TRADES, this bound is not directly comparable to Eq. (5) since we cannot find the relationship between $K$ and $K ^ { \prime }$ . However, our empirical analysis on gradient magnitude in Sec. 3.2 has shown that TRADES is dominated by the clean cross-entropy loss at the initial training epochs, thus the gradient stability of the TRADES loss will be similar to that of the clean cross-entropy loss, as also revealed in Fig. 4(a). Therefore, the gradient of TRADES would be relatively stable. + +# C FULL EXPERIMENTS ON ROBUST OVERFITTING + +![](images/13c0aeac5b6d6469ab512f780639816145991fbdb77d1644892db2a745a00257.jpg) + +![](images/cb7c1c3999c2c48ccfdd8bcf6e61ae9ce9ad5790e205e2f5ab4fbf7138569af3.jpg) +Figure C.1: The robust test accuracy of TRADES under various perturbation budgets $\epsilon$ . +Figure C.2: The adversarial loss of WRN-28-10 and ResNet-18 trained by PGD-AT on 500 samples sorted by the loss of the first model (i.e., WRN-28-10). + +First, we show the robust test accuracy curves of TRADES under various perturbation budgets in Fig. C.1. It can also be observed that when the perturbation budget is small, robust overfitting does not occur. + +Second, we show that the “hard” training examples with higher adversarial loss values are consistent across different model architectures. We train one WRN-28-10 model and one ResNet-18 model based on PGD-AT. We then calculate the adversarial loss for each training sample for these two models. We show the adversarial loss on 500 samples sorted by the loss of the first model (i.e., WRN28-10) in Fig. C.2. It can be seen that the samples with lower adversarial losses of the first model also have relatively lower losses of the second one and vice versa. The Kendall’s rank coefficient of the adversarial loss between the two models is 0.78 in this case. + +Third, we visualize the hard training examples with high adversarial loss values in Fig. C.3. It can be seen that these examples are difficult to recognize and their labels may be wrong. Therefore, the one-hot labels for these hard training examples can be noisy for AT, leading to the robust overfitting problem. + +![](images/92f5d7ecf2d3f0f41009d2c4475fa2744d7e8de93bfef4dd3f1014653692e336.jpg) +Figure C.3: The hard training examples with high adversarial loss values. + +Table C.1: Test accuracy $( \% )$ of several methods using different model architectures and threat models. We choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10. + +
MethodsNetworksNormsNatural AccuracyPGD-10
BestFinalDiffBestFinalDiff
PGD-AT PGD-AT+TE PGD-ATWRN-34-10 WRN-34-10 VGG-16lo (∈=8/255)86.58 85.43 79.6086.83 85.10-0.25 0.3355.83 59.3049.52 56.636.31 2.67
PGD-AT+TE PGD-ATVGG-1678.19 88.8281.26 79.13-1.66 -0.9448.52 52.0643.02 51.295.50 0.77
88.96-0.1469.0565.963.09
PGD-AT+TE87.9588.200.65
ResNet-18l2 (∈ =128/255)-0.2572.5871.93
TRADES86.5086.57-0.0770.2266.074.15
TRADES+TE88.4288.60-0.1872.7272.430.29
+ +# C.2 ADDITIONAL EXPERIMENTS ON MITIGATING ROBUST OVERFITTING + +We show the results of our proposed methods on other network architectures (including WRN34-10 and VGG-16) and threat models (including $\ell _ { 2 }$ norm) in Table C.1. The results consistently demonstrate the effectiveness of the proposed method. + +We further show the results of PGD-AT, PGD- $\mathbf { A T + T E }$ , TRADES, and TRADES ${ \bf \nabla } + { \bf T } { \bf E }$ on CIFAR-10 over 3 runs in Table C.2. + +Table C.2: Test accuracy $( \% )$ of several methods on CIFAR-10 under the $\ell _ { \infty }$ norm with $\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. We show the mean/std of the results over 3 runs. + +
MethodNatural Accuracy
BestFinalDiff
PGD-AT83.76 ± 0.0284.93 ± 0.26-1.17 ± 0.29
PGD-AT+TE82.36 ± 0.1882.69 ± 0.14-0.33 ± 0.31
TRADES81.34 ± 0.1582.70 ± 0.21-1.36 ± 0.36
TRADES+TE83.66 ± 0.1983.89 ± 0.09-0.23 ± 0.21
MethodPGD-10
BestFinalDiff
PGD-AT52.62 ± 0.1044.91 ± 0.017.71 ± 0.11
PGD-AT+TE55.74 ± 0.1754.82 ± 0.230.92 ± 0.07
TRADES53.25 ± 0.0750.48 ± 0.232.77 ± 0.16
TRADES+TE54.93 ± 0.1654.04 ± 0.190.89 ± 0.13
MethodPGD-1000
BestFinalDiff
PGD-AT51.26 ± 0.0342.72 ± 0.068.54 ± 0.06
PGD-AT+TE54.54 ± 0.2753.01 ± 0.341.53 ± 0.24
TRADES52.24 ± 0.2048.74 ± 0.173.50 ± 0.13
TRADES+TE53.55 ± 0.1652.93 ± 0.070.62 ± 0.11
MethodC&W-1000
BestFinalDiff
PGD-AT PGD-AT+TE50.24 ± 0.1243.59 ± 0.076.65 ± 0.19
52.31 ± 0.0151.67 ± 0.120.64 ± 0.11
TRADES49.83 ± 0.0548.11 ± 0.041.72 ± 0.02
TRADES+TE50.80 ± 0.0250.61 ± 0.070.19 ± 0.08
MethodBestAutoAttack FinalDiff
PGD-AT PGD-AT+TE47.85 ± 0.17 50.37 ± 0.2241.62 ± 0.16 49.36 ± 0.246.23 ± 0.26 1.01 ± 0.03
TRADES48.86 ± 0.1846.73 ± 0.072.13 ± 0.11
TRADES+TE49.40 ± 0.2748.77 ± 0.210.63 ± 0.05
\ No newline at end of file diff --git a/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI_content_list.json b/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..2d729ff5fdd5fd131e61eda0164aa0838608bd35 --- /dev/null +++ b/parse/dev/7gE9V9GBZaI/7gE9V9GBZaI_content_list.json @@ -0,0 +1,2965 @@ +[ + { + "type": "text", + "text": "EXPLORING MEMORIZATION IN ADVERSARIAL TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 99, + 738, + 145 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yinpeng $\\mathbf { D o n g ^ { 1 , 2 } }$ , Ke $\\mathbf { X } \\mathbf { u } ^ { 4 }$ , Xiao Yang1, Tianyu Pang1, Zhijie Deng1, Hang $\\mathbf { S u } ^ { 1 , 3 }$ , J $\\mathbf { u n } \\mathbf { Z } \\mathbf { h } \\mathbf { u } ^ { 1 , 2 , 3 * }$ 1 Dept. of Comp. Sci. and Tech., Institute for AI, Tsinghua-Bosch Joint ML Center, THBI Lab 1 BNRist Center, Tsinghua University, Beijing, China; 2 RealAI; 3 Peng Cheng Laboratory; 4 CMU {dongyinpeng, suhangss, dcszj}@mail.tsinghua.edu.cn, kx1@andrew.cmu.edu ", + "bbox": [ + 186, + 169, + 839, + 227 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 252, + 544, + 267 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep learning models have a propensity for fitting the entire training set even with random labels, which requires memorization of every training sample. In this paper, we explore the memorization effect in adversarial training (AT) for promoting a deeper understanding of model capacity, convergence, generalization, and especially robust overfitting of the adversarially trained models. We first demonstrate that deep networks have sufficient capacity to memorize adversarial examples of training data with completely random labels, but not all AT algorithms can converge under the extreme circumstance. Our study of AT with random labels motivates further analyses on the convergence and generalization of AT. We find that some AT approaches suffer from a gradient instability issue and most recently suggested complexity measures cannot explain robust generalization by considering models trained on random labels. Furthermore, we identify a significant drawback of memorization in AT that it could result in robust overfitting. We then propose a new mitigation algorithm motivated by detailed memorization analyses. Extensive experiments on various datasets validate the effectiveness of the proposed method. ", + "bbox": [ + 233, + 284, + 764, + 491 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 511, + 336, + 527 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep neural networks (DNNs) usually exhibit excellent generalization ability in pattern recognition tasks, despite their sufficient capacity to overfit or memorize the entire training set with completely random labels (Zhang et al., 2017). The memorization behavior in deep learning has aroused tremendous attention to identifying the differences between learning on true and random labels (Arpit et al., 2017; Neyshabur et al., 2017), and examining what and why DNNs memorize (Feldman, 2020; Feldman & Zhang, 2020; Maennel et al., 2020). This phenomenon has also motivated a growing body of works on model capacity (Arpit et al., 2017; Belkin et al., 2019), convergence (Allen-Zhu et al., 2019; Du et al., 2019; Zou et al., 2020), and generalization (Neyshabur et al., 2017; Bartlett et al., 2017), which consequently provide a better understanding of the DNN working mechanism. ", + "bbox": [ + 173, + 540, + 825, + 665 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this paper, we explore the memorization behavior for a different learning algorithm—adversarial training (AT). Owing to the security threat of adversarial examples, i.e., maliciously generated inputs by adding imperceptible perturbations to cause misclassification (Szegedy et al., 2014; Goodfellow et al., 2015), various defense methods have been proposed to improve the adversarial robustness of DNNs (Kurakin et al., 2017; Madry et al., 2018; Liao et al., 2018; Wong & Kolter, 2018; Cohen et al., 2019; Zhang et al., 2019b; Pang et al., 2019; 2020; Dong et al., 2020a). AT is arguably the most effective defense technique (Athalye et al., 2018; Dong et al., 2020b), in which the network is trained on the adversarially augmented samples instead of the natural ones (Madry et al., 2018). ", + "bbox": [ + 174, + 671, + 825, + 784 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Despite the popularity, the memorization behavior in AT is less explored. Schmidt et al. (2018) show that a model is able to fully (over)fit the training set against an adversary, i.e., reaching almost $1 0 0 \\%$ robust training accuracy, while the performance on test data is much inferior, witnessing a significant generalization gap. The overfitting phenomenon in AT is further investigated in Rice et al. (2020). However, it is not clear whether DNNs could memorize adversarial examples of training data with completely random labels. Answering this question could help to examine the effects of memorization in AT under the “extreme” circumstance and facilitate a deeper understanding of capacity, convergence, generalization, and robust overfitting of the adversarially trained models. In general, it is difficult for a classifier to memorize adversarial examples with random labels since the model entails a much more complicated decision boundary, as illustrated in Fig. 1. Even though the networks have sufficient capacity, AT may not necessarily converge. Therefore, we aim to comprehensively study this problem and explore how the analysis can motivate better algorithms. ", + "bbox": [ + 174, + 790, + 825, + 901 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/f81cfa7059d13b8361f9e9bbd507b80b17845c0da03ef1bde410fef37354cce1.jpg", + "image_caption": [ + "Figure 1: A conceptual illustration of decision boundaries learned via standard training and adversarial training with true and random labels, respectively. The model needs a significantly more complicated decision boundary to memorize adversarial examples of training data with random labels. " + ], + "image_footnote": [], + "bbox": [ + 205, + 79, + 792, + 208 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 261, + 825, + 316 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our contributions. We first empirically investigate the memorization behavior in AT by performing PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) with random labels sampled uniformly over all classes. Different from standard training (ST) that can easily memorize random labels (Zhang et al., 2017), AT may fail to converge, with PGD-AT being a typical example. Nevertheless, TRADES can converge under this circumstance. It demonstrates that DNNs have sufficient capacity to memorize adversarial examples of training data with completely random labels. This phenomenon is commonly observed on multiple datasets, network architectures, and threat models. ", + "bbox": [ + 173, + 324, + 825, + 421 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The memorization analysis has further implications for understanding the convergence and generalization of AT. We conduct a convergence analysis on gradient magnitude and stability to explain the counter-intuitive different convergence properties of PGD-AT and TRADES with random labels since they behave similarly when trained on true labels (Rice et al., 2020). We corroborate that PGD-AT suffers from a gradient instability issue while the gradients of TRADES are relatively stable thanks to its adversarial loss. Moreover, by considering models trained on random labels, our generalization analysis indicates that several recently suggested complexity measures are inadequate to explain robust generalization, which is complementary to the findings in ST (Neyshabur et al., 2017). Accordingly, an appropriate explanation of robust generalization remains largely under-addressed. ", + "bbox": [ + 173, + 428, + 825, + 554 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Lastly, but most importantly, we identify a significant drawback of memorization in AT that it could result in robust overfitting (Rice et al., 2020). We argue that the cause of robust overfitting lies in the memorization of one-hot labels in the typical AT methods. The one-hot labels can be inappropriate or even noisy for some adversarial examples because some data naturally lies close to the decision boundary, and the corresponding adversarial examples should be assigned low predictive confidence (Stutz et al., 2020; Cheng et al., 2020). To solve this problem, we propose a new mitigation algorithm that impedes over-confident predictions by regularization for avoiding the excessive memorization of adversarial examples with possibly noisy labels. Experiments validate that our method can eliminate robust overfitting to a large extent across multiple datasets, network architectures, threat models, and AT methods, achieving better robustness under a variety of adversarial attacks than the baselines. ", + "bbox": [ + 174, + 560, + 825, + 699 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND ", + "text_level": 1, + "bbox": [ + 176, + 713, + 326, + 729 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 ADVERSARIAL TRAINING ", + "text_level": 1, + "bbox": [ + 174, + 739, + 392, + 753 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Let $\\mathbf { \\mathcal { D } } = \\{ ( \\mathbf { x } _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { n }$ denote a training dataset with $n$ samples, where $\\mathbf { x } _ { i } \\in \\mathbb { R } ^ { d }$ is a natural example and $y _ { i } \\in \\{ 1 , . . . , C \\}$ is its true label often encoded as an one-hot vector ${ \\mathbf { 1 } } _ { y _ { i } }$ with totally $C$ classes. Adversarial training (AT) can be formulated as a robust optimization problem (Madry et al., 2018): ", + "bbox": [ + 174, + 761, + 825, + 803 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/5ccdad7e689c5b70cccc6aed06dec1b0b1c1a84a3d4520ff5eef6a43534b29d8.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\pmb { \\theta } } \\sum _ { i = 1 } ^ { n } \\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 393, + 808, + 604, + 848 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $f _ { \\theta }$ is a DNN classifier with parameters $\\pmb \\theta$ that predicts probabilities over all classes, $\\mathcal { L }$ is the classification loss (i.e., the cross-entropy loss as $\\mathcal { L } ( f _ { \\theta } ^ { \\mathsf { ^ { * } } } ( \\mathbf { x } ) , y ) \\overset { \\bullet } { = } - \\mathbf { 1 } _ { y } ^ { \\top } \\log f _ { \\theta } ( \\mathbf { x } ) )$ , and $\\begin{array} { r } S ( \\mathbf { x } ) = \\{ \\mathbf { x } ^ { \\prime } : \\ \\end{array}$ $\\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } \\leq \\epsilon \\}$ is an adversarial region centered at $\\mathbf { x }$ with radius $\\epsilon > 0$ under the $\\ell _ { p }$ -norm threat models (e.g., $\\ell _ { 2 }$ and $\\ell _ { \\infty }$ norms that we consider). The robust optimization problem (1) is solved by using adversarial attacks to approximate the inner maximization and updating the model parameters $\\pmb \\theta$ via gradient descent. A typical method uses projected gradient descent (PGD) (Madry et al., 2018) for the inner problem, which starts at a randomly initialized point in $S ( \\mathbf { x } _ { i } )$ and iteratively updates the adversarial example under the $\\ell _ { \\infty }$ -norm threat model by ", + "bbox": [ + 174, + 852, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 146 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/afd88080cd9aae63b434cb67b5b1866a5c575ab9af6cf0c464bdbd5180a429a6.jpg", + "text": "$$\n\\mathbf { x } _ { i } ^ { \\prime } = \\Pi _ { S ( \\mathbf { x } _ { i } ) } \\big ( \\mathbf { x } _ { i } ^ { \\prime } + \\alpha \\cdot \\mathrm { s i g n } \\big ( \\nabla _ { \\mathbf { x } } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } \\big ) \\big ) \\big ) ,\n$$", + "text_format": "latex", + "bbox": [ + 341, + 150, + 655, + 170 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\Pi ( \\cdot )$ is the projection operator and $\\alpha$ is the step size. ", + "bbox": [ + 173, + 175, + 562, + 190 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Besides PGD-AT, another typical AT method is TRADES (Zhang et al., 2019b), which balances the trade-off between robustness and natural accuracy by minimizing a different adversarial loss ", + "bbox": [ + 173, + 195, + 826, + 226 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/13d2c9e54e86fde38658337f645b2bcef4c60330e1d3360a079bbf5cde27c11c.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\pmb { \\theta } } \\sum _ { i = 1 } ^ { n } \\left\\{ \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) + \\beta \\cdot \\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { D } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) | | f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) ) \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 297, + 231, + 699, + 272 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\mathcal { L }$ is the clean cross-entropy loss on the natural example, $\\mathcal { D }$ is the Kullback–Leibler divergence, and $\\beta$ is a balancing parameter. The inner maximization of TRADES is also solved by PGD. ", + "bbox": [ + 173, + 276, + 823, + 305 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Recent progress of AT includes designing new adversarial losses (Mao et al., 2019; Qin et al., 2019; Pang et al., 2020; Wang et al., 2020; Dong et al., 2020a) and network architecture (Xie et al., 2019), training acceleration (Shafahi et al., 2019; Zhang et al., $2 0 1 9 \\mathrm { a }$ ; Wong et al., 2020), and exploiting more training data (Hendrycks et al., 2019; Alayrac et al., 2019; Carmon et al., 2019; Zhai et al., 2019). Recent works highlight the training tricks in AT (Gowal et al., 2020; Pang et al., 2021). ", + "bbox": [ + 174, + 311, + 825, + 382 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 RELATED WORK ON DNN MEMORIZATION ", + "text_level": 1, + "bbox": [ + 174, + 396, + 509, + 410 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "It has been observed that DNNs can easily memorize training data with random labels (Zhang et al., 2017), which requires “rethinking” of conventional techniques (e.g., VC dimension) to explain generalization. Arpit et al. (2017) identify qualitative differences between learning on true and random labels. Further works attempt to examine what and why DNNs memorize (Feldman, 2020; Feldman & Zhang, 2020; Maennel et al., 2020). Motivated by the memorization phenomenon in deep learning, convergence of training has been analyzed in the over-parameterized setting (Allen-Zhu et al., 2019; Du et al., 2019; Zou et al., 2020), while generalization has been studied with numerous theoretical and empirical complexity measures (Neyshabur et al., 2015; 2017; Bartlett et al., 2017; Novak et al., 2018; Arora et al., 2018; Cao & Gu, 2019; Jiang et al., 2020; Chen et al., 2020). ", + "bbox": [ + 173, + 419, + 825, + 544 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In contrast, the memorization behavior in AT has been less explored. The previous works demonstrate that DNNs can fit training data against an adversary (Madry et al., 2018; Schmidt et al., 2018; Rice et al., 2020), e.g., achieving nearly $1 0 0 \\%$ robust training accuracy against a PGD adversary, but this behavior is not explored when trained on random labels. This paper is dedicated to investigating the memorization in AT under the extreme condition with random labels, while drawing connections to capacity, convergence, generalization, and robust overfitting, with the overarching goal of better understanding the AT working mechanism. ", + "bbox": [ + 174, + 551, + 825, + 648 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 MEMORIZATION IN AT AND IMPLICATIONS ", + "text_level": 1, + "bbox": [ + 174, + 662, + 562, + 679 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we first explore the memorization behavior in AT through an empirical study. Our analysis raises new questions about the convergence and generalization of AT, many of which cannot be answered by existing works. Thereafter, we provide further analytical studies on the convergence and generalization of AT by considering models trained on random labels particularly. ", + "bbox": [ + 174, + 691, + 825, + 747 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 AT WITH RANDOM LABELS ", + "text_level": 1, + "bbox": [ + 176, + 762, + 401, + 776 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We explore the memorization behavior of PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) as two studying cases. The experiments are conducted on CIFAR-10 (Krizhevsky & Hinton, 2009) with a Wide ResNet model (Zagoruyko & Komodakis, 2016) of depth 28 and widen factor 10 (WRN-28-10). Similar to Zhang et al. (2017), we train a network on the original dataset with true labels and on a copy of the dataset in which the true labels are corrupted by random ones. For training and robustness evaluation, a 10-step $\\ell _ { \\infty }$ PGD adversary with $\\epsilon = 8 / 2 5 5$ and $\\alpha = 2 / 2 5 5$ is adopted. For TRADES, the PGD adversary maximizes the KL divergence during training, while maximizes the cross-entropy loss for robustness evaluation, as common practice (Zhang et al., 2019b). We set $\\beta = 6 . 0$ . In the sequel, we denote accuracy of a classifier against the 10-step PGD adversary as “robust accuracy”, and accuracy on natural examples as “natural accuracy”. ", + "bbox": [ + 174, + 784, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/22d77cfd65523e8b562391b0e65ab4b94592a9d15543c79d8df8cea09f6ac952.jpg", + "image_caption": [ + "Figure 2: (a) and (b) show the natural and robust training accuracies of PGD-AT and TRADES, respectively, when trained on true or random labels. (c) shows the generalization gap under varying levels of label noise. " + ], + "image_footnote": [], + "bbox": [ + 191, + 84, + 808, + 223 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Fig. 2(a) and Fig. 2(b) show the learning curves of PGD-AT and TRADES without explicit regularizations. Both methods achieve almost $\\bar { 1 } 0 0 \\%$ natural and robust training accuracies when trained on true labels. When the labels are random, we observe the totally different behaviors between PGDAT and TRADES—PGD-AT fails to converge while TRADES still reaches nearly $1 0 0 \\%$ training accuracies. This phenomenon is somewhat striking because PGD-AT and TRADES perform similarly on true labels (Rice et al., 2020). We find that the different memorization behaviors between PGD-AT and TRADES when trained on random labels can commonly be observed across a variety of datasets, model architectures, and threat models (shown in Appendix A.1), indicating that it is a general phenomenon of memorization in the two AT methods. Therefore, our finding is: ", + "bbox": [ + 173, + 266, + 825, + 391 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "DNNs have sufficient capacity to memorize adversarial examples of training data with completely random labels, but the convergence depends on the AT algorithms. ", + "bbox": [ + 176, + 398, + 821, + 426 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Partially corrupted labels. We then inspect the behavior of AT under varying levels of label noise from $0 \\%$ (true labels) to $1 0 0 \\%$ (completely random labels). The generalization gap (i.e., difference between training and test accuracies) presented in Fig. 2(c) grows steadily as we increase the noise rate before the network fails to converge. The learning curves are provided in Appendix A.1. ", + "bbox": [ + 174, + 434, + 825, + 489 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Explicit regularizations. We study the role of common regularizers in AT memorization, including data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train TRADES on true and random labels with several combinations of regularizers. We observe the explicit regularizers do not significantly affect the model’s ability to memorize adversarial examples, similar to the finding in ST (Zhang et al., 2017; Arpit et al., 2017). The detailed results are provided in Appendix A.1. ", + "bbox": [ + 174, + 496, + 825, + 566 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 CONVERGENCE ANALYSIS OF AT WITH RANDOM LABELS ", + "text_level": 1, + "bbox": [ + 174, + 580, + 609, + 594 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Since we have observed a counter-intuitive fact that PGD-AT and TRADES exhibit different convergence properties with random labels, it is necessary to perform a convergence analysis to understand this phenomenon. Note that our finding can hardly be explained by previous works (Gao et al., 2019; Wang et al., 2019; Zhang et al., 2020). ", + "bbox": [ + 174, + 603, + 825, + 659 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We first study the effects of different training settings on PGD-AT with random labels. We conduct experiments to analyze each training factor individually, including network architecture, attack steps, optimizer, and perturbation budget. We find that tuning the training settings cannot make PGD-AT converge with random labels (Appendix A.2 details the results). Based on the analysis, we think that the convergence issue of PGD-AT could be a result of the adversarial loss function in Eq. (1) rather than other training configurations. Specifically, TRADES in Eq. (3) minimizes a clean cross-entropy (CE) loss on natural examples, making DNNs memorize natural examples with random labels before fitting adversarial examples. As seen in Fig. 2(b), at the very early stage of TRADES training (the first 25 epochs), the natural accuracy starts to increase while the robust accuracy does not. However, PGD-AT in Eq. (1) directly minimizes the CE loss on adversarial samples with random labels, which can introduce unstable gradients with large variance, making it fail to converge. To corroborate the above argument, we analyze the gradient magnitude and stability below. ", + "bbox": [ + 173, + 666, + 825, + 833 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Gradient magnitude. First, we calculate the average gradient norm of the adversarial loss in Eq. (1) w.r.t. model parameters over each training sample for PGD-AT, and similarly calculate the average gradient norm of the clean CE loss (the first term) and the KL loss (the second term) in Eq. (3) w.r.t. parameters for TRADES to analyze their effects, respectively. We present the gradient norm along with training in Fig. 3(a). We can see that at the initial training epochs, the gradient norm of the KL loss in TRADES is much smaller than that of the CE loss, which indicates that the CE loss dominates TRADES training initially. With the training progressing, the KL loss has a larger gradient norm, making the network memorize adversarial examples. However, it is still unclear why PGD-AT does not rely on a similar learning tactic for convergence. To make a direct comparison with TRADES, we rewrite the adversarial loss of PGD-AT in Eq. (1) as ", + "bbox": [ + 174, + 840, + 823, + 922 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/3d95aded5ce66adc65f626768cc2aa903a5da8dd130c8143836e938eb6eb27de.jpg", + "image_caption": [ + "Figure 3: (a): Gradient norm of PGD-AT and TRADES Figure 4: (a): The $\\ell _ { 2 }$ distance between the gradients along the training process. (b): The ratio of the gra- at $\\pmb { \\theta }$ and $\\pmb \\theta + \\lambda \\mathbf d$ of different losses, where $\\pmb { \\theta }$ are inidient norm of PGD-AT and TRADES during the first tialized, $\\lambda \\in [ - 0 . 0 5 , 0 . 0 5 ]$ . (b): The cosine similarity 1000 training iterations. between the gradients in each two successive epochs. " + ], + "image_footnote": [], + "bbox": [ + 173, + 85, + 825, + 198 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 266, + 825, + 321 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d5b3d94e0103e21e130b04ad22f4b66cb099362f98ab398f6a1257e4b63d26f6.jpg", + "text": "$$\n\\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } ) = \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } _ { i } ) , y _ { i } ) + \\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb { \\theta } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 315, + 325, + 678, + 352 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )$ denotes the difference between the CE loss on adversarial example $\\mathbf { x } _ { i } ^ { \\prime }$ and that on natural example $\\mathbf { x } _ { i }$ . Hence we can separately calculate the gradient norm of $\\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } )$ and $\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )$ w.r.t. parameters $\\pmb \\theta$ to find out the effect of $\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )$ on training. Specifically, we measure the relative gradient magnitude, i.e., in PGD-AT we calculate the ratio of the gradient norm $\\begin{array} { r l } { { \\frac { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb { \\theta } ) \\| _ { 2 } } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) \\| _ { 2 } } } \\quad } & { } \\end{array}$ ; while in TRADES, we similarly calculate the ratio of the gradient norm of the KL loss to that of the CE loss. Fig. 3(b) illustrates the ratio of PGD-AT and TRADES during the first 1000 training iterations. The ratio of PGD-AT is consistently higher than that of TRADES, meaning that $\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )$ has a non-negligible impact on training. ", + "bbox": [ + 173, + 356, + 825, + 474 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Gradient stability. Then, we analyze the gradient stability to explain why PGD-AT cannot converge. We denote the adversarial loss of PGD-AT as $\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\theta ) \\stackrel { - } { = } \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}$ with the subscript $i$ omitted for notation simplicity. We have a theorem on gradient stability. ", + "bbox": [ + 174, + 481, + 820, + 523 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 1. Suppose the gradient of the clean cross-entropy loss is locally Lipschitz continuous as ", + "bbox": [ + 178, + 525, + 823, + 540 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/75ebc642390a465430d222dc86750104b28531386c461e7808697af0492e9c39.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 316, + 544, + 679, + 561 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "any $\\mathbf { x } \\in \\mathbb { R } ^ { d }$ , $\\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } )$ , and any $\\pmb \\theta$ , where $K$ is the Lipschitz constant. Then we ha ", + "bbox": [ + 194, + 565, + 733, + 582 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/370a505c01842140dda1f9353b992acff34b6c720e5568119ceace8d9fe5826f.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 2 } ) \\| _ { 2 } \\leq \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + 2 \\epsilon K . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 200, + 583, + 779, + 602 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We provide the proof in Appendix B, where we show the upper bound in Eq. (5) is tight. Theorem 1 indicates that the gradient of the adversarial loss $\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )$ of PGD-AT will change more dramatically than that of the clean CE loss $\\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ) , y )$ . When $\\pmb { \\theta } _ { 1 }$ and $\\pmb { \\theta } _ { 2 }$ are close, the difference between the gradients of $\\mathcal { L }$ at $\\pmb { \\theta } _ { 1 }$ and $\\pmb { \\theta } _ { 2 }$ is close to 0 due to the semi-smoothness of over-parameterized DNNs (Allen-Zhu et al., 2019), but that of $\\mathcal { I }$ is relatively large due to $2 \\epsilon K$ in Eq. (5). To validate this, we visualize the change of gradient when moving the parameters $\\pmb { \\theta }$ along a random direction $\\mathbf { d }$ with magnitude $\\lambda$ . In particular, we set $\\pmb \\theta$ as initialization, $\\mathbf { d }$ is sampled from a Gaussian distribution and normalized filter-wise (Li et al., 2018). For PGD-AT and TRADES, we craft adversarial examples on-the-fly for the model with $\\pm \\lambda \\mathbf { d }$ and measure the change of gradient by the $\\ell _ { 2 }$ distance to gradient at $\\pmb { \\theta }$ averaged over all data samples. The curves on gradient change of PGD-AT, TRADES, and the clean CE loss are shown in Fig. 4(a). In a small neighborhood of $\\pmb { \\theta }$ (i.e., small $\\lambda$ ), the gradient of PGD-AT changes abruptly while the gradients of TRADES and the clean CE loss are more continuous. The gradient instability leads to a lower cosine similarity between the gradient directions w.r.t. the same data in each two successive training epochs of PGD-AT, as illustrated in Fig. 4(b). Therefore, the training of PGD-AT would be rather unstable that the gradient exhibits large variance, making it fail to converge. ", + "bbox": [ + 173, + 612, + 825, + 834 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Clean CE loss helps PGD-AT converge. To further verify our argument, we add the clean CE loss into the PGD-AT objective to resemble the learning of TRADES with random labels, as ", + "bbox": [ + 173, + 840, + 645, + 883 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/0f3b904c9006568d1cb08aa0fa412d86aab5ac3e349857ac8558ac5b66161398.jpg", + "image_caption": [ + "Figure 5: AT by Eq. (6) " + ], + "image_footnote": [], + "bbox": [ + 658, + 825, + 821, + 909 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/61defbed5b56ab5d4b39bf2a0015f7fd3393ec074e24f6fa04d3b6f9c0de2bbe.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\pmb { \\theta } } \\sum _ { i = 1 } ^ { n } \\left\\{ ( 1 - \\gamma ) \\cdot \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) + \\gamma \\cdot \\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } ) \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 186, + 886, + 614, + 929 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/5d1ae9d9a6ebf5861669f883e38d9ba6c2fdd6d55fed8de7c66a2935cc0ee3f5.jpg", + "image_caption": [ + "Figure 6: The results on four complexity measures of the adversarially trained models w.r.t. robust generaliza tion gap. The training settings of these models are provided in Appendix A.3. " + ], + "image_footnote": [], + "bbox": [ + 176, + 82, + 821, + 184 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\gamma$ is gradually increased from 0 to 1. By using Eq. (6), the gradient would be stabler at the initial stage and training on random labels can successfully converge, as shown Fig. 5. ", + "bbox": [ + 174, + 222, + 823, + 251 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In summary, our convergence analysis identifies the gradient instability issue of PGD-AT, provides new insights on the differences between PGD-AT and TRADES, and partially explain the failures of AT under other realistic settings beyond the scope of this section as detailed in Appendix A.2. ", + "bbox": [ + 174, + 257, + 825, + 299 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.3 GENERALIZATION ANALYSIS OF AT WITH RANDOM LABELS ", + "text_level": 1, + "bbox": [ + 174, + 314, + 627, + 327 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As our study demonstrates DNNs’ ability to memorize adversarial examples with random labels, we raise the question of whether DNNs rely on a similar memorization tactic on true labels and how to explain/ensure robust generalization. Although many efforts have been devoted to studying robust generalization of AT theoretically or empirically (Yin et al., 2018; Schmidt et al., 2018; Bubeck et al., 2019; Tu et al., 2019; Wu et al., 2020), they do not take the models trained on random labels into consideration. As it is easy to show that the explicit regularizations are not the adequate explanation of generalization in ST (Zhang et al., 2017; Arpit et al., 2017) and AT (see Appendix A.3), people resort to complexity measures of a model to explain generalization (i.e., a lower complexity should imply a smaller generalization gap). Here we show how the recently proposed complexity measures fail to explain robust generalization when comparing models trained on true and random labels. ", + "bbox": [ + 173, + 337, + 825, + 476 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We consider several norm-based and sharpness/flatness-based measures. We denote the parameters of a network by $\\pmb \\theta : = \\{ W _ { i } \\} _ { i = 1 } ^ { m }$ . The norm-based measures include spectral norm $\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\prod _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 2 } } \\end{array}$ and $\\ell _ { 1 }$ norm $\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\sum _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 1 } } \\end{array}$ of model parameters, where $\\gamma _ { \\mathrm { m a r g i n } }$ is a margin on model output to make them scale-insensitive (Neyshabur et al., 2017). The spectral norm appears in the theoretical robust generalization bounds (Yin et al., 2018; Tu et al., 2019) and is related to the Lipschitz constant of neural networks (Cisse et al., 2017). The $\\ell _ { 1 }$ norm is adopted to reduce the robust generalization gap (Yin et al., 2018). The sharpness/flatness-based measures include the curvature of input loss landscape (Moosavi-Dezfooli et al., 2019) as the dominant eigenvalue of the Hessian matrix, as well as the flatness of weight loss landscape (Wu et al., 2020) related to the change of adversarial loss when moving the weights along a random direction. Fig. 6 plots the four complexity measures w.r.t. robust generalization gap of several models trained with various combinations of regularizations on true or random labels. The results show that the first three measures can hardly ensure robust generalization, that lower complexity does not necessarily imply smaller robust generalization gap, e.g., the models trained on random labels can even lead to lower complexity than those trained on true labels. Among them, the flatness of weight loss landscape (Wu et al., 2020) is more reliable. ", + "bbox": [ + 173, + 483, + 825, + 699 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In summary, the generalization analysis indicates that the previous approaches, especially various complexity measures, cannot adequately explain and ensure the robust generalization performance in AT. Our finding of robust generalization in AT is complementary to that of standard generalization in ST (Zhang et al., 2017; Neyshabur et al., 2017; Jiang et al., 2020). Accordingly, robust generalization of adversarially trained models remains an open problem for future research. ", + "bbox": [ + 174, + 705, + 825, + 775 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 ROBUST OVERFITTING ANALYSIS ", + "text_level": 1, + "bbox": [ + 176, + 787, + 480, + 804 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Rice et al. (2020) have identified robust overfitting as a dominant phenomenon in AT, i.e., shortly after the first learning rate decay, further training will continue to decrease the robust test accuracy. They further show that several remedies for overfitting, including explicit $\\ell _ { 1 }$ and $\\ell _ { 2 }$ regularizations, data augmentation, etc., cannot gain improvements upon early stopping. Although robust overfitting has been thoroughly investigated, there still lacks an explanation of why it occurs. In this section, we draw a connection between memorization and robust overfitting in AT by showing that robust overfitting is caused by excessive memorization of one-hot labels in the typical AT methods. Motivated by the analysis, we then propose an effective strategy to eliminate robust overfitting. ", + "bbox": [ + 173, + 815, + 825, + 928 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/2c2ebe3ba21b0fd0c69b97eb9a22e7f608815fec9e68d157cac0afe86e8aff46.jpg", + "image_caption": [ + "Figure 7: (a): The accuracy curves of PGD-AT with true labels to reproduce robust overfitting. (b): The robust test accuracy of PGD-AT under various perturbation budgets \u000f. (c): The adversarial loss of two independently trained networks by PGD-AT on 500 samples sorted by the loss of the first model. " + ], + "image_footnote": [], + "bbox": [ + 191, + 84, + 808, + 222 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 EXPLAINING ROBUST OVERFITTING ", + "text_level": 1, + "bbox": [ + 176, + 280, + 460, + 294 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The typical AT approaches (e.g., PGD-AT, TRADES) commonly adopt one-hot labels as the targets for training, as introduced in Sec. 2.1. The one-hot labels could be inappropriate for some adversarial examples because it is difficult for a network to assign high-confident one-hot labels for all perturbed samples within the perturbation budget $\\epsilon$ (Stutz et al., 2020; Cheng et al., 2020). Intuitively, some examples may naturally lie close to the decision boundary and should be assigned lower predictive confidence for the worst-case adversarial examples. It indicates that one-hot labels of some training data may be noisy in $\\mathsf { A T } ^ { 1 }$ . After a certain training epoch, the model memorizes these “hard” training examples with possibly noisy labels, leading to the reduction of test robustness, as shown in Fig. 7(a). Thus, we hypothesize the cause of robust overfitting lies in the memorization of one-hot labels. ", + "bbox": [ + 174, + 303, + 825, + 428 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Our hypothesis is well supported by two pieces of evidence. First, we find that when the perturbation budget $\\epsilon$ is small, robust overfitting does not occur, as shown in Fig. 7(b). This observation implies that the one-hot labels are more appropriate as the targets for adversarial examples within a smaller neighborhood while become noisier under a larger perturbation budget and lead to overfitting. Second, we validate that the “hard” training examples with higher adversarial loss values are consistent across different models. We first train two independent networks (using the same architecture and different random seeds) by PGD-AT and calculate the adversarial loss for each training sample. We show the adversarial losses on 500 samples sorted by the loss of the first model in Fig. 7(c). It can be seen that the samples with lower adversarial losses of the first model also have relatively lower losses of the second one and vice versa. We further quantitatively measure the consistency of the adversarial losses of all training samples between the two models using the Kendall’s rank coefficient (Kendall, 1938), which is 0.85 in this case. A similar result can be observed for two different model architectures (see Appendix C.1). The results verify that the “hard” training examples with possibly noisy labels are intrinsic of a dataset, supporting our hypothesis on why robust overfitting occurs. ", + "bbox": [ + 174, + 435, + 825, + 630 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.2 MITIGATING ROBUST OVERFITTING ", + "text_level": 1, + "bbox": [ + 178, + 646, + 459, + 659 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Based on the above analysis, we resort to the methods that are less prone to overfit noisy labels for mitigating robust overfitting in AT. Although learning with noisy labels has been broadly studied in ST (Natarajan et al., 2013; Patrini et al., 2017; Jiang et al., 2018; Han et al., 2018; Zhang & Sabuncu, 2018), we find that most of these approaches are not suitable for AT. For example, a typical line of methods filter out noisy samples and train the models on the identified clean samples (Jiang et al., 2018; Han et al., 2018; Ren et al., 2018). However, they will neglect a portion of training data with noisy labels, which can lead to inferior results for AT due to the reduction of training data (Schmidt et al., 2018). Table 2 shows the results to validate this. ", + "bbox": [ + 174, + 669, + 825, + 780 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "To address this problem, we propose to regularize the predictions of adversarial examples from being over-confident by integrating the temporal ensembling (TE) approach (Laine & Aila, 2017) into the AT frameworks. TE maintains an ensemble prediction of each data and penalizes the difference between the current prediction and the ensemble prediction, which is effective for semi-supervised learning and learning with noisy labels (Laine & Aila, 2017). We think that TE is suitable for AT since it enables to leverage all training samples and hinders the network from excessive memorization of one-hot labels with a regularization term. Specifically, we denote the ensemble prediction of a training sample $\\mathbf { x } _ { i }$ as $\\mathbf { p } _ { i }$ , which is updated in each training epoch as $\\mathbf { p } _ { i } \\eta \\cdot \\mathbf { p } _ { i } + ( 1 - \\eta ) \\cdot f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } )$ , where $\\eta$ is the momentum term. The training objective of PGD-AT with TE can be expressed as ", + "bbox": [ + 174, + 787, + 825, + 885 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/eed08a7a5d061280010122522fec3399a1b93d22e4d87b986b59c25987162ecf.jpg", + "table_caption": [ + "Table 1: Test accuracy $( \\% )$ of several methods on CIFAR-10, CIFAR-100, and SVHN under the $\\ell _ { \\infty }$ norm with $\\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. We choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10. " + ], + "table_footnote": [ + "(c) The evaluation results on SVHN. " + ], + "table_body": "
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE83.75 84.82 -1.0782.35 82.79 -0.44[52.64 44.92 7.7255.79 54.83 0.96[51.22 42.74 8.4854.65 53.30 1.35|50.11 43.63 7.4852.30 51.73 0.57|47.74 41.84 5.9050.59 49.62 0.97
TRADESTRADES+TE[81.19 82.48 -1.29|83.86 83.97 -0.11[53.32 50.25 3.0755.15 54.42 0.73[52.44 48.67 3.7753.74 53.03 0.71|49.88 48.14 1.74|50.77 50.63 0.1449.03 46.80 2.2349.77 49.20 0.57
(a) The evaluation results on CIFAR-10.
MethodNatural AccuracyBest FinalDiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE57.54 57.510.0356.45 57.12 -0.6729.40 21.75 7.6531.74 30.24 1.5028.54 20.63 7.9131.27 29.80 1.4727.06 21.17 5.8928.27 27.36 0.9124.72 19.34 5.3826.30 25.34 0.96
TRADESTRADES+TE57.98 56.321.6659.35 58.72 0.63|29.93 27.70 2.23|31.09 30.12 0.9729.51 26.93 2.58|230.54 29.45 1.09[25.46 24.42 1.04|26.61 25.94 0.6724.6123.40 1.2125.27 24.55 0.72
(b) The evaluation results on CIFAR-100.
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE89.00 90.55 -1.5590.09 90.91 -0.82[54.51 46.97 7.5459.74 59.05 0.69[52.22 42.85 9.3757.7156.46 1.2548.66 44.13 4.5354.5553.94 0.6146.61 38.24 8.3751.44 50.61 0.83
TRADESTRADES+TE90.88 91.30 -0.4289.01 88.52 0.49[59.50 57.04 2.4659.81 58.49 1.32[52.78 50.17 2.6158.24 56.66 1.58[52.76 50.53 2.2354.00 53.24 0.7640.36 38.88 1.4851.45 50.16 1.29
", + "bbox": [ + 173, + 128, + 823, + 457 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 479, + 823, + 508 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/fed72a46edc93d5572f2299efdef066518df16ea3a3e6956a9ea36faa88b9d55.jpg", + "text": "$$\n\\operatorname* { m i n } _ { \\pmb { \\theta } } \\sum _ { i = 1 } ^ { n } \\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\left\\{ \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } ) + w \\cdot | | f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) - \\hat { \\mathbf { p } } _ { i } | | _ { 2 } ^ { 2 } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 308, + 513, + 689, + 555 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $\\hat { { \\bf p } } _ { i }$ is the normalization of $\\mathbf { p } _ { i }$ as a probability vector and $w$ is a balancing weight. TE can be similarly integrated with TRADES with the same regularization term. The network would learn to fit relatively easy samples with one-hot labels in the initial training stage, as shown in Fig. 7(a). After the learning rate decays, the network can keep assigning low confidence for hard samples with the regularization term in Eq. (7) and avoid fitting one-hot labels. Therefore, the proposed algorithm enables to learn under label noise in AT and alleviates the robust overfitting problem. ", + "bbox": [ + 174, + 559, + 825, + 643 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 EMPIRICAL EVALUATION ON MITIGATING ROBUST OVERFITTING ", + "text_level": 1, + "bbox": [ + 176, + 660, + 736, + 674 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this section, we provide the experimental results on CIFAR-10, CIFAR-100 (Krizhevsky & Hinton, 2009), and SVHN (Netzer et al., 2011) datasets to validate the effectiveness of our proposed method. Code is available at https://github.com/dongyp13/memorization-AT. ", + "bbox": [ + 174, + 686, + 825, + 729 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Training details. We adopt the common setting that the perturbation budget is $\\epsilon = 8 / 2 5 5$ under the $\\ell _ { \\infty }$ norm in most experiments. We consider PGD-AT and TRADES as two typical AT baselines and integrate the proposed TE approach into them, respectively. We use the ResNet-18 (He et al., 2016) model as the classifier in most experiments. In training, we use the 10-step PGD adversary with $\\alpha = 2 / 2 5 5$ . The models are trained via the SGD optimizer with momentum 0.9, weight decay 0.0005, and batch size 128. For CIFAR-10/100, we set the learning rate as 0.1 initially which is decayed by 0.1 at 100 and 150 epochs with totally 200 training epochs. For SVHN, the learning rate starts from 0.01 with a cosine annealing schedule for a total number of 80 training epochs. In our method, We set $\\eta = 0 . 9$ and $w = 3 0$ along a Gaussian ramp-up curve (Laine & Aila, 2017). ", + "bbox": [ + 174, + 734, + 825, + 861 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Evaluation results. We adopt PGD-10, PGD-1000, C&W-1000 (Carlini & Wagner, 2017), and AutoAttack (Croce & Hein, 2020b) for evaluating adversarial robustness rigorously. AutoAttack is a strong attack to evaluate model robustness, which is composed of an ensemble of diverse attacks, including APGD-CE (Croce & Hein, 2020b), APGD-DLR (Croce & Hein, 2020b), FAB (Croce & Hein, 2020a), and Square attack (Andriushchenko et al., 2020). To show the performance of robust overfitting, we report the test accuracy on the best checkpoint that achieves the highest robust test accuracy under PGD-10 and the final checkpoint, as well as the difference between these two checkpoints. The results of PGD-AT, TRADES, and the combinations of them with our proposed approach (denoted as PGD- $\\mathbf { A T + T E }$ and TRADES ${ \\bf \\nabla } + { \\bf T } { \\bf E }$ ) on the CIFAR-10, CIFAR-100, and SVHN datasets are shown in Table 1. ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 186 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We can observe that the differences between best and final test accuracies of our method are reduced to around $1 \\%$ , while the accuracy gaps of PGDAT and TRADES are much larger. It indicates that our method largely eliminates robust overfitting. Due to being less affected by robust overfitting, our method achieves higher robust accuracies than the baselines. We also show the learning curves of these methods in Fig. 8. We consistently demonstrate the effectiveness of our method on different network architectures (including WRN-34-10 ", + "bbox": [ + 174, + 194, + 419, + 400 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/60741a322624e7a344d48dd39e648d3bdbec90b00204725405a64e566413b5ab.jpg", + "image_caption": [ + "Figure 8: The natural and robust test accuracy curves (under PGD10) of PGD-AT, TRADES, and their extensions by integrating the proposed TE approach. The models are trained on CIFAR-10 under the $\\ell _ { \\infty }$ norm with $\\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. " + ], + "image_footnote": [], + "bbox": [ + 436, + 200, + 820, + 319 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "and VGG-16) and threat models (including $\\ell _ { 2 }$ norm), which will be shown in Appendix C.2. ", + "bbox": [ + 169, + 401, + 776, + 416 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Discussion and comparison with related works. Our method is kind of similar to the label smoothing (LS) technique, which is studied in AT (Pang et al., 2021). Recent works have also introduced the smoothness in training labels and model weights (Chen et al., 2021; Huang et al., 2020), which can alleviate robust overfitting to some extent. The significant difference between our work and them is that we provide a reasonable explanation for robust overfitting—one-hot labels are noisy for AT, while previous methods did not give such an explanation and could be viewed as solutions to our identified problem. To empirically compare with these methods, we conduct experiments on CIFAR-10 with the ResNet-18 network. Under the PGD-AT framework, we compare with the baseline PGD-AT, PGD-AT+LS, self-adaptive training (SAT) (Huang et al., 2020), and knowledge distillation with stochastic weight averaging (KD-SWA) (Chen et al., 2021). We also adopt the $C o$ - teaching approach (Han et al., 2018) adapted to PGD-AT, which jointly trains two models using the filtered samples given by each other. The results under the adopted attacks are presented in Table 2. Although various techniques can alleviate robust overfitting, our method achieves better robustness than the others, validating its effectiveness. For Co-teaching, though robust overfitting is alleviated, the performance is worse than our proposed method due to the reduction of training data. ", + "bbox": [ + 173, + 422, + 825, + 631 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/361dd795551945a1d42eb0e90f9f90e6ae9b6708b7daa3d7a81d92dc95fd5ad3.jpg", + "table_caption": [ + "Table 2: Test accuracy $( \\% )$ of the proposed method and other methods on CIFAR-10 under the $\\ell _ { \\infty }$ norm with $\\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. " + ], + "table_footnote": [], + "table_body": "
MethodNatural Accuracy Best Final 1DiffPGD-10 BestFinal DiffPGD-1000 Best Final DiffC&W-1000 BestFinal DiffAutoAttack Best Final Diff
PGD-AT83.75 84.82 -1.0752.64 44.927.7251.2242.74 8.48[50.11 43.63 7.4847.74 41.84 5.90
PGD-AT+LS82.68 85.16 -2.4853.70 48.90 4.8052.564 46.316.2550.41 46.06 4.3549.02 44.39 4.63
SAT82.81 81.86 0.9553.81 53.310.5052.41 52.000.4151.99 51.7150.214
KD-SWA84.84 85.26 -0.4254.890.2849.73 0.48
Co-teaching53.801.0953.31 52.450.8651.48 50.910.5750.42 49.83 0.59
81.94 82.22 -0.2851.27 50.520.7550.15 49.121.0350.85 49.86 0.9949.60 48.49 1.11
PGD-AT+TE82.35 82.79 -0.4455.7954.83 0.9654.65 53.30 1.3552.30 51.73 0.5750.59 49.62 0.97
", + "bbox": [ + 176, + 669, + 820, + 786 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 174, + 799, + 320, + 815 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this paper, we demonstrate the capacity of DNNs to fit adversarial examples with random labels by exploring memorization in adversarial training, which also poses open questions on the convergence and generalization of adversarially trained models. We validate that some AT methods suffer from a gradient instability issue and robust generalization can hardly be explained by complexity measures. We further identify a significant drawback of memorization in AT related to the robust overfitting phenomenon—robust overfitting is caused by memorizing one-hot labels in adversarial training. We propose a new mitigation algorithm to address this issue, with the effectiveness validated extensively. ", + "bbox": [ + 173, + 825, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGEMENTS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 367, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work was supported by the National Key Research and Development Program of China (2020AAA0106000, 2020AAA0104304, 2020AAA0106302), NSFC Projects (Nos. 61620106010, 62061136001, 61621136008, 62076147, U19B2034, U1811461, U19A2081), Beijing NSF Project (No. JQ19016), Beijing Academy of Artificial Intelligence (BAAI), Tsinghua-Alibaba Joint Research Program, Tsinghua Institute for Guo Qiang, Tsinghua-OPPO Joint Research Center for Future Terminal Technology. ", + "bbox": [ + 174, + 133, + 825, + 218 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ETHICS STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 238, + 343, + 255 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The existence of adversarial examples can pose severe security threats to machine learning and deep learning models when they are deployed to real-world applications. The vulnerability to adversarial examples could also lower the confidence of the public on machine learning techniques. Therefore, it is important to develop more robust models. As the most effective method for promoting model robustness, adversarial training (AT) has not been fully investigated. This paper aims to investigate the memorization effect of AT to facilitate a better understanding of its working mechanism. Some findings in this paper can be analyzed more deeply, including theoretical analysis of AT convergence, generalization, etc., which we leave to future work. 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In Advances in Neural Information Processing Systems (NeurIPS), pp. 8778– 8788, 2018. ", + "bbox": [ + 174, + 385, + 825, + 426 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Difan Zou, Yuan Cao, Dongruo Zhou, and Quanquan Gu. Gradient descent optimizes overparameterized deep relu networks. Machine Learning, 109(3):467–492, 2020. ", + "bbox": [ + 173, + 436, + 823, + 465 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A ADDITIONAL EXPERIMENTS ON MEMORIZATION IN AT ", + "text_level": 1, + "bbox": [ + 176, + 103, + 663, + 118 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In this section, we provide additional experiments on the memorization behavior in AT. All of the experiments are conducted on NVIDIA 2080 Ti GPUs. The source code of this paper is submitted as the supplementary material, and will be released after the review process. ", + "bbox": [ + 174, + 133, + 825, + 176 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A.1 MEMORIZATION OF PGD-AT AND TRADES ", + "text_level": 1, + "bbox": [ + 174, + 193, + 529, + 208 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "A.1.1 DIFFERENT TRAINING SETTINGS ", + "text_level": 1, + "bbox": [ + 176, + 219, + 457, + 234 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We first demonstrate that the different memorization behaviors between PGD-AT and TRADES can be generally observed under various settings. ", + "bbox": [ + 174, + 244, + 823, + 272 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/f19db38b34f9d21f917d4e7209797991e6d8022a18684aa1716a72f9d5bb1b70.jpg", + "image_caption": [ + "Figure A.1: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-100 when trained on true or random labels. " + ], + "image_footnote": [], + "bbox": [ + 196, + 285, + 803, + 488 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/ab43ab6fdf6a00ae48be8412a6bf692a54f127080bef5aa0f6acc1017767cdf9.jpg", + "image_caption": [ + "Figure A.2: The natural and robust training accuracies of PGD-AT and TRADES on SVHN when trained on true or random labels. " + ], + "image_footnote": [], + "bbox": [ + 196, + 547, + 802, + 751 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Datasets. Similar to Fig. 2, we show the accuracy curves of PGD-AT and TRADES when trained on true or random labels on CIFAR-100 (Krizhevsky & Hinton, 2009) in Fig. A.1 and on SVHN (Netzer et al., 2011) in Fig. A.2. We consistently observe that PGD-AT fails to converge with random labels, while TRADES can successfully converge, although it does not reach $1 0 0 \\%$ accuracy on SVHN. ", + "bbox": [ + 173, + 804, + 825, + 861 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Model architectures. We then consider other network architectures, including the DenseNet-121 model (Huang et al., 2017) and the deep layer aggregation (DLA) model (Yu et al., 2018). The corresponding results are shown in Fig. A.3. The similar results can be observed, although it may take more training epochs to make TRADES converge with the smaller DenseNet-121 network. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/d5eda5387f2599f593cc865fb51b857942018ca28c5b08dc4d08e7ea117e0822.jpg", + "image_caption": [ + "Figure A.3: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 with different architectures when trained on random labels. " + ], + "image_footnote": [], + "bbox": [ + 196, + 98, + 803, + 301 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/0dd2be9978c8615aa93dca9fe22a4a57d6426eb8bbad4886efdf4abf22fbf040.jpg", + "image_caption": [ + "Figure A.4: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 under the $\\ell _ { 2 }$ -norm threat model when trained on random labels. " + ], + "image_footnote": [], + "bbox": [ + 351, + 356, + 643, + 535 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Threat models. We further consider the $\\ell _ { 2 }$ -norm threat model, in which we set $\\epsilon = 1 . 0$ and $\\alpha =$ 0.25 in the 10-step PGD adversary. The learning curves of PGD-AT and TRADES are shown in Fig. A.4, which also exhibit similar results. ", + "bbox": [ + 173, + 602, + 825, + 643 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Perturbation budget. We study the memorization behavior in AT with different perturbation budgets $\\epsilon$ . In Fig. A.5, we show that when the perturbation budget is $\\epsilon = 1 6 / 2 5 5$ $\\ell _ { \\infty }$ norm), TRADES trained on random labels can still converge. But when we set a larger budget (e.g., $\\epsilon = 3 2 / 2 5 5 )$ , both PGD-AT and TRADES cannot obtain near $100 \\%$ robust training accuracy. We also find under this condition, even AT trained on true labels cannot get $100 \\%$ robust training accuracy, indicating that the gradient instability issue discussed in Sec. 3.2 results in the convergence problem. ", + "bbox": [ + 173, + 651, + 825, + 734 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In summary, our empirical observation that PGD-AT and TRADES perform differently when trained on random labels is general across multiple datasets, network architectures, and threat models. ", + "bbox": [ + 173, + 741, + 823, + 770 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.1.2 LEARNING CURVES UNDER DIFFERENT NOISE RATES ", + "text_level": 1, + "bbox": [ + 173, + 787, + 594, + 801 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We show the learning curves of PGD-AT and TRADES under varying levels of label noise in Fig. A.6 and Fig. A.7, respectively. In this experiment, we adopt the weight decay and data augmentation for regularizations. We can see that the network achieves maximum accuracy on the test set before fitting the noisy training set. Thus the model learns easy and simple patterns first before fitting the noise, similar to the finding in ST (Arpit et al., 2017). It can also be observed that under $8 0 \\%$ noise rate, PGD-AT fails to converge. Note that when the noise rate is $0 \\%$ , the network is trained on true labels, but the robust test accuracy also decreases after a certain epoch. This phenomenon is called robust overfitting (Rice et al., 2020), which is studied in Sec. 4. ", + "bbox": [ + 173, + 811, + 825, + 924 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/b8f2b90ad7da75a795de9b520b62604bec856d992ebf18e5834ea338369802a7.jpg", + "image_caption": [ + "Figure A.5: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 with $\\epsilon =$ 16/255 when trained on true or random labels. " + ], + "image_footnote": [], + "bbox": [ + 196, + 99, + 802, + 304 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/c0d0ee5a98572dca3b5f5568437605b62988ed77e18e50ccb84f76991a4b749a.jpg", + "image_caption": [ + "Figure A.6: Accuracy curves of PGD-AT under different noise rates on CIFAR-10. " + ], + "image_footnote": [], + "bbox": [ + 176, + 358, + 821, + 450 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/288d2a0eb84f973a11b7f0ea2c84c7f1928c3f415d17776a18ce7d82c06cbc5b.jpg", + "image_caption": [ + "Figure A.7: Accuracy curves of TRADES under different noise rates on CIFAR-10. " + ], + "image_footnote": [], + "bbox": [ + 176, + 489, + 823, + 583 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.1.3 EXPLICIT REGULARIZATIONS ", + "text_level": 1, + "bbox": [ + 176, + 638, + 434, + 652 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We consider three common regularizers, including data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train the models based on TRADES on true and random labels with several combinations of explicit regularizers. As shown in Table A.1, the explicit regularizations do not significantly affect the model’s ability to memorize adversarial examples with random labels. ", + "bbox": [ + 174, + 665, + 825, + 719 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.2 MORE RESULTS ON THE CONVERGENCE OF AT ", + "text_level": 1, + "bbox": [ + 174, + 742, + 540, + 757 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.2.1 TRAINING CONFIGURATIONS ", + "text_level": 1, + "bbox": [ + 176, + 770, + 431, + 785 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We study different training configurations on PGD-AT with random labels. We consider various factors as follows. These experiments are conducted on CIFAR-10. ", + "bbox": [ + 176, + 796, + 823, + 825 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "• Model capacity. Recent work suggests that model size is a critical factor to obtain better robustness (Madry et al., 2018; Xie & Yuille, 2020). A possible reason why PGD-AT fails to converge with random labels may also be the insufficient model capacity. Therefore, we try to use larger models, including WRN-34-20 (which is used in Rice et al. (2020)) and WRN-70-16 (which is used in Gowal et al. (2020)). However, using larger models under this setting cannot solve the convergence problem. ", + "bbox": [ + 218, + 840, + 823, + 924 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/791d2ed799ef8b7b51bcc7bc266eb8ea993a3f536538ad4820e8ea720f004e4d.jpg", + "table_caption": [ + "Table A.1: The training accuracy, test accuracy, and generalization gap $( \\% )$ of TRADES when trained on true or random labels, with and without explicit regularizations, including data augmentation (random crop and flip), weight decay (0.0002), and dropout (0.2). " + ], + "table_footnote": [], + "table_body": "
LabelsData AugmentationWeight DecayDropoutTraining Accuracy NaturalRobustTest Accuracy Natural IRobustGeneralization Gap NaturalRobust
trueXX99.7399.6577.5337.4722.2062.18
trueX×99.5797.0382.9145.3716.9351.66
true×X×99.5999.5377.3138.9422.2860.59
trueXX99.6599.4079.9639.8619.6959.54
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", + "bbox": [ + 176, + 151, + 818, + 349 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "• Attack steps. We adopt the weaker FGSM adversary (Goodfellow et al., 2015) for training. We also adopt the random initialization trick as argued in Wong et al. (2020) and adjust the step size as $\\alpha = 1 0 / 2 5 5$ , yielding the fast adversarial training method (Wong et al., 2020). However, fast AT still cannot converge. ", + "bbox": [ + 218, + 378, + 823, + 435 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "• Optimizer. We try to use various optimizers, including the SGD momentum optimizer, the Adam optimizer (Kingma & Ba, 2015), and the nesterov optimizer (Nesterov, 1983); different learning rate schedules, including the piecewise decay and cosine schedules, and different learning rates (0.1 and 0.01), but none of these attempts make PGD-AT converge. ", + "bbox": [ + 218, + 443, + 825, + 498 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "• Perturbation budget. The perturbation budget $\\epsilon$ is an important factor to affect the convergence of PGD-AT. When $\\epsilon$ approaches 0, PGD-AT would degenerate into standard training, which can easily converge (Zhang et al., 2017). Hence we try different values of $\\epsilon$ , and find that PGD-AT can converge with a smaller $\\epsilon$ (e.g., $\\epsilon = 1 / 2 5 5 )$ but cannot converge when $\\epsilon \\geq 2 / 2 5 5$ . ", + "bbox": [ + 218, + 507, + 823, + 577 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "A.2.2 GRADIENT STABILITY UNDER COSINE SIMILARITY ", + "text_level": 1, + "bbox": [ + 174, + 595, + 581, + 609 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "In Fig. 4(a), we show the gradient change of PGD-AT, TRADES, and the clean CE loss under the $\\ell _ { 2 }$ distance. We further show the cosine similarity between the gradients at $\\pmb { \\theta }$ and $\\pm \\lambda \\mathbf { d }$ in Fig. A.8. The cosine similarity is also averaged over all data samples. The results based on cosine similarity are consistent with the results based on the $\\ell _ { 2 }$ distance, showing that the gradient of PGD-AT changes more abruptly. ", + "bbox": [ + 174, + 621, + 825, + 690 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "A.2.3 THE FAILURES OF AT UNDER REALISTIC SETTINGS ", + "text_level": 1, + "bbox": [ + 174, + 710, + 584, + 724 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We find that some AT methods (e.g., PGD-AT) suffer from a gradient instability issue, which results in the convergence problem when trained on random labels. Under other realistic setting, our analysis may also be valuable. ", + "bbox": [ + 176, + 734, + 825, + 777 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "First, PGD-AT fails to converge under $80 \\%$ noise rate. We think that the unstable gradients can overwhelm the useful gradients given by clean examples. To prove it, we train the models under $80 \\%$ uniform label noise, by either PGD-AT or standard training (ST) on natural examples. We then select 100 training images with wrong labels and another 100 training images with true labels for evaluation. Similarly, we calculate the gradient norm of the cross-entropy loss w.r.t. model parameters of each method. We show the results in Fig. A.9. For AT, the gradient norm of clean examples is larger than that of noisy examples at beginning, which makes the model learn to classify. However, for PGD-AT, the gradient norm of clean examples is almost the same as that of noisy examples (the two curves overlap together). And the unstable gradients provided by noisy examples would overwhelm the useful gradients given by clean examples, making the network fail to converge. ", + "bbox": [ + 174, + 785, + 825, + 924 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/f021ae54520ee3adda29ecf24637ed8b28ffaf88f6e7e183a2961d84a72d1b2d.jpg", + "image_caption": [ + "Figure A.8: The cosine similarity between the gradients at $\\pmb \\theta$ and $\\pmb \\theta + \\lambda \\mathbf d$ of different losses, where $\\pmb { \\theta }$ are initialized, $\\lambda \\in [ - 0 . 0 5 , 0 . 0 5 ]$ . " + ], + "image_footnote": [], + "bbox": [ + 178, + 102, + 485, + 287 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/0901b0009d3d3b6dec3a4207d30e08d232049dda50c62a32a48a055c282f2f6a.jpg", + "image_caption": [ + "Figure A.9: The gradient norm of PGD-AT and ST given clean examples or noisy examples, when trained on $80 \\%$ uniform label noise. " + ], + "image_footnote": [], + "bbox": [ + 508, + 102, + 813, + 286 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Second, when the perturbation budget is large (e.g., $\\epsilon = 6 4 / 2 5 5 )$ , PGD-AT cannot converge with true labels, while TRADES can achieve about $5 0 \\%$ training accuracies. This can also be explained by our convergence analysis that the gradient is very unstable in PGD-AT with a larger perturbation budget, making it fail to converge. ", + "bbox": [ + 174, + 363, + 825, + 420 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "A.3 MORE DISCUSSIONS ON THE GENERALIZATION OF AT ", + "text_level": 1, + "bbox": [ + 174, + 436, + 591, + 450 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "As shown in Table A.1, when trained on true labels, although the regularizers can help to reduce the generalization gap, the model without any regularization can still generalize non-trivially. The three explicit regularizations do not significantly affect the model’s ability to memorize adversarial examples with random labels. In consequence, the explicit regularizers are not the adequate explanation of generalization. By inspecting the learning dynamics of AT under different noise rates in Fig. A.6 and Fig. A.7, the network achieves maximum accuracy on the test set before fitting the noisy training set, meaning that the model learns simple patterns (i.e., clean data) before memorizing the hard examples with wrong labels, similar to the observation in standard training (Arpit et al., 2017). The results suggest that optimization by itself serves as an implicit regularizer to find a model with good generalization performance. ", + "bbox": [ + 173, + 462, + 825, + 601 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/3dbf668e1cf92664ba56b407dece84d8e78f9d83e2f3c78c5793e23d3a2af1a1.jpg", + "image_caption": [ + "Figure A.10: The natural and robust testing accuracies of TRADES on CIFAR-10 with different initialization strategies and training methods. " + ], + "image_footnote": [], + "bbox": [ + 197, + 613, + 803, + 814 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "A recent work (Liu et al., 2020b) points out that in standard training, pre-training on random labels can lead to substantial performance degeneration of subsequent SGD training on true labels, while adding regularizations can overcome the bad initialization caused by pre-training with random labels. In this paper, we further investigate whether this finding can generalize to adversarial training. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "As PGD-AT cannot converge with random labels, we adopt TRADES to conduct experiments. Following Liu et al. (2020b), we consider two initialization strategies — random initialization and adversarial initialization generated by training on random labeling of the training data. We also consider two training methods — vanilla SGD training and SOTA SGD training with data augmentation (random crops and flips), weight decay, and momentum. The results are shown in Fig. A.10. It can be seen that with vanilla SGD, the adversarial initialization can lead to worse performance than the random initialization. But with the regularization techniques, the models with different initializations converge to nearly the same test accuracy. The results are consistent with the findings in Liu et al. (2020b). ", + "bbox": [ + 173, + 103, + 825, + 229 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B PROOF OF THEOREM 1 ", + "text_level": 1, + "bbox": [ + 176, + 250, + 397, + 265 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Proof. Recall that $\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) = \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}$ is the adversarial loss of PGD-AT. First, we have ", + "bbox": [ + 171, + 280, + 826, + 308 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/68bf6c5b9897a258d37e9959636793bd42c027e61a0c36aef7a1979fb5a03bb1.jpg", + "text": "$$\n\\begin{array} { r l } & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) \\| _ { 2 } } \\\\ & { = \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) + \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) + } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } } \\\\ & { \\le \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 356, + 304, + 640, + 429 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "From the assumption, for any $\\mathbf { x } \\in \\mathbb { R } ^ { d }$ and $\\mathbf { x } ^ { \\prime } \\in { \\mathcal { S } } ( \\mathbf { x } )$ , we have ", + "bbox": [ + 173, + 431, + 584, + 446 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/096c8e0b5d73c2415be28ae012b240a0cdf1c0acd618922fd2d26af9bfe949de.jpg", + "text": "$$\n\\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } \\leq \\epsilon K ,\n$$", + "text_format": "latex", + "bbox": [ + 287, + 453, + 692, + 472 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "due to the definition of $\\boldsymbol { S } ( \\mathbf { x } )$ . We also note that $\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )$ is the maximal cross-entropy loss $\\mathcal { L }$ within $\\boldsymbol { S } ( \\mathbf { x } )$ , such that we have ", + "bbox": [ + 176, + 477, + 821, + 506 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/0de089d3cecaf79683d0ebe5bae66664b3394d64a575f49b8f546f19006569ea.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y ) \\| _ { 2 } \\le \\epsilon K . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 354, + 512, + 642, + 530 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Combining Eq. (B.1) and Eq. (B.2), we can obtain Eq. (5). ", + "bbox": [ + 171, + 536, + 558, + 553 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Note that the bound is tight since the all the equalities can be reached. ", + "bbox": [ + 174, + 558, + 629, + 573 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Remark 1. We note that a recent work (Liu et al., 2020a) gives a similar result on gradient stability. The difference is that they assume the loss function satisfies an additional Lipschitzian smoothness condition as ", + "bbox": [ + 176, + 580, + 823, + 622 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/a80744cfa758b26544082e76aeb269d7ed73e4cd2ce62a85a4ef6901cf9929dc.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 1 } } ( \\mathbf { x } ) , y \\big ) - \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 2 } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K _ { \\pmb \\theta } \\| \\pmb \\theta _ { 1 } - \\pmb \\theta _ { 2 } \\| _ { 2 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 305, + 621, + 691, + 638 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "where $K _ { \\theta }$ is another constant. Then they prove that ", + "bbox": [ + 174, + 641, + 514, + 656 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/74803d3a450517c4d8ffb1461a053b66901199f179691dee4dfe5cc8285732ca.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 1 } ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 2 } ) \\| _ { 2 } \\leq K _ { \\pmb { \\theta } } \\| \\pmb { \\theta } _ { 1 } - \\pmb { \\theta } _ { 2 } \\| _ { 2 } + 2 \\epsilon K . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 287, + 662, + 709, + 680 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "It can be noted that with this new assumption, we can simply obtain this result by Theorem 1. \nTherefore, Theorem 1 is a more general result of the previous one. ", + "bbox": [ + 173, + 686, + 823, + 715 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B.1 THEORETICAL ANALYSIS FOR TRADES ", + "text_level": 1, + "bbox": [ + 174, + 731, + 496, + 746 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Note that TRADES adopts the $\\mathrm { K L }$ divergence in its adversarial loss. The KL divergence is defined on two predicted probability distributions over all classes, as ", + "bbox": [ + 173, + 757, + 823, + 786 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/aab4cfdac58a8712ef95bad2bc0bb4d29ebfc18d71e8c878f6c2aea277a2ca3e.jpg", + "text": "$$\n\\mathcal { D } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) \\| f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) ) = \\sum _ { y \\in \\{ 1 , \\dots , C \\} } f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } \\cdot \\log \\frac { f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } } { f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) _ { y } } .\n$$", + "text_format": "latex", + "bbox": [ + 321, + 792, + 674, + 834 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "However, based on the local Lipschitz continuity assumption of the clean cross-entropy loss (which is only concerned with the predicted probability of the true class) in Eq. (4), we cannot derive a similar theoretical bound on the gradient stability of TRADES as in Eq. (5). Therefore, we need to make a different assumption on the KL divergence. For example, suppose the gradient of the KL divergence satisfies ", + "bbox": [ + 173, + 839, + 825, + 909 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/6576652597a936d7b746a0e105bd36a4487010b1a811aac2ff6dd88005d5f4d7.jpg", + "text": "$$\n\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { D } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) \\| f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) \\big ) \\| _ { 2 } \\leq K ^ { \\prime } \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 357, + 907, + 637, + 926 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "for any $\\mathbf { x } \\in \\mathbb { R } ^ { d }$ , $\\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } )$ , and any $\\pmb \\theta$ , where $K ^ { \\prime }$ is another constant. We denote the adversarial loss of TRADES as $\\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\pmb { \\theta } )$ , then we have ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/9f6c63005f8da585d90791970a60c7f7a99161f7550e11d5aa5560dc8bbc4079.jpg", + "text": "$$\n\\begin{array} { r l } & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\theta _ { 1 } ) \\| _ { 2 } } \\\\ & { { \\le } \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\beta \\| \\nabla _ { \\theta } \\underset { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } { \\operatorname* { m a x } } \\mathcal { D } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) \\| f _ { \\theta _ { 1 } } ( \\mathbf { x } ^ { \\prime } ) ) \\| _ { 2 } + } \\\\ & { \\quad \\beta \\| \\nabla _ { \\theta } \\underset { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } { \\operatorname* { m a x } } \\mathcal { D } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) \\| f _ { \\theta _ { 2 } } ( \\mathbf { x } ^ { \\prime } ) ) \\| _ { 2 } } \\\\ & { { \\le } \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + 2 \\beta \\epsilon K ^ { \\prime } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 323, + 143, + 671, + 257 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Although we can derive a similar bound on gradient stability of TRADES, this bound is not directly comparable to Eq. (5) since we cannot find the relationship between $K$ and $K ^ { \\prime }$ . However, our empirical analysis on gradient magnitude in Sec. 3.2 has shown that TRADES is dominated by the clean cross-entropy loss at the initial training epochs, thus the gradient stability of the TRADES loss will be similar to that of the clean cross-entropy loss, as also revealed in Fig. 4(a). Therefore, the gradient of TRADES would be relatively stable. ", + "bbox": [ + 173, + 267, + 826, + 351 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C FULL EXPERIMENTS ON ROBUST OVERFITTING ", + "text_level": 1, + "bbox": [ + 173, + 378, + 596, + 393 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/13c0aeac5b6d6469ab512f780639816145991fbdb77d1644892db2a745a00257.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 178, + 450, + 486, + 640 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/cb7c1c3999c2c48ccfdd8bcf6e61ae9ce9ad5790e205e2f5ab4fbf7138569af3.jpg", + "image_caption": [ + "Figure C.1: The robust test accuracy of TRADES under various perturbation budgets $\\epsilon$ . ", + "Figure C.2: The adversarial loss of WRN-28-10 and ResNet-18 trained by PGD-AT on 500 samples sorted by the loss of the first model (i.e., WRN-28-10). " + ], + "image_footnote": [], + "bbox": [ + 508, + 452, + 813, + 638 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "First, we show the robust test accuracy curves of TRADES under various perturbation budgets in Fig. C.1. It can also be observed that when the perturbation budget is small, robust overfitting does not occur. ", + "bbox": [ + 174, + 713, + 825, + 756 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Second, we show that the “hard” training examples with higher adversarial loss values are consistent across different model architectures. We train one WRN-28-10 model and one ResNet-18 model based on PGD-AT. We then calculate the adversarial loss for each training sample for these two models. We show the adversarial loss on 500 samples sorted by the loss of the first model (i.e., WRN28-10) in Fig. C.2. It can be seen that the samples with lower adversarial losses of the first model also have relatively lower losses of the second one and vice versa. The Kendall’s rank coefficient of the adversarial loss between the two models is 0.78 in this case. ", + "bbox": [ + 174, + 763, + 825, + 861 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Third, we visualize the hard training examples with high adversarial loss values in Fig. C.3. It can be seen that these examples are difficult to recognize and their labels may be wrong. Therefore, the one-hot labels for these hard training examples can be noisy for AT, leading to the robust overfitting problem. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/92f5d7ecf2d3f0f41009d2c4475fa2744d7e8de93bfef4dd3f1014653692e336.jpg", + "image_caption": [ + "Figure C.3: The hard training examples with high adversarial loss values. " + ], + "image_footnote": [], + "bbox": [ + 210, + 99, + 792, + 219 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Table C.1: Test accuracy $( \\% )$ of several methods using different model architectures and threat models. We choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10. ", + "bbox": [ + 173, + 257, + 823, + 284 + ], + "page_idx": 22 + }, + { + "type": "table", + "img_path": "images/df74078269ba2fde952b20312984a303b81d91d3b4596aa53669aa532d221de8.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodsNetworksNormsNatural AccuracyPGD-10
BestFinalDiffBestFinalDiff
PGD-AT PGD-AT+TE PGD-ATWRN-34-10 WRN-34-10 VGG-16lo (∈=8/255)86.58 85.43 79.6086.83 85.10-0.25 0.3355.83 59.3049.52 56.636.31 2.67
PGD-AT+TE PGD-ATVGG-1678.19 88.8281.26 79.13-1.66 -0.9448.52 52.0643.02 51.295.50 0.77
88.96-0.1469.0565.963.09
PGD-AT+TE87.9588.200.65
ResNet-18l2 (∈ =128/255)-0.2572.5871.93
TRADES86.5086.57-0.0770.2266.074.15
TRADES+TE88.4288.60-0.1872.7272.430.29
", + "bbox": [ + 179, + 295, + 815, + 444 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "C.2 ADDITIONAL EXPERIMENTS ON MITIGATING ROBUST OVERFITTING ", + "text_level": 1, + "bbox": [ + 176, + 469, + 683, + 483 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We show the results of our proposed methods on other network architectures (including WRN34-10 and VGG-16) and threat models (including $\\ell _ { 2 }$ norm) in Table C.1. The results consistently demonstrate the effectiveness of the proposed method. ", + "bbox": [ + 174, + 494, + 825, + 537 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We further show the results of PGD-AT, PGD- $\\mathbf { A T + T E }$ , TRADES, and TRADES ${ \\bf \\nabla } + { \\bf T } { \\bf E }$ on CIFAR-10 over 3 runs in Table C.2. ", + "bbox": [ + 176, + 542, + 823, + 571 + ], + "page_idx": 22 + }, + { + "type": "table", + "img_path": "images/32914c57c158e823a15f4a872814efc9036af02db00861c4c7ebcc59458d4af1.jpg", + "table_caption": [ + "Table C.2: Test accuracy $( \\% )$ of several methods on CIFAR-10 under the $\\ell _ { \\infty }$ norm with $\\epsilon = 8 / 2 5 5$ based on the ResNet-18 architecture. We show the mean/std of the results over 3 runs. " + ], + "table_footnote": [], + "table_body": "
MethodNatural Accuracy
BestFinalDiff
PGD-AT83.76 ± 0.0284.93 ± 0.26-1.17 ± 0.29
PGD-AT+TE82.36 ± 0.1882.69 ± 0.14-0.33 ± 0.31
TRADES81.34 ± 0.1582.70 ± 0.21-1.36 ± 0.36
TRADES+TE83.66 ± 0.1983.89 ± 0.09-0.23 ± 0.21
MethodPGD-10
BestFinalDiff
PGD-AT52.62 ± 0.1044.91 ± 0.017.71 ± 0.11
PGD-AT+TE55.74 ± 0.1754.82 ± 0.230.92 ± 0.07
TRADES53.25 ± 0.0750.48 ± 0.232.77 ± 0.16
TRADES+TE54.93 ± 0.1654.04 ± 0.190.89 ± 0.13
MethodPGD-1000
BestFinalDiff
PGD-AT51.26 ± 0.0342.72 ± 0.068.54 ± 0.06
PGD-AT+TE54.54 ± 0.2753.01 ± 0.341.53 ± 0.24
TRADES52.24 ± 0.2048.74 ± 0.173.50 ± 0.13
TRADES+TE53.55 ± 0.1652.93 ± 0.070.62 ± 0.11
MethodC&W-1000
BestFinalDiff
PGD-AT PGD-AT+TE50.24 ± 0.1243.59 ± 0.076.65 ± 0.19
52.31 ± 0.0151.67 ± 0.120.64 ± 0.11
TRADES49.83 ± 0.0548.11 ± 0.041.72 ± 0.02
TRADES+TE50.80 ± 0.0250.61 ± 0.070.19 ± 0.08
MethodBestAutoAttack FinalDiff
PGD-AT PGD-AT+TE47.85 ± 0.17 50.37 ± 0.2241.62 ± 0.16 49.36 ± 0.246.23 ± 0.26 1.01 ± 0.03
TRADES48.86 ± 0.1846.73 ± 0.072.13 ± 0.11
TRADES+TE49.40 ± 0.2748.77 ± 0.210.63 ± 0.05
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Our study of AT with random labels mo-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 312, + 470, + 325 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 470, + 325 + ], + "score": 1.0, + "content": "tivates further analyses on the convergence and generalization of AT. We find that", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "score": 1.0, + "content": "some AT approaches suffer from a gradient instability issue and most recently sug-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 334, + 470, + 348 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 470, + 348 + ], + "score": 1.0, + "content": "gested complexity measures cannot explain robust generalization by considering", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 346, + 469, + 357 + ], + "spans": [ + { + "bbox": [ + 142, + 346, + 469, + 357 + ], + "score": 1.0, + "content": "models trained on random labels. 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Extensive", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 378, + 469, + 391 + ], + "spans": [ + { + "bbox": [ + 141, + 378, + 469, + 391 + ], + "score": 1.0, + "content": "experiments on various datasets validate the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 108, + 405, + 206, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 208, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 208, + 421 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 428, + 505, + 527 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "Deep neural networks (DNNs) usually exhibit excellent generalization ability in pattern recognition", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "tasks, despite their sufficient capacity to overfit or memorize the entire training set with completely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "random labels (Zhang et al., 2017). The memorization behavior in deep learning has aroused tremen-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "dous attention to identifying the differences between learning on true and random labels (Arpit et al.,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "2017; Neyshabur et al., 2017), and examining what and why DNNs memorize (Feldman, 2020; Feld-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "man & Zhang, 2020; Maennel et al., 2020). This phenomenon has also motivated a growing body", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "of works on model capacity (Arpit et al., 2017; Belkin et al., 2019), convergence (Allen-Zhu et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 503, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 518 + ], + "score": 1.0, + "content": "2019; Du et al., 2019; Zou et al., 2020), and generalization (Neyshabur et al., 2017; Bartlett et al.,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 515, + 475, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 475, + 529 + ], + "score": 1.0, + "content": "2017), which consequently provide a better understanding of the DNN working mechanism.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 532, + 505, + 621 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "In this paper, we explore the memorization behavior for a different learning algorithm—adversarial", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 544, + 504, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 504, + 555 + ], + "score": 1.0, + "content": "training (AT). 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AT is arguably the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "most effective defense technique (Athalye et al., 2018; Dong et al., 2020b), in which the network is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 609, + 490, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 490, + 622 + ], + "score": 1.0, + "content": "trained on the adversarially augmented samples instead of the natural ones (Madry et al., 2018).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 626, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "Despite the popularity, the memorization behavior in AT is less explored. Schmidt et al. (2018) show", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 637, + 504, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 479, + 649 + ], + "score": 1.0, + "content": "that a model is able to fully (over)fit the training set against an adversary, i.e., reaching almost", + "type": "text" + }, + { + "bbox": [ + 480, + 637, + 504, + 648 + ], + "score": 0.87, + "content": "1 0 0 \\%", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "score": 1.0, + "content": "robust training accuracy, while the performance on test data is much inferior, witnessing a significant", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "generalization gap. The overfitting phenomenon in AT is further investigated in Rice et al. (2020).", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "score": 1.0, + "content": "However, it is not clear whether DNNs could memorize adversarial examples of training data with", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "completely random labels. Answering this question could help to examine the effects of memo-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 693, + 504, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 504, + 705 + ], + "score": 1.0, + "content": "rization in AT under the “extreme” circumstance and facilitate a deeper understanding of capacity,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "score": 1.0, + "content": "convergence, generalization, and robust overfitting of the adversarially trained models. In general, it", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43.5 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 113, + 721, + 500, + 731 + ], + "lines": [ + { + "bbox": [ + 118, + 718, + 501, + 735 + ], + "spans": [ + { + "bbox": [ + 118, + 718, + 501, + 735 + ], + "score": 1.0, + "content": "∗Jun Zhu is the corresponding author. This work was done when Ke Xu was visiting Tsinghua University.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "1", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 79, + 452, + 115 + ], + "lines": [ + { + "bbox": [ + 105, + 77, + 455, + 98 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 455, + 98 + ], + "score": 1.0, + "content": "EXPLORING MEMORIZATION IN ADVERSARIAL", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 98, + 186, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 186, + 119 + ], + "score": 1.0, + "content": "TRAINING", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 114, + 134, + 514, + 180 + ], + "lines": [ + { + "bbox": [ + 111, + 132, + 514, + 148 + ], + "spans": [ + { + "bbox": [ + 111, + 132, + 150, + 148 + ], + "score": 1.0, + "content": "Yinpeng", + "type": "text" + }, + { + "bbox": [ + 150, + 134, + 185, + 147 + ], + "score": 0.26, + "content": "\\mathbf { D o n g ^ { 1 , 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 132, + 203, + 148 + ], + "score": 1.0, + "content": ", Ke", + "type": "text" + }, + { + "bbox": [ + 203, + 134, + 222, + 146 + ], + "score": 0.8, + "content": "\\mathbf { X } \\mathbf { u } ^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 132, + 428, + 148 + ], + "score": 1.0, + "content": ", Xiao Yang1, Tianyu Pang1, Zhijie Deng1, Hang", + "type": "text" + }, + { + "bbox": [ + 428, + 134, + 451, + 146 + ], + "score": 0.8, + "content": "\\mathbf { S u } ^ { 1 , 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 132, + 460, + 148 + ], + "score": 1.0, + "content": ", J", + "type": "text" + }, + { + "bbox": [ + 461, + 134, + 514, + 146 + ], + "score": 0.32, + "content": "\\mathbf { u n } \\mathbf { Z } \\mathbf { h } \\mathbf { u } ^ { 1 , 2 , 3 * }", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 111, + 145, + 495, + 159 + ], + "spans": [ + { + "bbox": [ + 111, + 145, + 495, + 159 + ], + "score": 1.0, + "content": "1 Dept. of Comp. Sci. and Tech., Institute for AI, Tsinghua-Bosch Joint ML Center, THBI Lab", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 110, + 155, + 512, + 171 + ], + "spans": [ + { + "bbox": [ + 110, + 155, + 512, + 171 + ], + "score": 1.0, + "content": "1 BNRist Center, Tsinghua University, Beijing, China; 2 RealAI; 3 Peng Cheng Laboratory; 4 CMU", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 117, + 171, + 417, + 181 + ], + "spans": [ + { + "bbox": [ + 117, + 171, + 417, + 181 + ], + "score": 1.0, + "content": "{dongyinpeng, suhangss, dcszj}@mail.tsinghua.edu.cn, kx1@andrew.cmu.edu", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 110, + 132, + 514, + 181 + ] + }, + { + "type": "title", + "bbox": [ + 278, + 200, + 333, + 212 + ], + "lines": [ + { + "bbox": [ + 276, + 200, + 335, + 213 + ], + "spans": [ + { + "bbox": [ + 276, + 200, + 335, + 213 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 143, + 225, + 468, + 389 + ], + "lines": [ + { + "bbox": [ + 142, + 225, + 468, + 237 + ], + "spans": [ + { + "bbox": [ + 142, + 225, + 468, + 237 + ], + "score": 1.0, + "content": "Deep learning models have a propensity for fitting the entire training set even with", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 235, + 469, + 249 + ], + "spans": [ + { + "bbox": [ + 141, + 235, + 469, + 249 + ], + "score": 1.0, + "content": "random labels, which requires memorization of every training sample. In this pa-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 140, + 246, + 470, + 261 + ], + "spans": [ + { + "bbox": [ + 140, + 246, + 470, + 261 + ], + "score": 1.0, + "content": "per, we explore the memorization effect in adversarial training (AT) for promoting", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 258, + 469, + 271 + ], + "spans": [ + { + "bbox": [ + 141, + 258, + 469, + 271 + ], + "score": 1.0, + "content": "a deeper understanding of model capacity, convergence, generalization, and espe-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 268, + 470, + 281 + ], + "spans": [ + { + "bbox": [ + 141, + 268, + 470, + 281 + ], + "score": 1.0, + "content": "cially robust overfitting of the adversarially trained models. We first demonstrate", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 279, + 470, + 293 + ], + "spans": [ + { + "bbox": [ + 141, + 279, + 470, + 293 + ], + "score": 1.0, + "content": "that deep networks have sufficient capacity to memorize adversarial examples of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 291, + 469, + 303 + ], + "spans": [ + { + "bbox": [ + 142, + 291, + 469, + 303 + ], + "score": 1.0, + "content": "training data with completely random labels, but not all AT algorithms can con-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 302, + 470, + 313 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 470, + 313 + ], + "score": 1.0, + "content": "verge under the extreme circumstance. Our study of AT with random labels mo-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 312, + 470, + 325 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 470, + 325 + ], + "score": 1.0, + "content": "tivates further analyses on the convergence and generalization of AT. We find that", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 323, + 469, + 336 + ], + "score": 1.0, + "content": "some AT approaches suffer from a gradient instability issue and most recently sug-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 334, + 470, + 348 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 470, + 348 + ], + "score": 1.0, + "content": "gested complexity measures cannot explain robust generalization by considering", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 346, + 469, + 357 + ], + "spans": [ + { + "bbox": [ + 142, + 346, + 469, + 357 + ], + "score": 1.0, + "content": "models trained on random labels. Furthermore, we identify a significant drawback", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 356, + 470, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 470, + 369 + ], + "score": 1.0, + "content": "of memorization in AT that it could result in robust overfitting. We then propose a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 367, + 470, + 380 + ], + "spans": [ + { + "bbox": [ + 141, + 367, + 470, + 380 + ], + "score": 1.0, + "content": "new mitigation algorithm motivated by detailed memorization analyses. Extensive", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 378, + 469, + 391 + ], + "spans": [ + { + "bbox": [ + 141, + 378, + 469, + 391 + ], + "score": 1.0, + "content": "experiments on various datasets validate the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 14, + "bbox_fs": [ + 140, + 225, + 470, + 391 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 405, + 206, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 404, + 208, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 208, + 421 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 428, + 505, + 527 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 505, + 440 + ], + "score": 1.0, + "content": "Deep neural networks (DNNs) usually exhibit excellent generalization ability in pattern recognition", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "tasks, despite their sufficient capacity to overfit or memorize the entire training set with completely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "random labels (Zhang et al., 2017). The memorization behavior in deep learning has aroused tremen-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 460, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 473 + ], + "score": 1.0, + "content": "dous attention to identifying the differences between learning on true and random labels (Arpit et al.,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "2017; Neyshabur et al., 2017), and examining what and why DNNs memorize (Feldman, 2020; Feld-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "man & Zhang, 2020; Maennel et al., 2020). This phenomenon has also motivated a growing body", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "of works on model capacity (Arpit et al., 2017; Belkin et al., 2019), convergence (Allen-Zhu et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 503, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 518 + ], + "score": 1.0, + "content": "2019; Du et al., 2019; Zou et al., 2020), and generalization (Neyshabur et al., 2017; Bartlett et al.,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 515, + 475, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 475, + 529 + ], + "score": 1.0, + "content": "2017), which consequently provide a better understanding of the DNN working mechanism.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 428, + 505, + 529 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 532, + 505, + 621 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 505, + 545 + ], + "score": 1.0, + "content": "In this paper, we explore the memorization behavior for a different learning algorithm—adversarial", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 544, + 504, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 504, + 555 + ], + "score": 1.0, + "content": "training (AT). Owing to the security threat of adversarial examples, i.e., maliciously generated in-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 555, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 566 + ], + "score": 1.0, + "content": "puts by adding imperceptible perturbations to cause misclassification (Szegedy et al., 2014; Goodfel-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 577 + ], + "score": 1.0, + "content": "low et al., 2015), various defense methods have been proposed to improve the adversarial robustness", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "score": 1.0, + "content": "of DNNs (Kurakin et al., 2017; Madry et al., 2018; Liao et al., 2018; Wong & Kolter, 2018; Cohen", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "et al., 2019; Zhang et al., 2019b; Pang et al., 2019; 2020; Dong et al., 2020a). AT is arguably the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "most effective defense technique (Athalye et al., 2018; Dong et al., 2020b), in which the network is", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 609, + 490, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 490, + 622 + ], + "score": 1.0, + "content": "trained on the adversarially augmented samples instead of the natural ones (Madry et al., 2018).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 532, + 505, + 622 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 626, + 505, + 714 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 638 + ], + "score": 1.0, + "content": "Despite the popularity, the memorization behavior in AT is less explored. Schmidt et al. (2018) show", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 637, + 504, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 479, + 649 + ], + "score": 1.0, + "content": "that a model is able to fully (over)fit the training set against an adversary, i.e., reaching almost", + "type": "text" + }, + { + "bbox": [ + 480, + 637, + 504, + 648 + ], + "score": 0.87, + "content": "1 0 0 \\%", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "score": 1.0, + "content": "robust training accuracy, while the performance on test data is much inferior, witnessing a significant", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 672 + ], + "score": 1.0, + "content": "generalization gap. The overfitting phenomenon in AT is further investigated in Rice et al. (2020).", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 505, + 683 + ], + "score": 1.0, + "content": "However, it is not clear whether DNNs could memorize adversarial examples of training data with", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 505, + 694 + ], + "score": 1.0, + "content": "completely random labels. Answering this question could help to examine the effects of memo-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 693, + 504, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 504, + 705 + ], + "score": 1.0, + "content": "rization in AT under the “extreme” circumstance and facilitate a deeper understanding of capacity,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "spans": [ + { + "bbox": [ + 105, + 704, + 505, + 715 + ], + "score": 1.0, + "content": "convergence, generalization, and robust overfitting of the adversarially trained models. In general, it", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 208, + 504, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 504, + 218 + ], + "score": 1.0, + "content": "is difficult for a classifier to memorize adversarial examples with random labels since the model en-", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "tails a much more complicated decision boundary, as illustrated in Fig. 1. Even though the networks", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 230, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 241 + ], + "score": 1.0, + "content": "have sufficient capacity, AT may not necessarily converge. Therefore, we aim to comprehensively", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 241, + 426, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 426, + 253 + ], + "score": 1.0, + "content": "study this problem and explore how the analysis can motivate better algorithms.", + "type": "text", + "cross_page": true + } + ], + "index": 9 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 626, + 505, + 715 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 126, + 63, + 485, + 165 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 63, + 485, + 165 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 63, + 485, + 165 + ], + "spans": [ + { + "bbox": [ + 126, + 63, + 485, + 165 + ], + "score": 0.973, + "type": "image", + "image_path": "f81cfa7059d13b8361f9e9bbd507b80b17845c0da03ef1bde410fef37354cce1.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 126, + 63, + 485, + 97.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 126, + 97.0, + 485, + 131.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 126, + 131.0, + 485, + 165.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 168, + 505, + 199 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 167, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 505, + 180 + ], + "score": 1.0, + "content": "Figure 1: A conceptual illustration of decision boundaries learned via standard training and adversarial training", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 178, + 505, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 505, + 190 + ], + "score": 1.0, + "content": "with true and random labels, respectively. The model needs a significantly more complicated decision boundary", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 189, + 361, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 361, + 199 + ], + "score": 1.0, + "content": "to memorize adversarial examples of training data with random labels.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 207, + 505, + 251 + ], + "lines": [ + { + "bbox": [ + 105, + 208, + 504, + 218 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 504, + 218 + ], + "score": 1.0, + "content": "is difficult for a classifier to memorize adversarial examples with random labels since the model en-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 218, + 505, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 505, + 230 + ], + "score": 1.0, + "content": "tails a much more complicated decision boundary, as illustrated in Fig. 1. Even though the networks", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 230, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 505, + 241 + ], + "score": 1.0, + "content": "have sufficient capacity, AT may not necessarily converge. Therefore, we aim to comprehensively", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 241, + 426, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 426, + 253 + ], + "score": 1.0, + "content": "study this problem and explore how the analysis can motivate better algorithms.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 106, + 257, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "Our contributions. We first empirically investigate the memorization behavior in AT by perform-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "score": 1.0, + "content": "ing PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) with random labels sampled", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "uniformly over all classes. Different from standard training (ST) that can easily memorize random", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "labels (Zhang et al., 2017), AT may fail to converge, with PGD-AT being a typical example. Never-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "score": 1.0, + "content": "theless, TRADES can converge under this circumstance. It demonstrates that DNNs have sufficient", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "capacity to memorize adversarial examples of training data with completely random labels. This", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "phenomenon is commonly observed on multiple datasets, network architectures, and threat models.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 339, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "The memorization analysis has further implications for understanding the convergence and gener-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 351, + 504, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 504, + 363 + ], + "score": 1.0, + "content": "alization of AT. We conduct a convergence analysis on gradient magnitude and stability to explain", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "the counter-intuitive different convergence properties of PGD-AT and TRADES with random la-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 373, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 505, + 384 + ], + "score": 1.0, + "content": "bels since they behave similarly when trained on true labels (Rice et al., 2020). We corroborate that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "PGD-AT suffers from a gradient instability issue while the gradients of TRADES are relatively stable", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "thanks to its adversarial loss. Moreover, by considering models trained on random labels, our gen-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 405, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 419 + ], + "score": 1.0, + "content": "eralization analysis indicates that several recently suggested complexity measures are inadequate to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 416, + 504, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 504, + 429 + ], + "score": 1.0, + "content": "explain robust generalization, which is complementary to the findings in ST (Neyshabur et al., 2017).", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 428, + 501, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 501, + 441 + ], + "score": 1.0, + "content": "Accordingly, an appropriate explanation of robust generalization remains largely under-addressed.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "Lastly, but most importantly, we identify a significant drawback of memorization in AT that it could", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "result in robust overfitting (Rice et al., 2020). We argue that the cause of robust overfitting lies in the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 465, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 104, + 465, + 506, + 480 + ], + "score": 1.0, + "content": "memorization of one-hot labels in the typical AT methods. The one-hot labels can be inappropriate", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "score": 1.0, + "content": "or even noisy for some adversarial examples because some data naturally lies close to the decision", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "boundary, and the corresponding adversarial examples should be assigned low predictive confidence", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "(Stutz et al., 2020; Cheng et al., 2020). To solve this problem, we propose a new mitigation algorithm", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "that impedes over-confident predictions by regularization for avoiding the excessive memorization of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 522, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 533 + ], + "score": 1.0, + "content": "adversarial examples with possibly noisy labels. Experiments validate that our method can eliminate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "robust overfitting to a large extent across multiple datasets, network architectures, threat models, and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 543, + 496, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 496, + 556 + ], + "score": 1.0, + "content": "AT methods, achieving better robustness under a variety of adversarial attacks than the baselines.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5 + }, + { + "type": "title", + "bbox": [ + 108, + 565, + 200, + 578 + ], + "lines": [ + { + "bbox": [ + 104, + 563, + 202, + 582 + ], + "spans": [ + { + "bbox": [ + 104, + 563, + 202, + 582 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, 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We first empirically investigate the memorization behavior in AT by perform-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "score": 1.0, + "content": "ing PGD-AT (Madry et al., 2018) and TRADES (Zhang et al., 2019b) with random labels sampled", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "uniformly over all classes. Different from standard training (ST) that can easily memorize random", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "labels (Zhang et al., 2017), AT may fail to converge, with PGD-AT being a typical example. Never-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 313 + ], + "score": 1.0, + "content": "theless, TRADES can converge under this circumstance. It demonstrates that DNNs have sufficient", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "capacity to memorize adversarial examples of training data with completely random labels. This", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "phenomenon is commonly observed on multiple datasets, network architectures, and threat models.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 257, + 505, + 335 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 339, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 352 + ], + "score": 1.0, + "content": "The memorization analysis has further implications for understanding the convergence and gener-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 351, + 504, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 504, + 363 + ], + "score": 1.0, + "content": "alization of AT. We conduct a convergence analysis on gradient magnitude and stability to explain", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "the counter-intuitive different convergence properties of PGD-AT and TRADES with random la-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 373, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 505, + 384 + ], + "score": 1.0, + "content": "bels since they behave similarly when trained on true labels (Rice et al., 2020). We corroborate that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "PGD-AT suffers from a gradient instability issue while the gradients of TRADES are relatively stable", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 408 + ], + "score": 1.0, + "content": "thanks to its adversarial loss. Moreover, by considering models trained on random labels, our gen-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 405, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 506, + 419 + ], + "score": 1.0, + "content": "eralization analysis indicates that several recently suggested complexity measures are inadequate to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 416, + 504, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 504, + 429 + ], + "score": 1.0, + "content": "explain robust generalization, which is complementary to the findings in ST (Neyshabur et al., 2017).", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 428, + 501, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 501, + 441 + ], + "score": 1.0, + "content": "Accordingly, an appropriate explanation of robust generalization remains largely under-addressed.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 340, + 506, + 441 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "Lastly, but most importantly, we identify a significant drawback of memorization in AT that it could", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "result in robust overfitting (Rice et al., 2020). We argue that the cause of robust overfitting lies in the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 465, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 104, + 465, + 506, + 480 + ], + "score": 1.0, + "content": "memorization of one-hot labels in the typical AT methods. The one-hot labels can be inappropriate", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "score": 1.0, + "content": "or even noisy for some adversarial examples because some data naturally lies close to the decision", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "boundary, and the corresponding adversarial examples should be assigned low predictive confidence", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "(Stutz et al., 2020; Cheng et al., 2020). To solve this problem, we propose a new mitigation algorithm", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "that impedes over-confident predictions by regularization for avoiding the excessive memorization of", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 522, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 533 + ], + "score": 1.0, + "content": "adversarial examples with possibly noisy labels. Experiments validate that our method can eliminate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "robust overfitting to a large extent across multiple datasets, network architectures, threat models, and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 543, + 496, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 496, + 556 + ], + "score": 1.0, + "content": "AT methods, achieving better robustness under a variety of adversarial attacks than the baselines.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 444, + 506, + 556 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 565, + 200, + 578 + ], + "lines": [ + { + "bbox": [ + 104, + 563, + 202, + 582 + ], + "spans": [ + { + "bbox": [ + 104, + 563, + 202, + 582 + ], + "score": 1.0, + "content": "2 BACKGROUND", + "type": "text" + } 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typical AT method is TRADES (Zhang et al., 2019b), which balances the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 167, + 477, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 477, + 180 + ], + "score": 1.0, + "content": "trade-off between robustness and natural accuracy by minimizing a different adversarial loss", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "interline_equation", + "bbox": [ + 182, + 183, + 428, + 216 + ], + "lines": [ + { + "bbox": [ + 182, + 183, + 428, + 216 + ], + "spans": [ + { + "bbox": [ + 182, + 183, + 428, + 216 + ], + "score": 0.93, + "content": "\\operatorname* { m i n } _ { \\pmb { \\theta } } \\sum _ { i = 1 } ^ { n } \\left\\{ \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) + \\beta \\cdot \\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { D } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) | | f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ^ { \\prime } ) ) \\right\\} ,", + "type": "interline_equation", + "image_path": "13d2c9e54e86fde38658337f645b2bcef4c60330e1d3360a079bbf5cde27c11c.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 182, + 183, + 428, + 194.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 182, + 194.0, + 428, + 205.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 182, + 205.0, + 428, + 216.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 219, + 504, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 220, + 505, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 134, + 231 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 220, + 142, + 230 + ], + "score": 0.82, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 220, + 369, + 231 + ], + "score": 1.0, + "content": "is the clean cross-entropy loss on the natural example,", + "type": "text" + }, + { + "bbox": [ + 369, + 220, + 379, + 230 + ], + "score": 0.81, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 220, + 505, + 231 + ], + "score": 1.0, + "content": "is the Kullback–Leibler diver-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 230, + 505, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 151, + 244 + ], + "score": 1.0, + "content": "gence, and", + "type": "text" + }, + { + "bbox": [ + 151, + 231, + 159, + 243 + ], + "score": 0.86, + "content": "\\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 230, + 505, + 244 + ], + "score": 1.0, + "content": "is a balancing parameter. The inner maximization of TRADES is also solved by PGD.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 106, + 247, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 505, + 259 + ], + "score": 1.0, + "content": "Recent progress of AT includes designing new adversarial losses (Mao et al., 2019; Qin et al., 2019;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 257, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 271 + ], + "score": 1.0, + "content": "Pang et al., 2020; Wang et al., 2020; Dong et al., 2020a) and network architecture (Xie et al., 2019),", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 333, + 283 + ], + "score": 1.0, + "content": "training acceleration (Shafahi et al., 2019; Zhang et al.,", + "type": "text" + }, + { + "bbox": [ + 333, + 270, + 359, + 280 + ], + "score": 0.39, + "content": "2 0 1 9 \\mathrm { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 267, + 506, + 283 + ], + "score": 1.0, + "content": "; Wong et al., 2020), and exploiting", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "more training data (Hendrycks et al., 2019; Alayrac et al., 2019; Carmon et al., 2019; Zhai et al.,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 290, + 484, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 484, + 304 + ], + "score": 1.0, + "content": "2019). Recent works highlight the training tricks in AT (Gowal et al., 2020; Pang et al., 2021).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 107, + 314, + 312, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 312, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 312, + 326 + ], + "score": 1.0, + "content": "2.2 RELATED WORK ON DNN MEMORIZATION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 332, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 332, + 504, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 504, + 344 + ], + "score": 1.0, + "content": "It has been observed that DNNs can easily memorize training data with random labels (Zhang et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 342, + 504, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 504, + 356 + ], + "score": 1.0, + "content": "2017), which requires “rethinking” of conventional techniques (e.g., VC dimension) to explain gen-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "score": 1.0, + "content": "eralization. Arpit et al. (2017) identify qualitative differences between learning on true and random", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 365, + 504, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 504, + 377 + ], + "score": 1.0, + "content": "labels. Further works attempt to examine what and why DNNs memorize (Feldman, 2020; Feld-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "score": 1.0, + "content": "man & Zhang, 2020; Maennel et al., 2020). Motivated by the memorization phenomenon in deep", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "learning, convergence of training has been analyzed in the over-parameterized setting (Allen-Zhu", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 399, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 505, + 409 + ], + "score": 1.0, + "content": "et al., 2019; Du et al., 2019; Zou et al., 2020), while generalization has been studied with numerous", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "theoretical and empirical complexity measures (Neyshabur et al., 2015; 2017; Bartlett et al., 2017;", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 420, + 479, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 479, + 431 + ], + "score": 1.0, + "content": "Novak et al., 2018; Arora et al., 2018; Cao & Gu, 2019; Jiang et al., 2020; Chen et al., 2020).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "In contrast, the memorization behavior in AT has been less explored. The previous works demon-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "score": 1.0, + "content": "strate that DNNs can fit training data against an adversary (Madry et al., 2018; Schmidt et al., 2018;", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 458, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 265, + 471 + ], + "score": 1.0, + "content": "Rice et al., 2020), e.g., achieving nearly", + "type": "text" + }, + { + "bbox": [ + 266, + 459, + 290, + 470 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 458, + 505, + 471 + ], + "score": 1.0, + "content": "robust training accuracy against a PGD adversary, but", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "this behavior is not explored when trained on random labels. This paper is dedicated to investigating", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "score": 1.0, + "content": "the memorization in AT under the extreme condition with random labels, while drawing connections", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "to capacity, convergence, generalization, and robust overfitting, with the overarching goal of better", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 503, + 280, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 280, + 515 + ], + "score": 1.0, + "content": "understanding the AT working mechanism.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 525, + 344, + 538 + ], + "lines": [ + { + "bbox": [ + 104, + 524, + 346, + 540 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 346, + 540 + ], + "score": 1.0, + "content": "3 MEMORIZATION IN AT AND IMPLICATIONS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 549, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 560 + ], + "score": 1.0, + "content": "In this section, we first explore the memorization behavior in AT through an empirical study. Our", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "analysis raises new questions about the convergence and generalization of AT, many of which cannot", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 583 + ], + "score": 1.0, + "content": "be answered by existing works. Thereafter, we provide further analytical studies on the convergence", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 582, + 452, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 452, + 594 + ], + "score": 1.0, + "content": "and generalization of AT by considering models trained on random labels particularly.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 108, + 604, + 246, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 248, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 248, + 616 + ], + "score": 1.0, + "content": "3.1 AT WITH RANDOM LABELS", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 621, + 504, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 504, + 634 + ], + "score": 1.0, + "content": "We explore the memorization behavior of PGD-AT (Madry et al., 2018) and TRADES (Zhang et al.,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "2019b) as two studying cases. The experiments are conducted on CIFAR-10 (Krizhevsky & Hinton,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "2009) with a Wide ResNet model (Zagoruyko & Komodakis, 2016) of depth 28 and widen factor 10", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "(WRN-28-10). Similar to Zhang et al. (2017), we train a network on the original dataset with true", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "score": 1.0, + "content": "labels and on a copy of the dataset in which the true labels are corrupted by random ones. For training", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 252, + 689 + ], + "score": 1.0, + "content": "and robustness evaluation, a 10-step", + "type": "text" + }, + { + "bbox": [ + 252, + 677, + 266, + 688 + ], + "score": 0.87, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 677, + 351, + 689 + ], + "score": 1.0, + "content": "PGD adversary with", + "type": "text" + }, + { + "bbox": [ + 351, + 677, + 394, + 689 + ], + "score": 0.91, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 677, + 412, + 689 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 412, + 677, + 458, + 689 + ], + "score": 0.91, + "content": "\\alpha = 2 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "is adopted.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "For TRADES, the PGD adversary maximizes the KL divergence during training, while maximizes", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "the cross-entropy loss for robustness evaluation, as common practice (Zhang et al., 2019b). We set", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 143, + 721 + ], + "score": 0.9, + "content": "\\beta = 6 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 709, + 506, + 722 + ], + "score": 1.0, + "content": ". In the sequel, we denote accuracy of a classifier against the 10-step PGD adversary as", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 720, + 422, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 422, + 733 + ], + "score": 1.0, + "content": "“robust accuracy”, and accuracy on natural examples as “natural accuracy”.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 44.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + 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The inner maximization of TRADES is also solved by PGD.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 220, + 505, + 244 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 106, + 247, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 505, + 259 + ], + "score": 1.0, + "content": "Recent progress of AT includes designing new adversarial losses (Mao et al., 2019; Qin et al., 2019;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 257, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 271 + ], + "score": 1.0, + "content": "Pang et al., 2020; Wang et al., 2020; Dong et al., 2020a) and network architecture (Xie et al., 2019),", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 506, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 333, + 283 + ], + "score": 1.0, + "content": "training acceleration (Shafahi et al., 2019; Zhang et al.,", + "type": "text" + }, + { + "bbox": [ + 333, + 270, + 359, + 280 + ], + "score": 0.39, + "content": "2 0 1 9 \\mathrm { a }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 267, + 506, + 283 + ], + "score": 1.0, + "content": "; Wong et al., 2020), and exploiting", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "more training data (Hendrycks et al., 2019; Alayrac et al., 2019; Carmon et al., 2019; Zhai et al.,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 290, + 484, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 484, + 304 + ], + "score": 1.0, + "content": "2019). Recent works highlight the training tricks in AT (Gowal et al., 2020; Pang et al., 2021).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 247, + 506, + 304 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 314, + 312, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 312, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 312, + 326 + ], + "score": 1.0, + "content": "2.2 RELATED WORK ON DNN MEMORIZATION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 332, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 332, + 504, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 504, + 344 + ], + "score": 1.0, + "content": "It has been observed that DNNs can easily memorize training data with random labels (Zhang et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 342, + 504, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 504, + 356 + ], + "score": 1.0, + "content": "2017), which requires “rethinking” of conventional techniques (e.g., VC dimension) to explain gen-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "score": 1.0, + "content": "eralization. Arpit et al. (2017) identify qualitative differences between learning on true and random", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 365, + 504, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 504, + 377 + ], + "score": 1.0, + "content": "labels. Further works attempt to examine what and why DNNs memorize (Feldman, 2020; Feld-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "score": 1.0, + "content": "man & Zhang, 2020; Maennel et al., 2020). Motivated by the memorization phenomenon in deep", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "learning, convergence of training has been analyzed in the over-parameterized setting (Allen-Zhu", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 399, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 505, + 409 + ], + "score": 1.0, + "content": "et al., 2019; Du et al., 2019; Zou et al., 2020), while generalization has been studied with numerous", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 505, + 421 + ], + "score": 1.0, + "content": "theoretical and empirical complexity measures (Neyshabur et al., 2015; 2017; Bartlett et al., 2017;", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 420, + 479, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 479, + 431 + ], + "score": 1.0, + "content": "Novak et al., 2018; Arora et al., 2018; Cao & Gu, 2019; Jiang et al., 2020; Chen et al., 2020).", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 332, + 505, + 431 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 449 + ], + "score": 1.0, + "content": "In contrast, the memorization behavior in AT has been less explored. The previous works demon-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "score": 1.0, + "content": "strate that DNNs can fit training data against an adversary (Madry et al., 2018; Schmidt et al., 2018;", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 458, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 265, + 471 + ], + "score": 1.0, + "content": "Rice et al., 2020), e.g., achieving nearly", + "type": "text" + }, + { + "bbox": [ + 266, + 459, + 290, + 470 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 458, + 505, + 471 + ], + "score": 1.0, + "content": "robust training accuracy against a PGD adversary, but", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "this behavior is not explored when trained on random labels. This paper is dedicated to investigating", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "score": 1.0, + "content": "the memorization in AT under the extreme condition with random labels, while drawing connections", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "to capacity, convergence, generalization, and robust overfitting, with the overarching goal of better", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 503, + 280, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 280, + 515 + ], + "score": 1.0, + "content": "understanding the AT working mechanism.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 437, + 505, + 515 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 525, + 344, + 538 + ], + "lines": [ + { + "bbox": [ + 104, + 524, + 346, + 540 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 346, + 540 + ], + "score": 1.0, + "content": "3 MEMORIZATION IN AT AND IMPLICATIONS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 549, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 560 + ], + "score": 1.0, + "content": "In this section, we first explore the memorization behavior in AT through an empirical study. Our", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "analysis raises new questions about the convergence and generalization of AT, many of which cannot", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 569, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 583 + ], + "score": 1.0, + "content": "be answered by existing works. Thereafter, we provide further analytical studies on the convergence", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 582, + 452, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 452, + 594 + ], + "score": 1.0, + "content": "and generalization of AT by considering models trained on random labels particularly.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 549, + 506, + 594 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 604, + 246, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 248, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 248, + 616 + ], + "score": 1.0, + "content": "3.1 AT WITH RANDOM LABELS", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 621, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 621, + 504, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 504, + 634 + ], + "score": 1.0, + "content": "We explore the memorization behavior of PGD-AT (Madry et al., 2018) and TRADES (Zhang et al.,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "2019b) as two studying cases. The experiments are conducted on CIFAR-10 (Krizhevsky & Hinton,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "2009) with a Wide ResNet model (Zagoruyko & Komodakis, 2016) of depth 28 and widen factor 10", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "(WRN-28-10). Similar to Zhang et al. (2017), we train a network on the original dataset with true", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 679 + ], + "score": 1.0, + "content": "labels and on a copy of the dataset in which the true labels are corrupted by random ones. For training", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 252, + 689 + ], + "score": 1.0, + "content": "and robustness evaluation, a 10-step", + "type": "text" + }, + { + "bbox": [ + 252, + 677, + 266, + 688 + ], + "score": 0.87, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 677, + 351, + 689 + ], + "score": 1.0, + "content": "PGD adversary with", + "type": "text" + }, + { + "bbox": [ + 351, + 677, + 394, + 689 + ], + "score": 0.91, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 677, + 412, + 689 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 412, + 677, + 458, + 689 + ], + "score": 0.91, + "content": "\\alpha = 2 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "is adopted.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "For TRADES, the PGD adversary maximizes the KL divergence during training, while maximizes", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "the cross-entropy loss for robustness evaluation, as common practice (Zhang et al., 2019b). We set", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 143, + 721 + ], + "score": 0.9, + "content": "\\beta = 6 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 709, + 506, + 722 + ], + "score": 1.0, + "content": ". In the sequel, we denote accuracy of a classifier against the 10-step PGD adversary as", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 720, + 422, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 422, + 733 + ], + "score": 1.0, + "content": "“robust accuracy”, and accuracy on natural examples as “natural accuracy”.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 621, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 67, + 495, + 177 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 67, + 495, + 177 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 67, + 495, + 177 + ], + "spans": [ + { + "bbox": [ + 117, + 67, + 495, + 177 + ], + "score": 0.97, + "type": "image", + "image_path": "22d77cfd65523e8b562391b0e65ab4b94592a9d15543c79d8df8cea09f6ac952.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 117, + 67, + 495, + 103.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 103.66666666666666, + 495, + 140.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 140.33333333333331, + 495, + 176.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 181, + 503, + 202 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "score": 1.0, + "content": "Figure 2: (a) and (b) show the natural and robust training accuracies of PGD-AT and TRADES, respectively,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 190, + 493, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 493, + 203 + ], + "score": 1.0, + "content": "when trained on true or random labels. (c) shows the generalization gap under varying levels of label noise.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 211, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "score": 1.0, + "content": "Fig. 2(a) and Fig. 2(b) show the learning curves of PGD-AT and TRADES without explicit regular-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 262, + 234 + ], + "score": 1.0, + "content": "izations. Both methods achieve almost", + "type": "text" + }, + { + "bbox": [ + 262, + 222, + 287, + 233 + ], + "score": 0.89, + "content": "\\bar { 1 } 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "natural and robust training accuracies when trained on", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 233, + 504, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 504, + 245 + ], + "score": 1.0, + "content": "true labels. When the labels are random, we observe the totally different behaviors between PGD-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 445, + 257 + ], + "score": 1.0, + "content": "AT and TRADES—PGD-AT fails to converge while TRADES still reaches nearly", + "type": "text" + }, + { + "bbox": [ + 445, + 244, + 470, + 255 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "training", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "accuracies. This phenomenon is somewhat striking because PGD-AT and TRADES perform simi-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "score": 1.0, + "content": "larly on true labels (Rice et al., 2020). We find that the different memorization behaviors between", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 276, + 504, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 504, + 290 + ], + "score": 1.0, + "content": "PGD-AT and TRADES when trained on random labels can commonly be observed across a variety", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 287, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 301 + ], + "score": 1.0, + "content": "of datasets, model architectures, and threat models (shown in Appendix A.1), indicating that it is a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 299, + 460, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 460, + 313 + ], + "score": 1.0, + "content": "general phenomenon of memorization in the two AT methods. Therefore, our finding is:", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 108, + 316, + 503, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "DNNs have sufficient capacity to memorize adversarial examples of training data with completely", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 327, + 373, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 373, + 339 + ], + "score": 1.0, + "content": "random labels, but the convergence depends on the AT algorithms.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 388 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "Partially corrupted labels. We then inspect the behavior of AT under varying levels of label noise", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 353, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 128, + 367 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 128, + 354, + 144, + 366 + ], + "score": 0.85, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 353, + 205, + 367 + ], + "score": 1.0, + "content": "(true labels) to", + "type": "text" + }, + { + "bbox": [ + 206, + 354, + 230, + 366 + ], + "score": 0.88, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 353, + 505, + 367 + ], + "score": 1.0, + "content": "(completely random labels). The generalization gap (i.e., difference", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "between training and test accuracies) presented in Fig. 2(c) grows steadily as we increase the noise", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 376, + 478, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 478, + 389 + ], + "score": 1.0, + "content": "rate before the network fails to converge. The learning curves are provided in Appendix A.1.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "Explicit regularizations. We study the role of common regularizers in AT memorization, including", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train TRADES on true", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 414, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 428 + ], + "score": 1.0, + "content": "and random labels with several combinations of regularizers. We observe the explicit regularizers do", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 425, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 505, + 441 + ], + "score": 1.0, + "content": "not significantly affect the model’s ability to memorize adversarial examples, similar to the finding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 437, + 493, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 493, + 450 + ], + "score": 1.0, + "content": "in ST (Zhang et al., 2017; Arpit et al., 2017). The detailed results are provided in Appendix A.1.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 460, + 373, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 375, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 375, + 473 + ], + "score": 1.0, + "content": "3.2 CONVERGENCE ANALYSIS OF AT WITH RANDOM LABELS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 105, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "Since we have observed a counter-intuitive fact that PGD-AT and TRADES exhibit different conver-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "gence properties with random labels, it is necessary to perform a convergence analysis to understand", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "this phenomenon. Note that our finding can hardly be explained by previous works (Gao et al., 2019;", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 511, + 262, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 262, + 524 + ], + "score": 1.0, + "content": "Wang et al., 2019; Zhang et al., 2020).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "We first study the effects of different training settings on PGD-AT with random labels. We conduct", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "experiments to analyze each training factor individually, including network architecture, attack steps,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "optimizer, and perturbation budget. We find that tuning the training settings cannot make PGD-AT", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "converge with random labels (Appendix A.2 details the results). Based on the analysis, we think that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "the convergence issue of PGD-AT could be a result of the adversarial loss function in Eq. (1) rather", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "than other training configurations. Specifically, TRADES in Eq. (3) minimizes a clean cross-entropy", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "(CE) loss on natural examples, making DNNs memorize natural examples with random labels before", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "fitting adversarial examples. As seen in Fig. 2(b), at the very early stage of TRADES training (the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 615, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 506, + 630 + ], + "score": 1.0, + "content": "first 25 epochs), the natural accuracy starts to increase while the robust accuracy does not. However,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "PGD-AT in Eq. (1) directly minimizes the CE loss on adversarial samples with random labels, which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "can introduce unstable gradients with large variance, making it fail to converge. To corroborate the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 650, + 395, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 395, + 660 + ], + "score": 1.0, + "content": "above argument, we analyze the gradient magnitude and stability below.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Gradient magnitude. First, we calculate the average gradient norm of the adversarial loss in Eq. (1)", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "w.r.t. model parameters over each training sample for PGD-AT, and similarly calculate the average", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "gradient norm of the clean CE loss (the first term) and the KL loss (the second term) in Eq. (3)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "w.r.t. parameters for TRADES to analyze their effects, respectively. We present the gradient norm", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "along with training in Fig. 3(a). We can see that at the initial training epochs, the gradient norm", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 720, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 732 + ], + "score": 1.0, + "content": "of the KL loss in TRADES is much smaller than that of the CE loss, which indicates that the CE", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 67, + 495, + 177 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 67, + 495, + 177 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 67, + 495, + 177 + ], + "spans": [ + { + "bbox": [ + 117, + 67, + 495, + 177 + ], + "score": 0.97, + "type": "image", + "image_path": "22d77cfd65523e8b562391b0e65ab4b94592a9d15543c79d8df8cea09f6ac952.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 117, + 67, + 495, + 103.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 103.66666666666666, + 495, + 140.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 140.33333333333331, + 495, + 176.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 181, + 503, + 202 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 193 + ], + "score": 1.0, + "content": "Figure 2: (a) and (b) show the natural and robust training accuracies of PGD-AT and TRADES, respectively,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 190, + 493, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 493, + 203 + ], + "score": 1.0, + "content": "when trained on true or random labels. (c) shows the generalization gap under varying levels of label noise.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 211, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 106, + 211, + 505, + 224 + ], + "score": 1.0, + "content": "Fig. 2(a) and Fig. 2(b) show the learning curves of PGD-AT and TRADES without explicit regular-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 222, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 262, + 234 + ], + "score": 1.0, + "content": "izations. Both methods achieve almost", + "type": "text" + }, + { + "bbox": [ + 262, + 222, + 287, + 233 + ], + "score": 0.89, + "content": "\\bar { 1 } 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 222, + 505, + 234 + ], + "score": 1.0, + "content": "natural and robust training accuracies when trained on", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 233, + 504, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 504, + 245 + ], + "score": 1.0, + "content": "true labels. When the labels are random, we observe the totally different behaviors between PGD-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 445, + 257 + ], + "score": 1.0, + "content": "AT and TRADES—PGD-AT fails to converge while TRADES still reaches nearly", + "type": "text" + }, + { + "bbox": [ + 445, + 244, + 470, + 255 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "training", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "accuracies. This phenomenon is somewhat striking because PGD-AT and TRADES perform simi-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 506, + 279 + ], + "score": 1.0, + "content": "larly on true labels (Rice et al., 2020). We find that the different memorization behaviors between", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 276, + 504, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 504, + 290 + ], + "score": 1.0, + "content": "PGD-AT and TRADES when trained on random labels can commonly be observed across a variety", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 287, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 301 + ], + "score": 1.0, + "content": "of datasets, model architectures, and threat models (shown in Appendix A.1), indicating that it is a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 299, + 460, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 460, + 313 + ], + "score": 1.0, + "content": "general phenomenon of memorization in the two AT methods. Therefore, our finding is:", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 211, + 506, + 313 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 316, + 503, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "DNNs have sufficient capacity to memorize adversarial examples of training data with completely", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 327, + 373, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 373, + 339 + ], + "score": 1.0, + "content": "random labels, but the convergence depends on the AT algorithms.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 315, + 505, + 339 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 388 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "Partially corrupted labels. We then inspect the behavior of AT under varying levels of label noise", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 353, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 128, + 367 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 128, + 354, + 144, + 366 + ], + "score": 0.85, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 353, + 205, + 367 + ], + "score": 1.0, + "content": "(true labels) to", + "type": "text" + }, + { + "bbox": [ + 206, + 354, + 230, + 366 + ], + "score": 0.88, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 353, + 505, + 367 + ], + "score": 1.0, + "content": "(completely random labels). The generalization gap (i.e., difference", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "between training and test accuracies) presented in Fig. 2(c) grows steadily as we increase the noise", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 376, + 478, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 478, + 389 + ], + "score": 1.0, + "content": "rate before the network fails to converge. The learning curves are provided in Appendix A.1.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 343, + 505, + 389 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "Explicit regularizations. We study the role of common regularizers in AT memorization, including", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "data augmentation, weight decay, and dropout (Srivastava et al., 2014). We train TRADES on true", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 414, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 505, + 428 + ], + "score": 1.0, + "content": "and random labels with several combinations of regularizers. We observe the explicit regularizers do", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 425, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 505, + 441 + ], + "score": 1.0, + "content": "not significantly affect the model’s ability to memorize adversarial examples, similar to the finding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 437, + 493, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 493, + 450 + ], + "score": 1.0, + "content": "in ST (Zhang et al., 2017; Arpit et al., 2017). The detailed results are provided in Appendix A.1.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 393, + 506, + 450 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 460, + 373, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 460, + 375, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 375, + 473 + ], + "score": 1.0, + "content": "3.2 CONVERGENCE ANALYSIS OF AT WITH RANDOM LABELS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 105, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "Since we have observed a counter-intuitive fact that PGD-AT and TRADES exhibit different conver-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 501 + ], + "score": 1.0, + "content": "gence properties with random labels, it is necessary to perform a convergence analysis to understand", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "this phenomenon. Note that our finding can hardly be explained by previous works (Gao et al., 2019;", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 511, + 262, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 262, + 524 + ], + "score": 1.0, + "content": "Wang et al., 2019; Zhang et al., 2020).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 478, + 506, + 524 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "We first study the effects of different training settings on PGD-AT with random labels. We conduct", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "experiments to analyze each training factor individually, including network architecture, attack steps,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 562 + ], + "score": 1.0, + "content": "optimizer, and perturbation budget. We find that tuning the training settings cannot make PGD-AT", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "converge with random labels (Appendix A.2 details the results). Based on the analysis, we think that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 505, + 584 + ], + "score": 1.0, + "content": "the convergence issue of PGD-AT could be a result of the adversarial loss function in Eq. (1) rather", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "than other training configurations. Specifically, TRADES in Eq. (3) minimizes a clean cross-entropy", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "(CE) loss on natural examples, making DNNs memorize natural examples with random labels before", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "fitting adversarial examples. As seen in Fig. 2(b), at the very early stage of TRADES training (the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 615, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 506, + 630 + ], + "score": 1.0, + "content": "first 25 epochs), the natural accuracy starts to increase while the robust accuracy does not. However,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 505, + 639 + ], + "score": 1.0, + "content": "PGD-AT in Eq. (1) directly minimizes the CE loss on adversarial samples with random labels, which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "can introduce unstable gradients with large variance, making it fail to converge. To corroborate the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 650, + 395, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 395, + 660 + ], + "score": 1.0, + "content": "above argument, we analyze the gradient magnitude and stability below.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 35.5, + "bbox_fs": [ + 104, + 528, + 506, + 660 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Gradient magnitude. First, we calculate the average gradient norm of the adversarial loss in Eq. (1)", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "w.r.t. model parameters over each training sample for PGD-AT, and similarly calculate the average", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "gradient norm of the clean CE loss (the first term) and the KL loss (the second term) in Eq. (3)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "w.r.t. parameters for TRADES to analyze their effects, respectively. We present the gradient norm", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "along with training in Fig. 3(a). We can see that at the initial training epochs, the gradient norm", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 720, + 505, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 732 + ], + "score": 1.0, + "content": "of the KL loss in TRADES is much smaller than that of the CE loss, which indicates that the CE", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "score": 1.0, + "content": "loss dominates TRADES training initially. With the training progressing, the KL loss has a larger", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "score": 1.0, + "content": "gradient norm, making the network memorize adversarial examples. However, it is still unclear why", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 233, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 505, + 246 + ], + "score": 1.0, + "content": "PGD-AT does not rely on a similar learning tactic for convergence. To make a direct comparison", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 243, + 394, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 394, + 258 + ], + "score": 1.0, + "content": "with TRADES, we rewrite the adversarial loss of PGD-AT in Eq. (1) as", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 665, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 68, + 505, + 157 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 68, + 505, + 157 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 68, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 106, + 68, + 505, + 157 + ], + "score": 0.968, + "type": "image", + "image_path": "3d95aded5ce66adc65f626768cc2aa903a5da8dd130c8143836e938eb6eb27de.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 68, + 505, + 97.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 97.66666666666667, + 505, + 127.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 127.33333333333334, + 505, + 157.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 162, + 505, + 203 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 162, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 379, + 173 + ], + "score": 1.0, + "content": "Figure 3: (a): Gradient norm of PGD-AT and TRADES Figure 4: (a): The", + "type": "text" + }, + { + "bbox": [ + 379, + 162, + 388, + 172 + ], + "score": 0.87, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 162, + 505, + 173 + ], + "score": 1.0, + "content": "distance between the gradients", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 172, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 316, + 182 + ], + "score": 1.0, + "content": "along the training process. (b): The ratio of the gra- at", + "type": "text" + }, + { + "bbox": [ + 316, + 172, + 323, + 181 + ], + "score": 0.71, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 172, + 340, + 182 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 340, + 172, + 371, + 181 + ], + "score": 0.91, + "content": "\\pmb \\theta + \\lambda \\mathbf d", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 172, + 468, + 182 + ], + "score": 1.0, + "content": "of different losses, where", + "type": "text" + }, + { + "bbox": [ + 468, + 172, + 475, + 181 + ], + "score": 0.64, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 172, + 505, + 182 + ], + "score": 1.0, + "content": "are ini-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 338, + 194 + ], + "score": 1.0, + "content": "dient norm of PGD-AT and TRADES during the first tialized,", + "type": "text" + }, + { + "bbox": [ + 338, + 182, + 405, + 192 + ], + "score": 0.88, + "content": "\\lambda \\in [ - 0 . 0 5 , 0 . 0 5 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 180, + 505, + 194 + ], + "score": 1.0, + "content": ". (b): The cosine similarity", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 191, + 500, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 195, + 204 + ], + "score": 1.0, + "content": "1000 training iterations.", + "type": "text" + }, + { + "bbox": [ + 305, + 191, + 500, + 203 + ], + "score": 1.0, + "content": "between the gradients in each two successive epochs.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 106, + 211, + 505, + 255 + ], + "lines": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "score": 1.0, + "content": "loss dominates TRADES training initially. With the training progressing, the KL loss has a larger", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 505, + 235 + ], + "score": 1.0, + "content": "gradient norm, making the network memorize adversarial examples. However, it is still unclear why", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 233, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 505, + 246 + ], + "score": 1.0, + "content": "PGD-AT does not rely on a similar learning tactic for convergence. To make a direct comparison", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 243, + 394, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 394, + 258 + ], + "score": 1.0, + "content": "with TRADES, we rewrite the adversarial loss of PGD-AT in Eq. (1) as", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 258, + 415, + 279 + ], + "lines": [ + { + "bbox": [ + 193, + 258, + 415, + 279 + ], + "spans": [ + { + "bbox": [ + 193, + 258, + 415, + 279 + ], + "score": 0.9, + "content": "\\operatorname* { m a x } _ { \\mathbf { x } _ { i } ^ { \\prime } \\in S ( \\mathbf { x } _ { i } ) } \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } _ { i } ^ { \\prime } ) , y _ { i } ) = \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } _ { i } ) , y _ { i } ) + \\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb { \\theta } ) ,", + "type": "interline_equation", + "image_path": "d5b3d94e0103e21e130b04ad22f4b66cb099362f98ab398f6a1257e4b63d26f6.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 193, + 258, + 415, + 279 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 282, + 505, + 376 + ], + "lines": [ + { + "bbox": [ + 106, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 134, + 295 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 283, + 183, + 295 + ], + "score": 0.92, + "content": "\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 282, + 457, + 295 + ], + "score": 1.0, + "content": "denotes the difference between the CE loss on adversarial example", + "type": "text" + }, + { + "bbox": [ + 458, + 283, + 469, + 294 + ], + "score": 0.86, + "content": "\\mathbf { x } _ { i } ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "and that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 186, + 307 + ], + "score": 1.0, + "content": "on natural example", + "type": "text" + }, + { + "bbox": [ + 187, + 296, + 197, + 305 + ], + "score": 0.85, + "content": "\\mathbf { x } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 294, + 431, + 307 + ], + "score": 1.0, + "content": ". Hence we can separately calculate the gradient norm of", + "type": "text" + }, + { + "bbox": [ + 431, + 294, + 486, + 306 + ], + "score": 0.92, + "content": "\\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 107, + 305, + 156, + 317 + ], + "score": 0.91, + "content": "\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 304, + 229, + 318 + ], + "score": 1.0, + "content": "w.r.t. parameters", + "type": "text" + }, + { + "bbox": [ + 229, + 306, + 237, + 315 + ], + "score": 0.77, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 304, + 336, + 318 + ], + "score": 1.0, + "content": "to find out the effect of", + "type": "text" + }, + { + "bbox": [ + 336, + 305, + 385, + 317 + ], + "score": 0.93, + "content": "\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "on training. Specifically, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "measure the relative gradient magnitude, i.e., in PGD-AT we calculate the ratio of the gradient norm", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 108, + 325, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 108, + 327, + 177, + 344 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { { \\frac { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb { \\theta } ) \\| _ { 2 } } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) \\| _ { 2 } } } \\quad } & { } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 325, + 506, + 344 + ], + "score": 1.0, + "content": "; while in TRADES, we similarly calculate the ratio of the gradient norm of the KL", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "loss to that of the CE loss. Fig. 3(b) illustrates the ratio of PGD-AT and TRADES during the first", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 367 + ], + "score": 1.0, + "content": "1000 training iterations. The ratio of PGD-AT is consistently higher than that of TRADES, meaning", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 362, + 336, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 124, + 378 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 124, + 365, + 173, + 376 + ], + "score": 0.92, + "content": "\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 362, + 336, + 378 + ], + "score": 1.0, + "content": "has a non-negligible impact on training.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 381, + 502, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 504, + 394 + ], + "score": 1.0, + "content": "Gradient stability. Then, we analyze the gradient stability to explain why PGD-AT cannot con-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 104, + 391, + 323, + 405 + ], + "score": 1.0, + "content": "verge. We denote the adversarial loss of PGD-AT as", + "type": "text" + }, + { + "bbox": [ + 324, + 392, + 483, + 405 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\theta ) \\stackrel { - } { = } \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 402, + 455, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 159, + 416 + ], + "score": 1.0, + "content": "the subscript", + "type": "text" + }, + { + "bbox": [ + 160, + 404, + 164, + 413 + ], + "score": 0.73, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 402, + 455, + 416 + ], + "score": 1.0, + "content": "omitted for notation simplicity. We have a theorem on gradient stability.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 109, + 416, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 108, + 415, + 504, + 429 + ], + "spans": [ + { + "bbox": [ + 108, + 415, + 504, + 429 + ], + "score": 1.0, + "content": "Theorem 1. Suppose the gradient of the clean cross-entropy loss is locally Lipschitz continuous as", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 431, + 416, + 445 + ], + "lines": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "spans": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } , } \\end{array}", + "type": "interline_equation", + "image_path": "75ebc642390a465430d222dc86750104b28531386c461e7808697af0492e9c39.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 119, + 448, + 449, + 461 + ], + "lines": [ + { + "bbox": [ + 119, + 447, + 452, + 463 + ], + "spans": [ + { + "bbox": [ + 119, + 447, + 137, + 463 + ], + "score": 1.0, + "content": "any", + "type": "text" + }, + { + "bbox": [ + 137, + 448, + 168, + 460 + ], + "score": 0.83, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 447, + 172, + 463 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 172, + 448, + 215, + 461 + ], + "score": 0.84, + "content": "\\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 447, + 253, + 463 + ], + "score": 1.0, + "content": ", and any", + "type": "text" + }, + { + "bbox": [ + 254, + 450, + 260, + 459 + ], + "score": 0.68, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 447, + 291, + 463 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 291, + 449, + 301, + 459 + ], + "score": 0.8, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 447, + 452, + 463 + ], + "score": 1.0, + "content": "is the Lipschitz constant. Then we ha", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 462, + 477, + 477 + ], + "lines": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "spans": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 2 } ) \\| _ { 2 } \\leq \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + 2 \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "370a505c01842140dda1f9353b992acff34b6c720e5568119ceace8d9fe5826f.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 485, + 505, + 661 + ], + "lines": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "We provide the proof in Appendix B, where we show the upper bound in Eq. (5) is tight. Theorem 1", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 303, + 509 + ], + "score": 1.0, + "content": "indicates that the gradient of the adversarial loss", + "type": "text" + }, + { + "bbox": [ + 303, + 497, + 346, + 508 + ], + "score": 0.93, + "content": "\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "of PGD-AT will change more dramati-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 248, + 520 + ], + "score": 1.0, + "content": "cally than that of the clean CE loss", + "type": "text" + }, + { + "bbox": [ + 249, + 507, + 297, + 519 + ], + "score": 0.93, + "content": "\\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ) , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 506, + 328, + 520 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 329, + 508, + 340, + 519 + ], + "score": 0.87, + "content": "\\pmb { \\theta } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 506, + 358, + 520 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 359, + 508, + 370, + 519 + ], + "score": 0.89, + "content": "\\pmb { \\theta } _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 506, + 506, + 520 + ], + "score": 1.0, + "content": "are close, the difference between", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 518, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 174, + 530 + ], + "score": 1.0, + "content": "the gradients of", + "type": "text" + }, + { + "bbox": [ + 174, + 519, + 183, + 528 + ], + "score": 0.79, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 518, + 195, + 530 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 196, + 519, + 207, + 529 + ], + "score": 0.89, + "content": "\\pmb { \\theta } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 518, + 227, + 530 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 228, + 519, + 239, + 529 + ], + "score": 0.87, + "content": "\\pmb { \\theta } _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 518, + 505, + 530 + ], + "score": 1.0, + "content": "is close to 0 due to the semi-smoothness of over-parameterized", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 529, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 280, + 541 + ], + "score": 1.0, + "content": "DNNs (Allen-Zhu et al., 2019), but that of", + "type": "text" + }, + { + "bbox": [ + 281, + 530, + 290, + 540 + ], + "score": 0.85, + "content": "\\mathcal { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 529, + 392, + 541 + ], + "score": 1.0, + "content": "is relatively large due to", + "type": "text" + }, + { + "bbox": [ + 392, + 529, + 411, + 540 + ], + "score": 0.88, + "content": "2 \\epsilon K", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 529, + 505, + 541 + ], + "score": 1.0, + "content": "in Eq. (5). To validate", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 392, + 554 + ], + "score": 1.0, + "content": "this, we visualize the change of gradient when moving the parameters", + "type": "text" + }, + { + "bbox": [ + 392, + 541, + 400, + 551 + ], + "score": 0.76, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "along a random direction", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 551, + 504, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 114, + 561 + ], + "score": 0.25, + "content": "\\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 551, + 181, + 563 + ], + "score": 1.0, + "content": "with magnitude", + "type": "text" + }, + { + "bbox": [ + 182, + 552, + 189, + 561 + ], + "score": 0.72, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 551, + 277, + 563 + ], + "score": 1.0, + "content": ". In particular, we set", + "type": "text" + }, + { + "bbox": [ + 278, + 552, + 285, + 561 + ], + "score": 0.77, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 551, + 354, + 563 + ], + "score": 1.0, + "content": "as initialization,", + "type": "text" + }, + { + "bbox": [ + 354, + 552, + 362, + 561 + ], + "score": 0.4, + "content": "\\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 551, + 504, + 563 + ], + "score": 1.0, + "content": "is sampled from a Gaussian distri-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 562, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 574 + ], + "score": 1.0, + "content": "bution and normalized filter-wise (Li et al., 2018). For PGD-AT and TRADES, we craft adversarial", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 267, + 585 + ], + "score": 1.0, + "content": "examples on-the-fly for the model with", + "type": "text" + }, + { + "bbox": [ + 267, + 573, + 300, + 584 + ], + "score": 0.92, + "content": "\\pm \\lambda \\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 573, + 475, + 585 + ], + "score": 1.0, + "content": "and measure the change of gradient by the", + "type": "text" + }, + { + "bbox": [ + 476, + 573, + 486, + 584 + ], + "score": 0.85, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "dis-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 187, + 597 + ], + "score": 1.0, + "content": "tance to gradient at", + "type": "text" + }, + { + "bbox": [ + 187, + 585, + 194, + 594 + ], + "score": 0.74, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "averaged over all data samples. The curves on gradient change of PGD-AT,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 451, + 608 + ], + "score": 1.0, + "content": "TRADES, and the clean CE loss are shown in Fig. 4(a). In a small neighborhood of", + "type": "text" + }, + { + "bbox": [ + 451, + 596, + 459, + 605 + ], + "score": 0.6, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "(i.e., small", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 114, + 617 + ], + "score": 0.58, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "), the gradient of PGD-AT changes abruptly while the gradients of TRADES and the clean CE loss", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "are more continuous. The gradient instability leads to a lower cosine similarity between the gradient", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "score": 1.0, + "content": "directions w.r.t. the same data in each two successive training epochs of PGD-AT, as illustrated in", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 638, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 104, + 638, + 506, + 652 + ], + "score": 1.0, + "content": "Fig. 4(b). Therefore, the training of PGD-AT would be rather unstable that the gradient exhibits", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 650, + 274, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 274, + 663 + ], + "score": 1.0, + "content": "large variance, making it fail to converge.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 106, + 666, + 395, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 397, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 397, + 680 + ], + "score": 1.0, + "content": "Clean CE loss helps PGD-AT converge. 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(b): The ratio of the gra- at", + "type": "text" + }, + { + "bbox": [ + 316, + 172, + 323, + 181 + ], + "score": 0.71, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 172, + 340, + 182 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 340, + 172, + 371, + 181 + ], + "score": 0.91, + "content": "\\pmb \\theta + \\lambda \\mathbf d", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 172, + 468, + 182 + ], + "score": 1.0, + "content": "of different losses, where", + "type": "text" + }, + { + "bbox": [ + 468, + 172, + 475, + 181 + ], + "score": 0.64, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 172, + 505, + 182 + ], + "score": 1.0, + "content": "are ini-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 180, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 338, + 194 + ], + "score": 1.0, + "content": "dient norm of PGD-AT and TRADES during the first tialized,", + "type": "text" + }, + { + "bbox": [ + 338, + 182, + 405, + 192 + ], + "score": 0.88, + "content": "\\lambda \\in [ - 0 . 0 5 , 0 . 0 5 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 180, + 505, + 194 + ], + "score": 1.0, + "content": ". 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Specifically, we", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 329 + ], + "score": 1.0, + "content": "measure the relative gradient magnitude, i.e., in PGD-AT we calculate the ratio of the gradient norm", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 108, + 325, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 108, + 327, + 177, + 344 + ], + "score": 0.93, + "content": "\\begin{array} { r l } { { \\frac { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb { \\theta } ) \\| _ { 2 } } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } ) , y _ { i } ) \\| _ { 2 } } } \\quad } & { } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 325, + 506, + 344 + ], + "score": 1.0, + "content": "; while in TRADES, we similarly calculate the ratio of the gradient norm of the KL", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "loss to that of the CE loss. Fig. 3(b) illustrates the ratio of PGD-AT and TRADES during the first", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 367 + ], + "score": 1.0, + "content": "1000 training iterations. The ratio of PGD-AT is consistently higher than that of TRADES, meaning", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 362, + 336, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 124, + 378 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 124, + 365, + 173, + 376 + ], + "score": 0.92, + "content": "\\mathcal { R } ( \\mathbf { x } _ { i } , y _ { i } , \\pmb \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 362, + 336, + 378 + ], + "score": 1.0, + "content": "has a non-negligible impact on training.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 282, + 506, + 378 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 381, + 502, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 504, + 394 + ], + "score": 1.0, + "content": "Gradient stability. Then, we analyze the gradient stability to explain why PGD-AT cannot con-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 391, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 104, + 391, + 323, + 405 + ], + "score": 1.0, + "content": "verge. We denote the adversarial loss of PGD-AT as", + "type": "text" + }, + { + "bbox": [ + 324, + 392, + 483, + 405 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\theta ) \\stackrel { - } { = } \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 391, + 505, + 405 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 402, + 455, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 159, + 416 + ], + "score": 1.0, + "content": "the subscript", + "type": "text" + }, + { + "bbox": [ + 160, + 404, + 164, + 413 + ], + "score": 0.73, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 402, + 455, + 416 + ], + "score": 1.0, + "content": "omitted for notation simplicity. We have a theorem on gradient stability.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21, + "bbox_fs": [ + 104, + 380, + 505, + 416 + ] + }, + { + "type": "text", + "bbox": [ + 109, + 416, + 504, + 428 + ], + "lines": [ + { + "bbox": [ + 108, + 415, + 504, + 429 + ], + "spans": [ + { + "bbox": [ + 108, + 415, + 504, + 429 + ], + "score": 1.0, + "content": "Theorem 1. Suppose the gradient of the clean cross-entropy loss is locally Lipschitz continuous as", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 108, + 415, + 504, + 429 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 431, + 416, + 445 + ], + "lines": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "spans": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\theta } \\mathcal { L } \\big ( f _ { \\theta } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } , } \\end{array}", + "type": "interline_equation", + "image_path": "75ebc642390a465430d222dc86750104b28531386c461e7808697af0492e9c39.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 194, + 431, + 416, + 445 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 119, + 448, + 449, + 461 + ], + "lines": [ + { + "bbox": [ + 119, + 447, + 452, + 463 + ], + "spans": [ + { + "bbox": [ + 119, + 447, + 137, + 463 + ], + "score": 1.0, + "content": "any", + "type": "text" + }, + { + "bbox": [ + 137, + 448, + 168, + 460 + ], + "score": 0.83, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 447, + 172, + 463 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 172, + 448, + 215, + 461 + ], + "score": 0.84, + "content": "\\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 447, + 253, + 463 + ], + "score": 1.0, + "content": ", and any", + "type": "text" + }, + { + "bbox": [ + 254, + 450, + 260, + 459 + ], + "score": 0.68, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 447, + 291, + 463 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 291, + 449, + 301, + 459 + ], + "score": 0.8, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 447, + 452, + 463 + ], + "score": 1.0, + "content": "is the Lipschitz constant. Then we ha", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 119, + 447, + 452, + 463 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 462, + 477, + 477 + ], + "lines": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "spans": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\theta _ { 2 } ) \\| _ { 2 } \\leq \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + 2 \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "370a505c01842140dda1f9353b992acff34b6c720e5568119ceace8d9fe5826f.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 123, + 462, + 477, + 477 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 485, + 505, + 661 + ], + "lines": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "We provide the proof in Appendix B, where we show the upper bound in Eq. (5) is tight. Theorem 1", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 496, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 303, + 509 + ], + "score": 1.0, + "content": "indicates that the gradient of the adversarial loss", + "type": "text" + }, + { + "bbox": [ + 303, + 497, + 346, + 508 + ], + "score": 0.93, + "content": "\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 496, + 505, + 509 + ], + "score": 1.0, + "content": "of PGD-AT will change more dramati-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 248, + 520 + ], + "score": 1.0, + "content": "cally than that of the clean CE loss", + "type": "text" + }, + { + "bbox": [ + 249, + 507, + 297, + 519 + ], + "score": 0.93, + "content": "\\mathcal { L } ( f _ { \\theta } ( \\mathbf { x } ) , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 506, + 328, + 520 + ], + "score": 1.0, + "content": ". 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To validate", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 392, + 554 + ], + "score": 1.0, + "content": "this, we visualize the change of gradient when moving the parameters", + "type": "text" + }, + { + "bbox": [ + 392, + 541, + 400, + 551 + ], + "score": 0.76, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "along a random direction", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 551, + 504, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 114, + 561 + ], + "score": 0.25, + "content": "\\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 551, + 181, + 563 + ], + "score": 1.0, + "content": "with magnitude", + "type": "text" + }, + { + "bbox": [ + 182, + 552, + 189, + 561 + ], + "score": 0.72, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 551, + 277, + 563 + ], + "score": 1.0, + "content": ". 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For PGD-AT and TRADES, we craft adversarial", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 267, + 585 + ], + "score": 1.0, + "content": "examples on-the-fly for the model with", + "type": "text" + }, + { + "bbox": [ + 267, + 573, + 300, + 584 + ], + "score": 0.92, + "content": "\\pm \\lambda \\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 573, + 475, + 585 + ], + "score": 1.0, + "content": "and measure the change of gradient by the", + "type": "text" + }, + { + "bbox": [ + 476, + 573, + 486, + 584 + ], + "score": 0.85, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "dis-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 187, + 597 + ], + "score": 1.0, + "content": "tance to gradient at", + "type": "text" + }, + { + "bbox": [ + 187, + 585, + 194, + 594 + ], + "score": 0.74, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "averaged over all data samples. The curves on gradient change of PGD-AT,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 594, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 451, + 608 + ], + "score": 1.0, + "content": "TRADES, and the clean CE loss are shown in Fig. 4(a). In a small neighborhood of", + "type": "text" + }, + { + "bbox": [ + 451, + 596, + 459, + 605 + ], + "score": 0.6, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 594, + 506, + 608 + ], + "score": 1.0, + "content": "(i.e., small", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 114, + 617 + ], + "score": 0.58, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "), the gradient of PGD-AT changes abruptly while the gradients of TRADES and the clean CE loss", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "are more continuous. The gradient instability leads to a lower cosine similarity between the gradient", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "score": 1.0, + "content": "directions w.r.t. the same data in each two successive training epochs of PGD-AT, as illustrated in", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 638, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 104, + 638, + 506, + 652 + ], + "score": 1.0, + "content": "Fig. 4(b). Therefore, the training of PGD-AT would be rather unstable that the gradient exhibits", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 650, + 274, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 274, + 663 + ], + "score": 1.0, + "content": "large variance, making it fail to converge.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 34.5, + "bbox_fs": [ + 104, + 485, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 666, + 395, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 397, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 397, + 680 + ], + "score": 1.0, + "content": "Clean CE loss helps PGD-AT converge. 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The training settings of these models are provided in Appendix A.3.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 176, + 504, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 133, + 189 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 178, + 141, + 188 + ], + "score": 0.8, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "is gradually increased from 0 to 1. By using Eq. 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Although many efforts have been devoted to studying robust", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 104, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "generalization of AT theoretically or empirically (Yin et al., 2018; Schmidt et al., 2018; Bubeck et al.,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "score": 1.0, + "content": "2019; Tu et al., 2019; Wu et al., 2020), they do not take the models trained on random labels into", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "consideration. As it is easy to show that the explicit regularizations are not the adequate explanation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "of generalization in ST (Zhang et al., 2017; Arpit et al., 2017) and AT (see Appendix A.3), people", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "resort to complexity measures of a model to explain generalization (i.e., a lower complexity should", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "score": 1.0, + "content": "imply a smaller generalization gap). Here we show how the recently proposed complexity measures", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 365, + 489, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 489, + 379 + ], + "score": 1.0, + "content": "fail to explain robust generalization when comparing models trained on true and random labels.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "We consider several norm-based and sharpness/flatness-based measures. We denote the parameters", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 392, + 504, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 171, + 408 + ], + "score": 1.0, + "content": "of a network by", + "type": "text" + }, + { + "bbox": [ + 171, + 393, + 230, + 406 + ], + "score": 0.92, + "content": "\\pmb \\theta : = \\{ W _ { i } \\} _ { i = 1 } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 392, + 428, + 408 + ], + "score": 1.0, + "content": ". The norm-based measures include spectral norm", + "type": "text" + }, + { + "bbox": [ + 429, + 393, + 504, + 408 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\prod _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 2 } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 406, + 507, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 123, + 424 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 408, + 133, + 420 + ], + "score": 0.81, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 406, + 159, + 424 + ], + "score": 1.0, + "content": "norm", + "type": "text" + }, + { + "bbox": [ + 159, + 407, + 235, + 423 + ], + "score": 0.83, + "content": "\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\sum _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 406, + 351, + 424 + ], + "score": 1.0, + "content": "of model parameters, where", + "type": "text" + }, + { + "bbox": [ + 351, + 411, + 378, + 421 + ], + "score": 0.84, + "content": "\\gamma _ { \\mathrm { m a r g i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 406, + 507, + 424 + ], + "score": 1.0, + "content": "is a margin on model output to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "make them scale-insensitive (Neyshabur et al., 2017). The spectral norm appears in the theoretical", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "robust generalization bounds (Yin et al., 2018; Tu et al., 2019) and is related to the Lipschitz constant", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 284, + 456 + ], + "score": 1.0, + "content": "of neural networks (Cisse et al., 2017). The", + "type": "text" + }, + { + "bbox": [ + 284, + 444, + 295, + 455 + ], + "score": 0.88, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 442, + 505, + 456 + ], + "score": 1.0, + "content": "norm is adopted to reduce the robust generalization", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 454, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 104, + 454, + 506, + 468 + ], + "score": 1.0, + "content": "gap (Yin et al., 2018). The sharpness/flatness-based measures include the curvature of input loss", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "landscape (Moosavi-Dezfooli et al., 2019) as the dominant eigenvalue of the Hessian matrix, as well", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "as the flatness of weight loss landscape (Wu et al., 2020) related to the change of adversarial loss", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "when moving the weights along a random direction. Fig. 6 plots the four complexity measures w.r.t.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "robust generalization gap of several models trained with various combinations of regularizations", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "score": 1.0, + "content": "on true or random labels. The results show that the first three measures can hardly ensure robust", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 519, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 104, + 519, + 505, + 534 + ], + "score": 1.0, + "content": "generalization, that lower complexity does not necessarily imply smaller robust generalization gap,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "e.g., the models trained on random labels can even lead to lower complexity than those trained on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 542, + 495, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 495, + 554 + ], + "score": 1.0, + "content": "true labels. Among them, the flatness of weight loss landscape (Wu et al., 2020) is more reliable.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 559, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 505, + 572 + ], + "score": 1.0, + "content": "In summary, the generalization analysis indicates that the previous approaches, especially various", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "complexity measures, cannot adequately explain and ensure the robust generalization performance in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "score": 1.0, + "content": "AT. Our finding of robust generalization in AT is complementary to that of standard generalization in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "score": 1.0, + "content": "ST (Zhang et al., 2017; Neyshabur et al., 2017; Jiang et al., 2020). Accordingly, robust generalization", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 603, + 414, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 414, + 616 + ], + "score": 1.0, + "content": "of adversarially trained models remains an open problem for future research.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 108, + 624, + 294, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 295, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 295, + 638 + ], + "score": 1.0, + "content": "4 ROBUST OVERFITTING ANALYSIS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 106, + 646, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "score": 1.0, + "content": "Rice et al. (2020) have identified robust overfitting as a dominant phenomenon in AT, i.e., shortly", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "after the first learning rate decay, further training will continue to decrease the robust test accuracy.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 401, + 681 + ], + "score": 1.0, + "content": "They further show that several remedies for overfitting, including explicit", + "type": "text" + }, + { + "bbox": [ + 402, + 669, + 411, + 679 + ], + "score": 0.88, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 668, + 429, + 681 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 430, + 668, + 439, + 679 + ], + "score": 0.87, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "regularizations,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "score": 1.0, + "content": "data augmentation, etc., cannot gain improvements upon early stopping. Although robust overfitting", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 690, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 703 + ], + "score": 1.0, + "content": "has been thoroughly investigated, there still lacks an explanation of why it occurs. In this section, we", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 701, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 505, + 713 + ], + "score": 1.0, + "content": "draw a connection between memorization and robust overfitting in AT by showing that robust over-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 712, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 712, + 505, + 724 + ], + "score": 1.0, + "content": "fitting is caused by excessive memorization of one-hot labels in the typical AT methods. Motivated", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 723, + 444, + 736 + ], + "spans": [ + { + "bbox": [ + 106, + 723, + 444, + 736 + ], + "score": 1.0, + "content": "by the analysis, we then propose an effective strategy to eliminate robust overfitting.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 65, + 503, + 146 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 65, + 503, + 146 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 65, + 503, + 146 + ], + "spans": [ + { + "bbox": [ + 108, + 65, + 503, + 146 + ], + "score": 0.965, + "type": "image", + "image_path": "5d1ae9d9a6ebf5861669f883e38d9ba6c2fdd6d55fed8de7c66a2935cc0ee3f5.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 65, + 503, + 92.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 92.0, + 503, + 119.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 119.0, + 503, + 146.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 148, + 501, + 169 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 147, + 502, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 502, + 159 + ], + "score": 1.0, + "content": "Figure 6: The results on four complexity measures of the adversarially trained models w.r.t. robust generaliza", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 158, + 387, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 387, + 169 + ], + "score": 1.0, + "content": "tion gap. The training settings of these models are provided in Appendix A.3.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 176, + 504, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 133, + 189 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 178, + 141, + 188 + ], + "score": 0.8, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "is gradually increased from 0 to 1. By using Eq. (6), the gradient would be stabler at the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 187, + 452, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 452, + 200 + ], + "score": 1.0, + "content": "initial stage and training on random labels can successfully converge, as shown Fig. 5.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 106, + 176, + 505, + 200 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 204, + 505, + 237 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "In summary, our convergence analysis identifies the gradient instability issue of PGD-AT, provides", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "new insights on the differences between PGD-AT and TRADES, and partially explain the failures", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 226, + 493, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 493, + 239 + ], + "score": 1.0, + "content": "of AT under other realistic settings beyond the scope of this section as detailed in Appendix A.2.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 204, + 505, + 239 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 249, + 384, + 259 + ], + "lines": [ + { + "bbox": [ + 105, + 248, + 386, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 386, + 262 + ], + "score": 1.0, + "content": "3.3 GENERALIZATION ANALYSIS OF AT WITH RANDOM LABELS", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 267, + 505, + 377 + ], + "lines": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "As our study demonstrates DNNs’ ability to memorize adversarial examples with random labels, we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 279, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 290 + ], + "score": 1.0, + "content": "raise the question of whether DNNs rely on a similar memorization tactic on true labels and how to", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "score": 1.0, + "content": "explain/ensure robust generalization. Although many efforts have been devoted to studying robust", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 104, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "generalization of AT theoretically or empirically (Yin et al., 2018; Schmidt et al., 2018; Bubeck et al.,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 323 + ], + "score": 1.0, + "content": "2019; Tu et al., 2019; Wu et al., 2020), they do not take the models trained on random labels into", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "consideration. As it is easy to show that the explicit regularizations are not the adequate explanation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "of generalization in ST (Zhang et al., 2017; Arpit et al., 2017) and AT (see Appendix A.3), people", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "resort to complexity measures of a model to explain generalization (i.e., a lower complexity should", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 368 + ], + "score": 1.0, + "content": "imply a smaller generalization gap). Here we show how the recently proposed complexity measures", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 365, + 489, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 489, + 379 + ], + "score": 1.0, + "content": "fail to explain robust generalization when comparing models trained on true and random labels.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 267, + 506, + 379 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 383, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 394 + ], + "score": 1.0, + "content": "We consider several norm-based and sharpness/flatness-based measures. We denote the parameters", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 392, + 504, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 171, + 408 + ], + "score": 1.0, + "content": "of a network by", + "type": "text" + }, + { + "bbox": [ + 171, + 393, + 230, + 406 + ], + "score": 0.92, + "content": "\\pmb \\theta : = \\{ W _ { i } \\} _ { i = 1 } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 392, + 428, + 408 + ], + "score": 1.0, + "content": ". The norm-based measures include spectral norm", + "type": "text" + }, + { + "bbox": [ + 429, + 393, + 504, + 408 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\prod _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 2 } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 406, + 507, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 123, + 424 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 408, + 133, + 420 + ], + "score": 0.81, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 406, + 159, + 424 + ], + "score": 1.0, + "content": "norm", + "type": "text" + }, + { + "bbox": [ + 159, + 407, + 235, + 423 + ], + "score": 0.83, + "content": "\\begin{array} { r } { \\frac { 1 } { \\gamma _ { \\mathrm { m a r g i n } } } \\sum _ { i = 1 } ^ { m } \\| W _ { i } \\| _ { 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 406, + 351, + 424 + ], + "score": 1.0, + "content": "of model parameters, where", + "type": "text" + }, + { + "bbox": [ + 351, + 411, + 378, + 421 + ], + "score": 0.84, + "content": "\\gamma _ { \\mathrm { m a r g i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 406, + 507, + 424 + ], + "score": 1.0, + "content": "is a margin on model output to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "make them scale-insensitive (Neyshabur et al., 2017). The spectral norm appears in the theoretical", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "robust generalization bounds (Yin et al., 2018; Tu et al., 2019) and is related to the Lipschitz constant", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 284, + 456 + ], + "score": 1.0, + "content": "of neural networks (Cisse et al., 2017). The", + "type": "text" + }, + { + "bbox": [ + 284, + 444, + 295, + 455 + ], + "score": 0.88, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 442, + 505, + 456 + ], + "score": 1.0, + "content": "norm is adopted to reduce the robust generalization", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 454, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 104, + 454, + 506, + 468 + ], + "score": 1.0, + "content": "gap (Yin et al., 2018). The sharpness/flatness-based measures include the curvature of input loss", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "landscape (Moosavi-Dezfooli et al., 2019) as the dominant eigenvalue of the Hessian matrix, as well", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "as the flatness of weight loss landscape (Wu et al., 2020) related to the change of adversarial loss", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "when moving the weights along a random direction. Fig. 6 plots the four complexity measures w.r.t.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "robust generalization gap of several models trained with various combinations of regularizations", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "score": 1.0, + "content": "on true or random labels. The results show that the first three measures can hardly ensure robust", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 519, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 104, + 519, + 505, + 534 + ], + "score": 1.0, + "content": "generalization, that lower complexity does not necessarily imply smaller robust generalization gap,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "e.g., the models trained on random labels can even lead to lower complexity than those trained on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 542, + 495, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 495, + 554 + ], + "score": 1.0, + "content": "true labels. Among them, the flatness of weight loss landscape (Wu et al., 2020) is more reliable.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 382, + 507, + 554 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 559, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 505, + 572 + ], + "score": 1.0, + "content": "In summary, the generalization analysis indicates that the previous approaches, especially various", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "complexity measures, cannot adequately explain and ensure the robust generalization performance in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "score": 1.0, + "content": "AT. Our finding of robust generalization in AT is complementary to that of standard generalization in", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 605 + ], + "score": 1.0, + "content": "ST (Zhang et al., 2017; Neyshabur et al., 2017; Jiang et al., 2020). Accordingly, robust generalization", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 603, + 414, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 414, + 616 + ], + "score": 1.0, + "content": "of adversarially trained models remains an open problem for future research.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 560, + 505, + 616 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 624, + 294, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 295, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 295, + 638 + ], + "score": 1.0, + "content": "4 ROBUST OVERFITTING ANALYSIS", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 106, + 646, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "score": 1.0, + "content": "Rice et al. (2020) have identified robust overfitting as a dominant phenomenon in AT, i.e., shortly", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "after the first learning rate decay, further training will continue to decrease the robust test accuracy.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 401, + 681 + ], + "score": 1.0, + "content": "They further show that several remedies for overfitting, including explicit", + "type": "text" + }, + { + "bbox": [ + 402, + 669, + 411, + 679 + ], + "score": 0.88, + "content": "\\ell _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 668, + 429, + 681 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 430, + 668, + 439, + 679 + ], + "score": 0.87, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "regularizations,", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 693 + ], + "score": 1.0, + "content": "data augmentation, etc., cannot gain improvements upon early stopping. Although robust overfitting", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 690, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 703 + ], + "score": 1.0, + "content": "has been thoroughly investigated, there still lacks an explanation of why it occurs. In this section, we", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 701, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 505, + 713 + ], + "score": 1.0, + "content": "draw a connection between memorization and robust overfitting in AT by showing that robust over-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 712, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 712, + 505, + 724 + ], + "score": 1.0, + "content": "fitting is caused by excessive memorization of one-hot labels in the typical AT methods. Motivated", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 723, + 444, + 736 + ], + "spans": [ + { + "bbox": [ + 106, + 723, + 444, + 736 + ], + "score": 1.0, + "content": "by the analysis, we then propose an effective strategy to eliminate robust overfitting.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 645, + 505, + 736 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 67, + 495, + 176 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 67, + 495, + 176 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 67, + 495, + 176 + ], + "spans": [ + { + "bbox": [ + 117, + 67, + 495, + 176 + ], + "score": 0.972, + "type": "image", + "image_path": "2c2ebe3ba21b0fd0c69b97eb9a22e7f608815fec9e68d157cac0afe86e8aff46.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 117, + 67, + 495, + 103.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 103.33333333333334, + 495, + 139.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 139.66666666666669, + 495, + 176.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 180, + 504, + 211 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 180, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 191 + ], + "score": 1.0, + "content": "Figure 7: (a): The accuracy curves of PGD-AT with true labels to reproduce robust overfitting. (b): The robust", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 191, + 504, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 504, + 201 + ], + "score": 1.0, + "content": "test accuracy of PGD-AT under various perturbation budgets \u000f. (c): The adversarial loss of two independently", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 201, + 403, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 403, + 211 + ], + "score": 1.0, + "content": "trained networks by PGD-AT on 500 samples sorted by the loss of the first model.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 222, + 282, + 233 + ], + "lines": [ + { + "bbox": [ + 106, + 222, + 283, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 283, + 234 + ], + "score": 1.0, + "content": "4.1 EXPLAINING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 240, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "The typical AT approaches (e.g., PGD-AT, TRADES) commonly adopt one-hot labels as the targets", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "score": 1.0, + "content": "for training, as introduced in Sec. 2.1. The one-hot labels could be inappropriate for some adversarial", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "examples because it is difficult for a network to assign high-confident one-hot labels for all perturbed", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 272, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 266, + 287 + ], + "score": 1.0, + "content": "samples within the perturbation budget", + "type": "text" + }, + { + "bbox": [ + 266, + 275, + 272, + 284 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 272, + 506, + 287 + ], + "score": 1.0, + "content": "(Stutz et al., 2020; Cheng et al., 2020). Intuitively, some", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 284, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 297 + ], + "score": 1.0, + "content": "examples may naturally lie close to the decision boundary and should be assigned lower predictive", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 295, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 309 + ], + "score": 1.0, + "content": "confidence for the worst-case adversarial examples. It indicates that one-hot labels of some training", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 305, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 190, + 320 + ], + "score": 1.0, + "content": "data may be noisy in", + "type": "text" + }, + { + "bbox": [ + 190, + 306, + 207, + 317 + ], + "score": 0.77, + "content": "\\mathsf { A T } ^ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 305, + 506, + 320 + ], + "score": 1.0, + "content": ". After a certain training epoch, the model memorizes these “hard” training", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 317, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 331 + ], + "score": 1.0, + "content": "examples with possibly noisy labels, leading to the reduction of test robustness, as shown in Fig. 7(a).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 328, + 487, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 487, + 340 + ], + "score": 1.0, + "content": "Thus, we hypothesize the cause of robust overfitting lies in the memorization of one-hot labels.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "Our hypothesis is well supported by two pieces of evidence. First, we find that when the perturbation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 136, + 369 + ], + "score": 1.0, + "content": "budget", + "type": "text" + }, + { + "bbox": [ + 136, + 358, + 142, + 366 + ], + "score": 0.72, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "is small, robust overfitting does not occur, as shown in Fig. 7(b). This observation implies", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "that the one-hot labels are more appropriate as the targets for adversarial examples within a smaller", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "neighborhood while become noisier under a larger perturbation budget and lead to overfitting. Sec-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "ond, we validate that the “hard” training examples with higher adversarial loss values are consistent", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "across different models. We first train two independent networks (using the same architecture and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "different random seeds) by PGD-AT and calculate the adversarial loss for each training sample. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "show the adversarial losses on 500 samples sorted by the loss of the first model in Fig. 7(c). It can", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "score": 1.0, + "content": "be seen that the samples with lower adversarial losses of the first model also have relatively lower", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "losses of the second one and vice versa. We further quantitatively measure the consistency of the ad-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "versarial losses of all training samples between the two models using the Kendall’s rank coefficient", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "(Kendall, 1938), which is 0.85 in this case. A similar result can be observed for two different model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 476, + 504, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 504, + 489 + ], + "score": 1.0, + "content": "architectures (see Appendix C.1). The results verify that the “hard” training examples with possibly", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 488, + 496, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 496, + 500 + ], + "score": 1.0, + "content": "noisy labels are intrinsic of a dataset, supporting our hypothesis on why robust overfitting occurs.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 22.5 + }, + { + "type": "title", + "bbox": [ + 109, + 512, + 281, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 511, + 283, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 283, + 524 + ], + "score": 1.0, + "content": "4.2 MITIGATING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 530, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "score": 1.0, + "content": "Based on the above analysis, we resort to the methods that are less prone to overfit noisy labels for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "mitigating robust overfitting in AT. Although learning with noisy labels has been broadly studied in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 551, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 565 + ], + "score": 1.0, + "content": "ST (Natarajan et al., 2013; Patrini et al., 2017; Jiang et al., 2018; Han et al., 2018; Zhang & Sabuncu,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 563, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 575 + ], + "score": 1.0, + "content": "2018), we find that most of these approaches are not suitable for AT. For example, a typical line of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "methods filter out noisy samples and train the models on the identified clean samples (Jiang et al.,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "2018; Han et al., 2018; Ren et al., 2018). However, they will neglect a portion of training data with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "noisy labels, which can lead to inferior results for AT due to the reduction of training data (Schmidt", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 325, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 325, + 618 + ], + "score": 1.0, + "content": "et al., 2018). Table 2 shows the results to validate this.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5 + }, + { + "type": "text", + "bbox": [ + 107, + 624, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "To address this problem, we propose to regularize the predictions of adversarial examples from being", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "over-confident by integrating the temporal ensembling (TE) approach (Laine & Aila, 2017) into", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "score": 1.0, + "content": "the AT frameworks. TE maintains an ensemble prediction of each data and penalizes the difference", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "between the current prediction and the ensemble prediction, which is effective for semi-supervised", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "learning and learning with noisy labels (Laine & Aila, 2017). We think that TE is suitable for AT", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 680, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 690 + ], + "score": 1.0, + "content": "since it enables to leverage all training samples and hinders the network from excessive memoriza-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 690, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 702 + ], + "score": 1.0, + "content": "tion of one-hot labels with a regularization term. Specifically, we denote the ensemble prediction of", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 712, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 119, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 119, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "1Note that we argue the one-hot labels are noisy when used in AT, but do not argue the ground-truth labels", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 415, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 415, + 732 + ], + "score": 1.0, + "content": "of the dataset are noisy, which is different from a previous work (Sanyal et al., 2021).", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 117, + 67, + 495, + 176 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 117, + 67, + 495, + 176 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 117, + 67, + 495, + 176 + ], + "spans": [ + { + "bbox": [ + 117, + 67, + 495, + 176 + ], + "score": 0.972, + "type": "image", + "image_path": "2c2ebe3ba21b0fd0c69b97eb9a22e7f608815fec9e68d157cac0afe86e8aff46.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 117, + 67, + 495, + 103.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 117, + 103.33333333333334, + 495, + 139.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 117, + 139.66666666666669, + 495, + 176.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 180, + 504, + 211 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 180, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 191 + ], + "score": 1.0, + "content": "Figure 7: (a): The accuracy curves of PGD-AT with true labels to reproduce robust overfitting. (b): The robust", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 191, + 504, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 504, + 201 + ], + "score": 1.0, + "content": "test accuracy of PGD-AT under various perturbation budgets \u000f. (c): The adversarial loss of two independently", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 201, + 403, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 403, + 211 + ], + "score": 1.0, + "content": "trained networks by PGD-AT on 500 samples sorted by the loss of the first model.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 222, + 282, + 233 + ], + "lines": [ + { + "bbox": [ + 106, + 222, + 283, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 222, + 283, + 234 + ], + "score": 1.0, + "content": "4.1 EXPLAINING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 240, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "The typical AT approaches (e.g., PGD-AT, TRADES) commonly adopt one-hot labels as the targets", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "score": 1.0, + "content": "for training, as introduced in Sec. 2.1. The one-hot labels could be inappropriate for some adversarial", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "examples because it is difficult for a network to assign high-confident one-hot labels for all perturbed", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 272, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 266, + 287 + ], + "score": 1.0, + "content": "samples within the perturbation budget", + "type": "text" + }, + { + "bbox": [ + 266, + 275, + 272, + 284 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 272, + 506, + 287 + ], + "score": 1.0, + "content": "(Stutz et al., 2020; Cheng et al., 2020). Intuitively, some", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 284, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 297 + ], + "score": 1.0, + "content": "examples may naturally lie close to the decision boundary and should be assigned lower predictive", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 295, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 309 + ], + "score": 1.0, + "content": "confidence for the worst-case adversarial examples. It indicates that one-hot labels of some training", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 305, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 190, + 320 + ], + "score": 1.0, + "content": "data may be noisy in", + "type": "text" + }, + { + "bbox": [ + 190, + 306, + 207, + 317 + ], + "score": 0.77, + "content": "\\mathsf { A T } ^ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 305, + 506, + 320 + ], + "score": 1.0, + "content": ". After a certain training epoch, the model memorizes these “hard” training", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 317, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 331 + ], + "score": 1.0, + "content": "examples with possibly noisy labels, leading to the reduction of test robustness, as shown in Fig. 7(a).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 328, + 487, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 487, + 340 + ], + "score": 1.0, + "content": "Thus, we hypothesize the cause of robust overfitting lies in the memorization of one-hot labels.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 241, + 506, + 340 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "Our hypothesis is well supported by two pieces of evidence. First, we find that when the perturbation", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 356, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 136, + 369 + ], + "score": 1.0, + "content": "budget", + "type": "text" + }, + { + "bbox": [ + 136, + 358, + 142, + 366 + ], + "score": 0.72, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 356, + 505, + 369 + ], + "score": 1.0, + "content": "is small, robust overfitting does not occur, as shown in Fig. 7(b). This observation implies", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "that the one-hot labels are more appropriate as the targets for adversarial examples within a smaller", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 505, + 391 + ], + "score": 1.0, + "content": "neighborhood while become noisier under a larger perturbation budget and lead to overfitting. Sec-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "ond, we validate that the “hard” training examples with higher adversarial loss values are consistent", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "across different models. We first train two independent networks (using the same architecture and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "different random seeds) by PGD-AT and calculate the adversarial loss for each training sample. We", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "show the adversarial losses on 500 samples sorted by the loss of the first model in Fig. 7(c). It can", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 446 + ], + "score": 1.0, + "content": "be seen that the samples with lower adversarial losses of the first model also have relatively lower", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "losses of the second one and vice versa. We further quantitatively measure the consistency of the ad-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 468 + ], + "score": 1.0, + "content": "versarial losses of all training samples between the two models using the Kendall’s rank coefficient", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "(Kendall, 1938), which is 0.85 in this case. A similar result can be observed for two different model", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 476, + 504, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 504, + 489 + ], + "score": 1.0, + "content": "architectures (see Appendix C.1). The results verify that the “hard” training examples with possibly", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 488, + 496, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 496, + 500 + ], + "score": 1.0, + "content": "noisy labels are intrinsic of a dataset, supporting our hypothesis on why robust overfitting occurs.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 345, + 506, + 500 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 512, + 281, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 511, + 283, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 283, + 524 + ], + "score": 1.0, + "content": "4.2 MITIGATING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 530, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 541 + ], + "score": 1.0, + "content": "Based on the above analysis, we resort to the methods that are less prone to overfit noisy labels for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "mitigating robust overfitting in AT. Although learning with noisy labels has been broadly studied in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 551, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 565 + ], + "score": 1.0, + "content": "ST (Natarajan et al., 2013; Patrini et al., 2017; Jiang et al., 2018; Han et al., 2018; Zhang & Sabuncu,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 563, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 575 + ], + "score": 1.0, + "content": "2018), we find that most of these approaches are not suitable for AT. For example, a typical line of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "methods filter out noisy samples and train the models on the identified clean samples (Jiang et al.,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "2018; Han et al., 2018; Ren et al., 2018). However, they will neglect a portion of training data with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "noisy labels, which can lead to inferior results for AT due to the reduction of training data (Schmidt", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 607, + 325, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 325, + 618 + ], + "score": 1.0, + "content": "et al., 2018). Table 2 shows the results to validate this.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 531, + 505, + 618 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 624, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "To address this problem, we propose to regularize the predictions of adversarial examples from being", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "over-confident by integrating the temporal ensembling (TE) approach (Laine & Aila, 2017) into", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 505, + 658 + ], + "score": 1.0, + "content": "the AT frameworks. TE maintains an ensemble prediction of each data and penalizes the difference", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "between the current prediction and the ensemble prediction, which is effective for semi-supervised", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "learning and learning with noisy labels (Laine & Aila, 2017). We think that TE is suitable for AT", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 680, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 690 + ], + "score": 1.0, + "content": "since it enables to leverage all training samples and hinders the network from excessive memoriza-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 690, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 505, + 702 + ], + "score": 1.0, + "content": "tion of one-hot labels with a regularization term. Specifically, we denote the ensemble prediction of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 176, + 393 + ], + "score": 1.0, + "content": "a training sample", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 177, + 383, + 187, + 392 + ], + "score": 0.85, + "content": "\\mathbf { x } _ { i }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 188, + 380, + 198, + 393 + ], + "score": 1.0, + "content": "as", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 199, + 383, + 210, + 393 + ], + "score": 0.87, + "content": "\\mathbf { p } _ { i }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 210, + 380, + 383, + 393 + ], + "score": 1.0, + "content": ", which is updated in each training epoch as", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 383, + 380, + 502, + 393 + ], + "score": 0.92, + "content": "\\mathbf { p } _ { i } \\eta \\cdot \\mathbf { p } _ { i } + ( 1 - \\eta ) \\cdot f _ { \\pmb { \\theta } } ( \\mathbf { x } _ { i } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 502, + 380, + 505, + 393 + ], + "score": 1.0, + "content": ",", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 390, + 492, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 133, + 405 + ], + "score": 1.0, + "content": "where", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 133, + 394, + 140, + 403 + ], + "score": 0.81, + "content": "\\eta", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 140, + 390, + 492, + 405 + ], + "score": 1.0, + "content": "is the momentum term. The training objective of PGD-AT with TE can be expressed as", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 623, + 506, + 702 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 102, + 504, + 362 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 69, + 505, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 69, + 504, + 80 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 189, + 80 + ], + "score": 1.0, + "content": "Table 1: Test accuracy", + "type": "text" + }, + { + "bbox": [ + 189, + 70, + 203, + 79 + ], + "score": 0.72, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 69, + 451, + 80 + ], + "score": 1.0, + "content": "of several methods on CIFAR-10, CIFAR-100, and SVHN under the", + "type": "text" + }, + { + "bbox": [ + 452, + 70, + 464, + 79 + ], + "score": 0.86, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 69, + 504, + 80 + ], + "score": 1.0, + "content": "norm with", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 79, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 107, + 79, + 147, + 90 + ], + "score": 0.91, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 79, + 505, + 90 + ], + "score": 1.0, + "content": "based on the ResNet-18 architecture. 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MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE83.75 84.82 -1.0782.35 82.79 -0.44[52.64 44.92 7.7255.79 54.83 0.96[51.22 42.74 8.4854.65 53.30 1.35|50.11 43.63 7.4852.30 51.73 0.57|47.74 41.84 5.9050.59 49.62 0.97
TRADESTRADES+TE[81.19 82.48 -1.29|83.86 83.97 -0.11[53.32 50.25 3.0755.15 54.42 0.73[52.44 48.67 3.7753.74 53.03 0.71|49.88 48.14 1.74|50.77 50.63 0.1449.03 46.80 2.2349.77 49.20 0.57
(a) The evaluation results on CIFAR-10.
MethodNatural AccuracyBest FinalDiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE57.54 57.510.0356.45 57.12 -0.6729.40 21.75 7.6531.74 30.24 1.5028.54 20.63 7.9131.27 29.80 1.4727.06 21.17 5.8928.27 27.36 0.9124.72 19.34 5.3826.30 25.34 0.96
TRADESTRADES+TE57.98 56.321.6659.35 58.72 0.63|29.93 27.70 2.23|31.09 30.12 0.9729.51 26.93 2.58|230.54 29.45 1.09[25.46 24.42 1.04|26.61 25.94 0.6724.6123.40 1.2125.27 24.55 0.72
(b) The evaluation results on CIFAR-100.
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE89.00 90.55 -1.5590.09 90.91 -0.82[54.51 46.97 7.5459.74 59.05 0.69[52.22 42.85 9.3757.7156.46 1.2548.66 44.13 4.5354.5553.94 0.6146.61 38.24 8.3751.44 50.61 0.83
TRADESTRADES+TE90.88 91.30 -0.4289.01 88.52 0.49[59.50 57.04 2.4659.81 58.49 1.32[52.78 50.17 2.6158.24 56.66 1.58[52.76 50.53 2.2354.00 53.24 0.7640.36 38.88 1.4851.45 50.16 1.29
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TE can", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "be similarly integrated with TRADES with the same regularization term. The network would learn", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 466, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 479 + ], + "score": 1.0, + "content": "to fit relatively easy samples with one-hot labels in the initial training stage, as shown in Fig. 7(a).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "After the learning rate decays, the network can keep assigning low confidence for hard samples with", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "the regularization term in Eq. (7) and avoid fitting one-hot labels. Therefore, the proposed algorithm", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 498, + 447, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 447, + 511 + ], + "score": 1.0, + "content": "enables to learn under label noise in AT and alleviates the robust overfitting problem.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5 + }, + { + "type": "title", + "bbox": [ + 108, + 523, + 451, + 534 + ], + "lines": [ + { + "bbox": [ + 105, + 522, + 453, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 453, + 536 + ], + "score": 1.0, + "content": "5 EMPIRICAL EVALUATION ON MITIGATING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 544, + 505, + 578 + ], + "lines": [ + { + "bbox": [ + 105, + 544, + 505, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 505, + 556 + ], + "score": 1.0, + "content": "In this section, we provide the experimental results on CIFAR-10, CIFAR-100 (Krizhevsky & Hin-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "ton, 2009), and SVHN (Netzer et al., 2011) datasets to validate the effectiveness of our proposed", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 565, + 485, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 485, + 579 + ], + "score": 1.0, + "content": "method. Code is available at https://github.com/dongyp13/memorization-AT.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 432, + 596 + ], + "score": 1.0, + "content": "Training details. We adopt the common setting that the perturbation budget is", + "type": "text" + }, + { + "bbox": [ + 432, + 583, + 478, + 595 + ], + "score": 0.9, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "under", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 121, + 607 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 121, + 594, + 135, + 605 + ], + "score": 0.89, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "norm in most experiments. We consider PGD-AT and TRADES as two typical AT baselines", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "and integrate the proposed TE approach into them, respectively. We use the ResNet-18 (He et al.,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 614, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 630 + ], + "score": 1.0, + "content": "2016) model as the classifier in most experiments. In training, we use the 10-step PGD adversary", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 126, + 640 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 627, + 173, + 639 + ], + "score": 0.93, + "content": "\\alpha = 2 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 626, + 505, + 640 + ], + "score": 1.0, + "content": ". The models are trained via the SGD optimizer with momentum 0.9, weight decay", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "0.0005, and batch size 128. For CIFAR-10/100, we set the learning rate as 0.1 initially which is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "decayed by 0.1 at 100 and 150 epochs with totally 200 training epochs. For SVHN, the learning rate", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "starts from 0.01 with a cosine annealing schedule for a total number of 80 training epochs. In our", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 670, + 474, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 170, + 683 + ], + "score": 1.0, + "content": "method, We set", + "type": "text" + }, + { + "bbox": [ + 170, + 671, + 203, + 682 + ], + "score": 0.91, + "content": "\\eta = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 670, + 221, + 683 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 221, + 671, + 253, + 681 + ], + "score": 0.89, + "content": "w = 3 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 670, + 474, + 683 + ], + "score": 1.0, + "content": "along a Gaussian ramp-up curve (Laine & Aila, 2017).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "score": 1.0, + "content": "Evaluation results. We adopt PGD-10, PGD-1000, C&W-1000 (Carlini & Wagner, 2017), and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "AutoAttack (Croce & Hein, 2020b) for evaluating adversarial robustness rigorously. AutoAttack is", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "a strong attack to evaluate model robustness, which is composed of an ensemble of diverse attacks,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "including APGD-CE (Croce & Hein, 2020b), APGD-DLR (Croce & Hein, 2020b), FAB (Croce", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5 + } + ], + "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 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 102, + 504, + 362 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 69, + 505, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 69, + 504, + 80 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 189, + 80 + ], + "score": 1.0, + "content": "Table 1: Test accuracy", + "type": "text" + }, + { + "bbox": [ + 189, + 70, + 203, + 79 + ], + "score": 0.72, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 69, + 451, + 80 + ], + "score": 1.0, + "content": "of several methods on CIFAR-10, CIFAR-100, and SVHN under the", + "type": "text" + }, + { + "bbox": [ + 452, + 70, + 464, + 79 + ], + "score": 0.86, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 69, + 504, + 80 + ], + "score": 1.0, + "content": "norm with", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 79, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 107, + 79, + 147, + 90 + ], + "score": 0.91, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 79, + 505, + 90 + ], + "score": 1.0, + "content": "based on the ResNet-18 architecture. 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MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE83.75 84.82 -1.0782.35 82.79 -0.44[52.64 44.92 7.7255.79 54.83 0.96[51.22 42.74 8.4854.65 53.30 1.35|50.11 43.63 7.4852.30 51.73 0.57|47.74 41.84 5.9050.59 49.62 0.97
TRADESTRADES+TE[81.19 82.48 -1.29|83.86 83.97 -0.11[53.32 50.25 3.0755.15 54.42 0.73[52.44 48.67 3.7753.74 53.03 0.71|49.88 48.14 1.74|50.77 50.63 0.1449.03 46.80 2.2349.77 49.20 0.57
(a) The evaluation results on CIFAR-10.
MethodNatural AccuracyBest FinalDiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE57.54 57.510.0356.45 57.12 -0.6729.40 21.75 7.6531.74 30.24 1.5028.54 20.63 7.9131.27 29.80 1.4727.06 21.17 5.8928.27 27.36 0.9124.72 19.34 5.3826.30 25.34 0.96
TRADESTRADES+TE57.98 56.321.6659.35 58.72 0.63|29.93 27.70 2.23|31.09 30.12 0.9729.51 26.93 2.58|230.54 29.45 1.09[25.46 24.42 1.04|26.61 25.94 0.6724.6123.40 1.2125.27 24.55 0.72
(b) The evaluation results on CIFAR-100.
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE89.00 90.55 -1.5590.09 90.91 -0.82[54.51 46.97 7.5459.74 59.05 0.69[52.22 42.85 9.3757.7156.46 1.2548.66 44.13 4.5354.5553.94 0.6146.61 38.24 8.3751.44 50.61 0.83
TRADESTRADES+TE90.88 91.30 -0.4289.01 88.52 0.49[59.50 57.04 2.4659.81 58.49 1.32[52.78 50.17 2.6158.24 56.66 1.58[52.76 50.53 2.2354.00 53.24 0.7640.36 38.88 1.4851.45 50.16 1.29
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TE can", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "be similarly integrated with TRADES with the same regularization term. 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Code is available at https://github.com/dongyp13/memorization-AT.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 544, + 505, + 579 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 432, + 596 + ], + "score": 1.0, + "content": "Training details. We adopt the common setting that the perturbation budget is", + "type": "text" + }, + { + "bbox": [ + 432, + 583, + 478, + 595 + ], + "score": 0.9, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "under", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 121, + 607 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 121, + 594, + 135, + 605 + ], + "score": 0.89, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "norm in most experiments. We consider PGD-AT and TRADES as two typical AT baselines", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "and integrate the proposed TE approach into them, respectively. We use the ResNet-18 (He et al.,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 614, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 630 + ], + "score": 1.0, + "content": "2016) model as the classifier in most experiments. 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For CIFAR-10/100, we set the learning rate as 0.1 initially which is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 662 + ], + "score": 1.0, + "content": "decayed by 0.1 at 100 and 150 epochs with totally 200 training epochs. For SVHN, the learning rate", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "starts from 0.01 with a cosine annealing schedule for a total number of 80 training epochs. In our", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 670, + 474, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 170, + 683 + ], + "score": 1.0, + "content": "method, We set", + "type": "text" + }, + { + "bbox": [ + 170, + 671, + 203, + 682 + ], + "score": 0.91, + "content": "\\eta = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 670, + 221, + 683 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 221, + 671, + 253, + 681 + ], + "score": 0.89, + "content": "w = 3 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 670, + 474, + 683 + ], + "score": 1.0, + "content": "along a Gaussian ramp-up curve (Laine & Aila, 2017).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 582, + 506, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 506, + 700 + ], + "score": 1.0, + "content": "Evaluation results. We adopt PGD-10, PGD-1000, C&W-1000 (Carlini & Wagner, 2017), and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "AutoAttack (Croce & Hein, 2020b) for evaluating adversarial robustness rigorously. AutoAttack is", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "a strong attack to evaluate model robustness, which is composed of an ensemble of diverse attacks,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "including APGD-CE (Croce & Hein, 2020b), APGD-DLR (Croce & Hein, 2020b), FAB (Croce", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "& Hein, 2020a), and Square attack (Andriushchenko et al., 2020). To show the performance of", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "robust overfitting, we report the test accuracy on the best checkpoint that achieves the highest robust", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "test accuracy under PGD-10 and the final checkpoint, as well as the difference between these two", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "checkpoints. The results of PGD-AT, TRADES, and the combinations of them with our proposed", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 218, + 139 + ], + "score": 1.0, + "content": "approach (denoted as PGD-", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 218, + 126, + 250, + 137 + ], + "score": 0.58, + "content": "\\mathbf { A T + T E }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 250, + 126, + 307, + 139 + ], + "score": 1.0, + "content": "and TRADES", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 307, + 127, + 327, + 137 + ], + "score": 0.48, + "content": "{ \\bf \\nabla } + { \\bf T } { \\bf E }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 327, + 126, + 506, + 139 + ], + "score": 1.0, + "content": ") on the CIFAR-10, CIFAR-100, and SVHN", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 228, + 148 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 228, + 148 + ], + "score": 1.0, + "content": "datasets are shown in Table 1.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 686, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 148 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "& Hein, 2020a), and Square attack (Andriushchenko et al., 2020). To show the performance of", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "robust overfitting, we report the test accuracy on the best checkpoint that achieves the highest robust", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "test accuracy under PGD-10 and the final checkpoint, as well as the difference between these two", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "checkpoints. The results of PGD-AT, TRADES, and the combinations of them with our proposed", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 218, + 139 + ], + "score": 1.0, + "content": "approach (denoted as PGD-", + "type": "text" + }, + { + "bbox": [ + 218, + 126, + 250, + 137 + ], + "score": 0.58, + "content": "\\mathbf { A T + T E }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 126, + 307, + 139 + ], + "score": 1.0, + "content": "and TRADES", + "type": "text" + }, + { + "bbox": [ + 307, + 127, + 327, + 137 + ], + "score": 0.48, + "content": "{ \\bf \\nabla } + { \\bf T } { \\bf E }", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 126, + 506, + 139 + ], + "score": 1.0, + "content": ") on the CIFAR-10, CIFAR-100, and SVHN", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 228, + 148 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 228, + 148 + ], + "score": 1.0, + "content": "datasets are shown in Table 1.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 154, + 257, + 317 + ], + "lines": [ + { + "bbox": [ + 106, + 153, + 258, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 153, + 258, + 165 + ], + "score": 1.0, + "content": "We can observe that the differences", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 257, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 257, + 177 + ], + "score": 1.0, + "content": "between best and final test accuracies", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 258, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 258, + 187 + ], + "score": 1.0, + "content": "of our method are reduced to around", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 186, + 258, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 121, + 198 + ], + "score": 0.84, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 186, + 258, + 200 + ], + "score": 1.0, + "content": ", while the accuracy gaps of PGD-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 197, + 257, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 197, + 257, + 210 + ], + "score": 1.0, + "content": "AT and TRADES are much larger.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 208, + 258, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 258, + 222 + ], + "score": 1.0, + "content": "It indicates that our method largely", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 258, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 258, + 232 + ], + "score": 1.0, + "content": "eliminates robust overfitting. Due to", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 230, + 258, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 258, + 243 + ], + "score": 1.0, + "content": "being less affected by robust over-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 242, + 258, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 258, + 253 + ], + "score": 1.0, + "content": "fitting, our method achieves higher", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 253, + 257, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 257, + 264 + ], + "score": 1.0, + "content": "robust accuracies than the baselines.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 258, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 258, + 275 + ], + "score": 1.0, + "content": "We also show the learning curves of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 275, + 258, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 258, + 286 + ], + "score": 1.0, + "content": "these methods in Fig. 8. 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Our method is kind of similar to the label smooth-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "ing (LS) technique, which is studied in AT (Pang et al., 2021). Recent works have also introduced", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "the smoothness in training labels and model weights (Chen et al., 2021; Huang et al., 2020), which", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "score": 1.0, + "content": "can alleviate robust overfitting to some extent. 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MethodNatural Accuracy Best Final 1DiffPGD-10 BestFinal DiffPGD-1000 Best Final DiffC&W-1000 BestFinal DiffAutoAttack Best Final Diff
PGD-AT83.75 84.82 -1.0752.64 44.927.7251.2242.74 8.48[50.11 43.63 7.4847.74 41.84 5.90
PGD-AT+LS82.68 85.16 -2.4853.70 48.90 4.8052.564 46.316.2550.41 46.06 4.3549.02 44.39 4.63
SAT82.81 81.86 0.9553.81 53.310.5052.41 52.000.4151.99 51.7150.214
KD-SWA84.84 85.26 -0.4254.890.2849.73 0.48
Co-teaching53.801.0953.31 52.450.8651.48 50.910.5750.42 49.83 0.59
81.94 82.22 -0.2851.27 50.520.7550.15 49.121.0350.85 49.86 0.9949.60 48.49 1.11
PGD-AT+TE82.35 82.79 -0.4455.7954.83 0.9654.65 53.30 1.3552.30 51.73 0.5750.59 49.62 0.97
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Our method is kind of similar to the label smooth-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "ing (LS) technique, which is studied in AT (Pang et al., 2021). Recent works have also introduced", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "the smoothness in training labels and model weights (Chen et al., 2021; Huang et al., 2020), which", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "score": 1.0, + "content": "can alleviate robust overfitting to some extent. 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MethodNatural Accuracy Best Final 1DiffPGD-10 BestFinal DiffPGD-1000 Best Final DiffC&W-1000 BestFinal DiffAutoAttack Best Final Diff
PGD-AT83.75 84.82 -1.0752.64 44.927.7251.2242.74 8.48[50.11 43.63 7.4847.74 41.84 5.90
PGD-AT+LS82.68 85.16 -2.4853.70 48.90 4.8052.564 46.316.2550.41 46.06 4.3549.02 44.39 4.63
SAT82.81 81.86 0.9553.81 53.310.5052.41 52.000.4151.99 51.7150.214
KD-SWA84.84 85.26 -0.4254.890.2849.73 0.48
Co-teaching53.801.0953.31 52.450.8651.48 50.910.5750.42 49.83 0.59
81.94 82.22 -0.2851.27 50.520.7550.15 49.121.0350.85 49.86 0.9949.60 48.49 1.11
PGD-AT+TE82.35 82.79 -0.4455.7954.83 0.9654.65 53.30 1.3552.30 51.73 0.5750.59 49.62 0.97
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Some", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 294 + ], + "score": 1.0, + "content": "findings in this paper can be analyzed more deeply, including theoretical analysis of AT convergence,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 292, + 313, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 313, + 303 + ], + "score": 1.0, + "content": "generalization, etc., which we leave to future work.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 214, + 505, + 303 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 320, + 268, + 333 + ], + "lines": [ + { + "bbox": [ + 106, + 319, + 269, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 269, + 334 + ], + "score": 1.0, + "content": "REPRODUCIBILITY STATEMENT", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 504, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 343, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 506, + 358 + ], + "score": 1.0, + "content": "Most of the experiments are easily reproducible. 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Similar to Fig. 2, we show the accuracy curves of PGD-AT and TRADES when trained on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "score": 1.0, + "content": "true or random labels on CIFAR-100 (Krizhevsky & Hinton, 2009) in Fig. A.1 and on SVHN (Netzer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "et al., 2011) in Fig. A.2. We consistently observe that PGD-AT fails to converge with random labels,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 670, + 495, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 386, + 683 + ], + "score": 1.0, + "content": "while TRADES can successfully converge, although it does not reach", + "type": "text" + }, + { + "bbox": [ + 386, + 671, + 411, + 681 + ], + "score": 0.88, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 670, + 495, + 683 + ], + "score": 1.0, + "content": "accuracy on SVHN.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "Model architectures. We then consider other network architectures, including the DenseNet-121", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "model (Huang et al., 2017) and the deep layer aggregation (DLA) model (Yu et al., 2018). The", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "corresponding results are shown in Fig. A.3. The similar results can be observed, although it may", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 720, + 489, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 489, + 732 + ], + "score": 1.0, + "content": "take more training epochs to make TRADES converge with the smaller DenseNet-121 network.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + } + ], + "page_idx": 15, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "16", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 406, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 407, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 407, + 95 + ], + "score": 1.0, + "content": "A ADDITIONAL EXPERIMENTS ON MEMORIZATION IN AT", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 140 + ], + "lines": [ + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "score": 1.0, + "content": "In this section, we provide additional experiments on the memorization behavior in AT. All of the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 130 + ], + "score": 1.0, + "content": "experiments are conducted on NVIDIA 2080 Ti GPUs. The source code of this paper is submitted", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 412, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 412, + 142 + ], + "score": 1.0, + "content": "as the supplementary material, and will be released after the review process.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 106, + 506, + 142 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 153, + 324, + 165 + ], + "lines": [ + { + "bbox": [ + 106, + 153, + 324, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 153, + 324, + 166 + ], + "score": 1.0, + "content": "A.1 MEMORIZATION OF PGD-AT AND TRADES", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "title", + "bbox": [ + 108, + 174, + 280, + 186 + ], + "lines": [ + { + "bbox": [ + 106, + 174, + 281, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 281, + 187 + ], + "score": 1.0, + "content": "A.1.1 DIFFERENT TRAINING SETTINGS", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 194, + 504, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 194, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 505, + 206 + ], + "score": 1.0, + "content": "We first demonstrate that the different memorization behaviors between PGD-AT and TRADES can", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 205, + 288, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 288, + 218 + ], + "score": 1.0, + "content": "be generally observed under various settings.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5, + "bbox_fs": [ + 106, + 194, + 505, + 218 + ] + }, + { + "type": "image", + "bbox": [ + 120, + 226, + 492, + 387 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 120, + 226, + 492, + 387 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 226, + 492, + 387 + ], + "spans": [ + { + "bbox": [ + 120, + 226, + 492, + 387 + ], + "score": 0.97, + "type": "image", + "image_path": "f19db38b34f9d21f917d4e7209797991e6d8022a18684aa1716a72f9d5bb1b70.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 120, + 226, + 492, + 279.6666666666667 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 120, + 279.6666666666667, + 492, + 333.33333333333337 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 120, + 333.33333333333337, + 492, + 387.00000000000006 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 396, + 505, + 417 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 407 + ], + "score": 1.0, + "content": "Figure A.1: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-100 when trained", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 406, + 199, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 199, + 416 + ], + "score": 1.0, + "content": "on true or random labels.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + } + ], + "index": 10.25 + }, + { + "type": "image", + "bbox": [ + 120, + 434, + 491, + 595 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 120, + 434, + 491, + 595 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 120, + 434, + 491, + 595 + ], + "spans": [ + { + "bbox": [ + 120, + 434, + 491, + 595 + ], + "score": 0.969, + "type": "image", + "image_path": "ab43ab6fdf6a00ae48be8412a6bf692a54f127080bef5aa0f6acc1017767cdf9.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 120, + 434, + 491, + 487.6666666666667 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 120, + 487.6666666666667, + 491, + 541.3333333333334 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 120, + 541.3333333333334, + 491, + 595.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 604, + 503, + 625 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 604, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 505, + 615 + ], + "score": 1.0, + "content": "Figure A.2: The natural and robust training accuracies of PGD-AT and TRADES on SVHN when trained on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 615, + 187, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 187, + 625 + ], + "score": 1.0, + "content": "true or random labels.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 106, + 637, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "Datasets. Similar to Fig. 2, we show the accuracy curves of PGD-AT and TRADES when trained on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 661 + ], + "score": 1.0, + "content": "true or random labels on CIFAR-100 (Krizhevsky & Hinton, 2009) in Fig. A.1 and on SVHN (Netzer", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "et al., 2011) in Fig. A.2. We consistently observe that PGD-AT fails to converge with random labels,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 670, + 495, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 386, + 683 + ], + "score": 1.0, + "content": "while TRADES can successfully converge, although it does not reach", + "type": "text" + }, + { + "bbox": [ + 386, + 671, + 411, + 681 + ], + "score": 0.88, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 670, + 495, + 683 + ], + "score": 1.0, + "content": "accuracy on SVHN.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 637, + 506, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "Model architectures. We then consider other network architectures, including the DenseNet-121", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "model (Huang et al., 2017) and the deep layer aggregation (DLA) model (Yu et al., 2018). The", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "corresponding results are shown in Fig. A.3. The similar results can be observed, although it may", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 720, + 489, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 489, + 732 + ], + "score": 1.0, + "content": "take more training epochs to make TRADES converge with the smaller DenseNet-121 network.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 687, + 505, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 120, + 78, + 492, + 239 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 120, + 78, + 492, + 239 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 120, + 78, + 492, + 239 + ], + "spans": [ + { + "bbox": [ + 120, + 78, + 492, + 239 + ], + "score": 0.973, + "type": "image", + "image_path": "d5eda5387f2599f593cc865fb51b857942018ca28c5b08dc4d08e7ea117e0822.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 120, + 78, + 492, + 131.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 120, + 131.66666666666666, + 492, + 185.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 120, + 185.33333333333331, + 492, + 238.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 248, + 504, + 269 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 248, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 260 + ], + "score": 1.0, + "content": "Figure A.3: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 with different", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 259, + 269, + 270 + ], + "spans": [ + { + "bbox": [ + 107, + 259, + 269, + 270 + ], + "score": 1.0, + "content": "architectures when trained on random labels.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "image", + "bbox": [ + 215, + 282, + 394, + 424 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 215, + 282, + 394, + 424 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 215, + 282, + 394, + 424 + ], + "spans": [ + { + "bbox": [ + 215, + 282, + 394, + 424 + ], + "score": 0.962, + "type": "image", + "image_path": "0dd2be9978c8615aa93dca9fe22a4a57d6426eb8bbad4886efdf4abf22fbf040.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 215, + 282, + 394, + 294.90909090909093 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 215, + 294.90909090909093, + 394, + 307.81818181818187 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 215, + 307.81818181818187, + 394, + 320.7272727272728 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 215, + 320.7272727272728, + 394, + 333.63636363636374 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 215, + 333.63636363636374, + 394, + 346.5454545454547 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 215, + 346.5454545454547, + 394, + 359.4545454545456 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 215, + 359.4545454545456, + 394, + 372.36363636363654 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 215, + 372.36363636363654, + 394, + 385.2727272727275 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 215, + 385.2727272727275, + 394, + 398.1818181818184 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 215, + 398.1818181818184, + 394, + 411.09090909090935 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 215, + 411.09090909090935, + 394, + 424.0000000000003 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 433, + 504, + 454 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 433, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 444 + ], + "score": 1.0, + "content": "Figure A.4: The natural and robust training accuracies of PGD-AT and TRADES on CIFAR-10 under the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 444, + 301, + 453 + ], + "spans": [ + { + "bbox": [ + 107, + 444, + 115, + 453 + ], + "score": 0.84, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 444, + 301, + 453 + ], + "score": 1.0, + "content": "-norm threat model when trained on random labels.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + } + ], + "index": 13.25 + }, + { + "type": "text", + "bbox": [ + 106, + 477, + 505, + 510 + ], + "lines": [ + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 273, + 489 + ], + "score": 1.0, + "content": "Threat models. We further consider the", + "type": "text" + }, + { + "bbox": [ + 273, + 477, + 283, + 488 + ], + "score": 0.88, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 476, + 432, + 489 + ], + "score": 1.0, + "content": "-norm threat model, in which we set", + "type": "text" + }, + { + "bbox": [ + 432, + 478, + 466, + 488 + ], + "score": 0.89, + "content": "\\epsilon = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 476, + 484, + 489 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 485, + 478, + 505, + 488 + ], + "score": 0.83, + "content": "\\alpha =", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "score": 1.0, + "content": "0.25 in the 10-step PGD adversary. The learning curves of PGD-AT and TRADES are shown in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 498, + 281, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 281, + 511 + ], + "score": 1.0, + "content": "Fig. A.4, which also exhibit similar results.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 516, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 106, + 516, + 504, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 504, + 527 + ], + "score": 1.0, + "content": "Perturbation budget. We study the memorization behavior in AT with different perturbation bud-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 527, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 124, + 539 + ], + "score": 1.0, + "content": "gets", + "type": "text" + }, + { + "bbox": [ + 125, + 529, + 131, + 537 + ], + "score": 0.26, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 527, + 366, + 539 + ], + "score": 1.0, + "content": ". In Fig. A.5, we show that when the perturbation budget is", + "type": "text" + }, + { + "bbox": [ + 366, + 527, + 415, + 538 + ], + "score": 0.84, + "content": "\\epsilon = 1 6 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 527, + 419, + 539 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 420, + 527, + 433, + 538 + ], + "score": 0.84, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 527, + 505, + 539 + ], + "score": 1.0, + "content": "norm), TRADES", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 537, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 447, + 551 + ], + "score": 1.0, + "content": "trained on random labels can still converge. But when we set a larger budget (e.g.,", + "type": "text" + }, + { + "bbox": [ + 447, + 538, + 500, + 550 + ], + "score": 0.85, + "content": "\\epsilon = 3 2 / 2 5 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 537, + 505, + 551 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 300, + 561 + ], + "score": 1.0, + "content": "both PGD-AT and TRADES cannot obtain near", + "type": "text" + }, + { + "bbox": [ + 300, + 549, + 324, + 559 + ], + "score": 0.87, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "robust training accuracy. We also find under", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 558, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 335, + 574 + ], + "score": 1.0, + "content": "this condition, even AT trained on true labels cannot get", + "type": "text" + }, + { + "bbox": [ + 335, + 560, + 360, + 570 + ], + "score": 0.87, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 558, + 506, + 574 + ], + "score": 1.0, + "content": "robust training accuracy, indicating", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 570, + 468, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 468, + 583 + ], + "score": 1.0, + "content": "that the gradient instability issue discussed in Sec. 3.2 results in the convergence problem.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 587, + 504, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "In summary, our empirical observation that PGD-AT and TRADES perform differently when trained", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 599, + 485, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 485, + 611 + ], + "score": 1.0, + "content": "on random labels is general across multiple datasets, network architectures, and threat models.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 106, + 624, + 364, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 365, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 365, + 636 + ], + "score": 1.0, + "content": "A.1.2 LEARNING CURVES UNDER DIFFERENT NOISE RATES", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "We show the learning curves of PGD-AT and TRADES under varying levels of label noise in", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "Fig. A.6 and Fig. A.7, respectively. In this experiment, we adopt the weight decay and data augmen-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 667, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 677 + ], + "score": 1.0, + "content": "tation for regularizations. We can see that the network achieves maximum accuracy on the test set", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "before fitting the noisy training set. Thus the model learns easy and simple patterns first before fit-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 687, + 504, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 484, + 700 + ], + "score": 1.0, + "content": "ting the noise, similar to the finding in ST (Arpit et al., 2017). It can also be observed that under", + "type": "text" + }, + { + "bbox": [ + 484, + 687, + 504, + 699 + ], + "score": 0.88, + "content": "8 0 \\%", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 699, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 395, + 710 + ], + "score": 1.0, + "content": "noise rate, PGD-AT fails to converge. Note that when the noise rate is", + "type": "text" + }, + { + "bbox": [ + 395, + 699, + 410, + 709 + ], + "score": 0.86, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 699, + 505, + 710 + ], + "score": 1.0, + "content": ", the network is trained", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "on true labels, but the robust test accuracy also decreases after a certain epoch. This phenomenon is", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 720, + 388, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 388, + 732 + ], + "score": 1.0, + "content": "called robust overfitting (Rice et al., 2020), which is studied in Sec. 4.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33.5 + } + ], + "page_idx": 16, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "17", + "type": "text" + } + ] + } + ] + } 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The learning curves of PGD-AT and TRADES are shown in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 498, + 281, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 281, + 511 + ], + "score": 1.0, + "content": "Fig. A.4, which also exhibit similar results.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 476, + 505, + 511 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 516, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 106, + 516, + 504, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 504, + 527 + ], + "score": 1.0, + "content": "Perturbation budget. We study the memorization behavior in AT with different perturbation bud-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 527, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 124, + 539 + ], + "score": 1.0, + "content": "gets", + "type": "text" + }, + { + "bbox": [ + 125, + 529, + 131, + 537 + ], + "score": 0.26, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 527, + 366, + 539 + ], + "score": 1.0, + "content": ". 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In this experiment, we adopt the weight decay and data augmen-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 667, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 505, + 677 + ], + "score": 1.0, + "content": "tation for regularizations. We can see that the network achieves maximum accuracy on the test set", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "before fitting the noisy training set. Thus the model learns easy and simple patterns first before fit-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 687, + 504, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 484, + 700 + ], + "score": 1.0, + "content": "ting the noise, similar to the finding in ST (Arpit et al., 2017). It can also be observed that under", + "type": "text" + }, + { + "bbox": [ + 484, + 687, + 504, + 699 + ], + "score": 0.88, + "content": "8 0 \\%", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 699, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 395, + 710 + ], + "score": 1.0, + "content": "noise rate, PGD-AT fails to converge. Note that when the noise rate is", + "type": "text" + }, + { + "bbox": [ + 395, + 699, + 410, + 709 + ], + "score": 0.86, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 699, + 505, + 710 + ], + "score": 1.0, + "content": ", the network is trained", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "on true labels, but the robust test accuracy also decreases after a certain epoch. 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randomXXX99.3686.109.710.2489.6585.86
randomXX99.8499.5310.130.2389.7199.30
randomXX99.1592.239.040.1790.1192.06
randomX99.2569.629.670.2489.5869.38
random×99.3881.579.540.1989.8481.38
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We adopt the weaker FGSM adversary (Goodfellow et al., 2015) for training.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 142, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "We also adopt the random initialization trick as argued in Wong et al. (2020) and adjust the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 190, + 335 + ], + "score": 1.0, + "content": "step size as", + "type": "text" + }, + { + "bbox": [ + 190, + 322, + 240, + 334 + ], + "score": 0.88, + "content": "\\alpha = 1 0 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 322, + 505, + 335 + ], + "score": 1.0, + "content": ", yielding the fast adversarial training method (Wong et al., 2020).", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 332, + 302, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 302, + 347 + ], + "score": 1.0, + "content": "However, fast AT still cannot converge.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 134, + 351, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 133, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 133, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "• Optimizer. We try to use various optimizers, including the SGD momentum optimizer,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 361, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 141, + 361, + 505, + 375 + ], + "score": 1.0, + "content": "the Adam optimizer (Kingma & Ba, 2015), and the nesterov optimizer (Nesterov, 1983);", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 373, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 141, + 373, + 506, + 386 + ], + "score": 1.0, + "content": "different learning rate schedules, including the piecewise decay and cosine schedules, and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 141, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "different learning rates (0.1 and 0.01), but none of these attempts make PGD-AT converge.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 134, + 402, + 504, + 457 + ], + "lines": [ + { + "bbox": [ + 133, + 400, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 133, + 400, + 331, + 414 + ], + "score": 1.0, + "content": "• Perturbation budget. The perturbation budget", + "type": "text" + }, + { + "bbox": [ + 331, + 404, + 337, + 411 + ], + "score": 0.72, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 400, + 505, + 414 + ], + "score": 1.0, + "content": "is an important factor to affect the conver-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 412, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 141, + 412, + 243, + 425 + ], + "score": 1.0, + "content": "gence of PGD-AT. When", + "type": "text" + }, + { + "bbox": [ + 243, + 414, + 249, + 422 + ], + "score": 0.42, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 412, + 506, + 425 + ], + "score": 1.0, + "content": "approaches 0, PGD-AT would degenerate into standard training,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 141, + 423, + 461, + 435 + ], + "score": 1.0, + "content": "which can easily converge (Zhang et al., 2017). Hence we try different values of", + "type": "text" + }, + { + "bbox": [ + 462, + 426, + 467, + 433 + ], + "score": 0.64, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 423, + 505, + 435 + ], + "score": 1.0, + "content": ", and find", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 433, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 141, + 433, + 315, + 447 + ], + "score": 1.0, + "content": "that PGD-AT can converge with a smaller", + "type": "text" + }, + { + "bbox": [ + 315, + 437, + 321, + 444 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 433, + 345, + 447 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 346, + 434, + 393, + 446 + ], + "score": 0.89, + "content": "\\epsilon = 1 / 2 5 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 433, + 505, + 447 + ], + "score": 1.0, + "content": "but cannot converge when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 445, + 190, + 457 + ], + "spans": [ + { + "bbox": [ + 142, + 445, + 186, + 457 + ], + "score": 0.88, + "content": "\\epsilon \\geq 2 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 445, + 190, + 457 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + }, + { + "type": "title", + "bbox": [ + 107, + 472, + 356, + 483 + ], + "lines": [ + { + "bbox": [ + 106, + 472, + 357, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 357, + 484 + ], + "score": 1.0, + "content": "A.2.2 GRADIENT STABILITY UNDER COSINE SIMILARITY", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 504, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 493, + 504 + ], + "score": 1.0, + "content": "In Fig. 4(a), we show the gradient change of PGD-AT, TRADES, and the clean CE loss under the", + "type": "text" + }, + { + "bbox": [ + 494, + 492, + 504, + 504 + ], + "score": 0.85, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 398, + 515 + ], + "score": 1.0, + "content": "distance. We further show the cosine similarity between the gradients at", + "type": "text" + }, + { + "bbox": [ + 398, + 504, + 405, + 513 + ], + "score": 0.65, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 503, + 423, + 515 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 504, + 455, + 514 + ], + "score": 0.91, + "content": "\\pm \\lambda \\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "in Fig. A.8.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 514, + 504, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 504, + 526 + ], + "score": 1.0, + "content": "The cosine similarity is also averaged over all data samples. The results based on cosine similarity", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 274, + 539 + ], + "score": 1.0, + "content": "are consistent with the results based on the", + "type": "text" + }, + { + "bbox": [ + 274, + 525, + 284, + 536 + ], + "score": 0.88, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 524, + 505, + 539 + ], + "score": 1.0, + "content": "distance, showing that the gradient of PGD-AT changes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 535, + 167, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 167, + 550 + ], + "score": 1.0, + "content": "more abruptly.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 563, + 358, + 574 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 359, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 359, + 575 + ], + "score": 1.0, + "content": "A.2.3 THE FAILURES OF AT UNDER REALISTIC SETTINGS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 582, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 582, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 504, + 595 + ], + "score": 1.0, + "content": "We find that some AT methods (e.g., PGD-AT) suffer from a gradient instability issue, which re-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "score": 1.0, + "content": "sults in the convergence problem when trained on random labels. Under other realistic setting, our", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 605, + 230, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 230, + 617 + ], + "score": 1.0, + "content": "analysis may also be valuable.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 267, + 634 + ], + "score": 1.0, + "content": "First, PGD-AT fails to converge under", + "type": "text" + }, + { + "bbox": [ + 267, + 622, + 287, + 632 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "noise rate. We think that the unstable gradients can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "overwhelm the useful gradients given by clean examples. To prove it, we train the models under", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 126, + 654 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "uniform label noise, by either PGD-AT or standard training (ST) on natural examples. We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "then select 100 training images with wrong labels and another 100 training images with true labels", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "for evaluation. Similarly, we calculate the gradient norm of the cross-entropy loss w.r.t. model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "parameters of each method. We show the results in Fig. A.9. For AT, the gradient norm of clean", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "examples is larger than that of noisy examples at beginning, which makes the model learn to classify.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "However, for PGD-AT, the gradient norm of clean examples is almost the same as that of noisy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "examples (the two curves overlap together). And the unstable gradients provided by noisy examples", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "score": 1.0, + "content": "would overwhelm the useful gradients given by clean examples, making the network fail to converge.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5 + } + ], + "page_idx": 18, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 301, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 120, + 501, + 277 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 80, + 505, + 111 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 80, + 506, + 92 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 360, + 92 + ], + "score": 1.0, + "content": "Table A.1: The training accuracy, test accuracy, and generalization gap", + "type": "text" + }, + { + "bbox": [ + 360, + 81, + 373, + 90 + ], + "score": 0.57, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 80, + 506, + 92 + ], + "score": 1.0, + "content": "of TRADES when trained on true or", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 90, + 505, + 102 + ], + "spans": [ + { + "bbox": [ + 105, + 90, + 505, + 102 + ], + "score": 1.0, + "content": "random labels, with and without explicit regularizations, including data augmentation (random crop and flip),", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 100, + 260, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 100, + 260, + 111 + ], + "score": 1.0, + "content": "weight decay (0.0002), and dropout (0.2).", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 108, + 120, + 501, + 277 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 120, + 501, + 277 + ], + "spans": [ + { + "bbox": [ + 108, + 120, + 501, + 277 + ], + "score": 0.984, + "html": "
LabelsData AugmentationWeight DecayDropoutTraining Accuracy NaturalRobustTest Accuracy Natural IRobustGeneralization Gap NaturalRobust
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true×X×99.5999.5377.3138.9422.2860.59
trueXX99.6599.4079.9639.8619.6959.54
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trueX99.4199.2080.2841.6419.1357.56
randomX×99.8099.559.790.1590.0199.40
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randomXX99.8499.5310.130.2389.7199.30
randomXX99.1592.239.040.1790.1192.06
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", + "type": "table", + "image_path": "791d2ed799ef8b7b51bcc7bc266eb8ea993a3f536538ad4820e8ea720f004e4d.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 108, + 120, + 501, + 172.33333333333334 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 108, + 172.33333333333334, + 501, + 224.66666666666669 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 108, + 224.66666666666669, + 501, + 277.0 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 134, + 300, + 504, + 345 + ], + "lines": [ + { + "bbox": [ + 133, + 298, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 133, + 298, + 505, + 314 + ], + "score": 1.0, + "content": "• Attack steps. We adopt the weaker FGSM adversary (Goodfellow et al., 2015) for training.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 142, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "We also adopt the random initialization trick as argued in Wong et al. (2020) and adjust the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 190, + 335 + ], + "score": 1.0, + "content": "step size as", + "type": "text" + }, + { + "bbox": [ + 190, + 322, + 240, + 334 + ], + "score": 0.88, + "content": "\\alpha = 1 0 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 322, + 505, + 335 + ], + "score": 1.0, + "content": ", yielding the fast adversarial training method (Wong et al., 2020).", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 332, + 302, + 347 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 302, + 347 + ], + "score": 1.0, + "content": "However, fast AT still cannot converge.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5, + "bbox_fs": [ + 133, + 298, + 505, + 347 + ] + }, + { + "type": "text", + "bbox": [ + 134, + 351, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 133, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 133, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "• Optimizer. We try to use various optimizers, including the SGD momentum optimizer,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 361, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 141, + 361, + 505, + 375 + ], + "score": 1.0, + "content": "the Adam optimizer (Kingma & Ba, 2015), and the nesterov optimizer (Nesterov, 1983);", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 373, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 141, + 373, + 506, + 386 + ], + "score": 1.0, + "content": "different learning rate schedules, including the piecewise decay and cosine schedules, and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 383, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 141, + 383, + 505, + 397 + ], + "score": 1.0, + "content": "different learning rates (0.1 and 0.01), but none of these attempts make PGD-AT converge.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 133, + 351, + 506, + 397 + ] + }, + { + "type": "text", + "bbox": [ + 134, + 402, + 504, + 457 + ], + "lines": [ + { + "bbox": [ + 133, + 400, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 133, + 400, + 331, + 414 + ], + "score": 1.0, + "content": "• Perturbation budget. The perturbation budget", + "type": "text" + }, + { + "bbox": [ + 331, + 404, + 337, + 411 + ], + "score": 0.72, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 400, + 505, + 414 + ], + "score": 1.0, + "content": "is an important factor to affect the conver-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 412, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 141, + 412, + 243, + 425 + ], + "score": 1.0, + "content": "gence of PGD-AT. When", + "type": "text" + }, + { + "bbox": [ + 243, + 414, + 249, + 422 + ], + "score": 0.42, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 412, + 506, + 425 + ], + "score": 1.0, + "content": "approaches 0, PGD-AT would degenerate into standard training,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 423, + 505, + 435 + ], + "spans": [ + { + "bbox": [ + 141, + 423, + 461, + 435 + ], + "score": 1.0, + "content": "which can easily converge (Zhang et al., 2017). Hence we try different values of", + "type": "text" + }, + { + "bbox": [ + 462, + 426, + 467, + 433 + ], + "score": 0.64, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 423, + 505, + 435 + ], + "score": 1.0, + "content": ", and find", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 433, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 141, + 433, + 315, + 447 + ], + "score": 1.0, + "content": "that PGD-AT can converge with a smaller", + "type": "text" + }, + { + "bbox": [ + 315, + 437, + 321, + 444 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 433, + 345, + 447 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 346, + 434, + 393, + 446 + ], + "score": 0.89, + "content": "\\epsilon = 1 / 2 5 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 433, + 505, + 447 + ], + "score": 1.0, + "content": "but cannot converge when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 445, + 190, + 457 + ], + "spans": [ + { + "bbox": [ + 142, + 445, + 186, + 457 + ], + "score": 0.88, + "content": "\\epsilon \\geq 2 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 445, + 190, + 457 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16, + "bbox_fs": [ + 133, + 400, + 506, + 457 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 472, + 356, + 483 + ], + "lines": [ + { + "bbox": [ + 106, + 472, + 357, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 357, + 484 + ], + "score": 1.0, + "content": "A.2.2 GRADIENT STABILITY UNDER COSINE SIMILARITY", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 504, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 493, + 504 + ], + "score": 1.0, + "content": "In Fig. 4(a), we show the gradient change of PGD-AT, TRADES, and the clean CE loss under the", + "type": "text" + }, + { + "bbox": [ + 494, + 492, + 504, + 504 + ], + "score": 0.85, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 398, + 515 + ], + "score": 1.0, + "content": "distance. We further show the cosine similarity between the gradients at", + "type": "text" + }, + { + "bbox": [ + 398, + 504, + 405, + 513 + ], + "score": 0.65, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 503, + 423, + 515 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 423, + 504, + 455, + 514 + ], + "score": 0.91, + "content": "\\pm \\lambda \\mathbf { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "in Fig. A.8.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 514, + 504, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 504, + 526 + ], + "score": 1.0, + "content": "The cosine similarity is also averaged over all data samples. The results based on cosine similarity", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 274, + 539 + ], + "score": 1.0, + "content": "are consistent with the results based on the", + "type": "text" + }, + { + "bbox": [ + 274, + 525, + 284, + 536 + ], + "score": 0.88, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 524, + 505, + 539 + ], + "score": 1.0, + "content": "distance, showing that the gradient of PGD-AT changes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 535, + 167, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 167, + 550 + ], + "score": 1.0, + "content": "more abruptly.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 492, + 505, + 550 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 563, + 358, + 574 + ], + "lines": [ + { + "bbox": [ + 106, + 562, + 359, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 359, + 575 + ], + "score": 1.0, + "content": "A.2.3 THE FAILURES OF AT UNDER REALISTIC SETTINGS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 582, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 106, + 582, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 504, + 595 + ], + "score": 1.0, + "content": "We find that some AT methods (e.g., PGD-AT) suffer from a gradient instability issue, which re-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "score": 1.0, + "content": "sults in the convergence problem when trained on random labels. Under other realistic setting, our", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 605, + 230, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 230, + 617 + ], + "score": 1.0, + "content": "analysis may also be valuable.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 582, + 505, + 617 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 622, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 267, + 634 + ], + "score": 1.0, + "content": "First, PGD-AT fails to converge under", + "type": "text" + }, + { + "bbox": [ + 267, + 622, + 287, + 632 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "noise rate. We think that the unstable gradients can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "overwhelm the useful gradients given by clean examples. To prove it, we train the models under", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 126, + 654 + ], + "score": 0.85, + "content": "80 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "uniform label noise, by either PGD-AT or standard training (ST) on natural examples. We", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "then select 100 training images with wrong labels and another 100 training images with true labels", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "for evaluation. Similarly, we calculate the gradient norm of the cross-entropy loss w.r.t. model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "parameters of each method. We show the results in Fig. A.9. For AT, the gradient norm of clean", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "examples is larger than that of noisy examples at beginning, which makes the model learn to classify.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "However, for PGD-AT, the gradient norm of clean examples is almost the same as that of noisy", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "examples (the two curves overlap together). And the unstable gradients provided by noisy examples", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 506, + 734 + ], + "score": 1.0, + "content": "would overwhelm the useful gradients given by clean examples, making the network fail to converge.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 621, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 109, + 81, + 297, + 228 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 81, + 297, + 228 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 81, + 297, + 228 + ], + "spans": [ + { + "bbox": [ + 109, + 81, + 297, + 228 + ], + "score": 0.964, + "type": "image", + "image_path": "f021ae54520ee3adda29ecf24637ed8b28ffaf88f6e7e183a2961d84a72d1b2d.jpg" + } + ] + } + ], + "index": 5.5, + "virtual_lines": [ + { + "bbox": [ + 109, + 81, + 297, + 93.25 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 93.25, + 297, + 105.5 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 105.5, + 297, + 117.75 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 109, + 117.75, + 297, + 130.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 109, + 130.0, + 297, + 142.25 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 109, + 142.25, + 297, + 154.5 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 109, + 154.5, + 297, + 166.75 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 109, + 166.75, + 297, + 179.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 109, + 179.0, + 297, + 191.25 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 109, + 191.25, + 297, + 203.5 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 109, + 203.5, + 297, + 215.75 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 109, + 215.75, + 297, + 228.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 108, + 237, + 300, + 268 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 236, + 301, + 248 + ], + "spans": [ + { + "bbox": [ + 108, + 236, + 301, + 248 + ], + "score": 1.0, + "content": "Figure A.8: The cosine similarity between the gradi-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 108, + 246, + 302, + 258 + ], + "spans": [ + { + "bbox": [ + 108, + 246, + 134, + 258 + ], + "score": 1.0, + "content": "ents at", + "type": "text" + }, + { + "bbox": [ + 134, + 247, + 141, + 256 + ], + "score": 0.72, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 246, + 157, + 258 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 157, + 247, + 186, + 256 + ], + "score": 0.9, + "content": "\\pmb \\theta + \\lambda \\mathbf d", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 246, + 280, + 258 + ], + "score": 1.0, + "content": "of different losses, where", + "type": "text" + }, + { + "bbox": [ + 280, + 247, + 287, + 256 + ], + "score": 0.69, + "content": "\\pmb { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 246, + 302, + 258 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 108, + 255, + 219, + 268 + ], + "spans": [ + { + "bbox": [ + 108, + 255, + 149, + 268 + ], + "score": 1.0, + "content": "initialized,", + "type": "text" + }, + { + "bbox": [ + 149, + 257, + 216, + 268 + ], + "score": 0.87, + "content": "\\lambda \\in [ - 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This can also be explained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "by our convergence analysis that the gradient is very unstable in PGD-AT with a larger perturbation", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 320, + 245, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 245, + 335 + ], + "score": 1.0, + "content": "budget, making it fail to converge.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 107, + 346, + 362, + 357 + ], + "lines": [ + { + "bbox": [ + 106, + 346, + 363, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 363, + 358 + ], + "score": 1.0, + "content": "A.3 MORE DISCUSSIONS ON THE GENERALIZATION OF AT", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 378 + ], + "score": 1.0, + "content": "As shown in Table A.1, when trained on true labels, although the regularizers can help to reduce the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "generalization gap, the model without any regularization can still generalize non-trivially. The three", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "score": 1.0, + "content": "explicit regularizations do not significantly affect the model’s ability to memorize adversarial exam-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "ples with random labels. In consequence, the explicit regularizers are not the adequate explanation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "of generalization. By inspecting the learning dynamics of AT under different noise rates in Fig. A.6", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "and Fig. A.7, the network achieves maximum accuracy on the test set before fitting the noisy train-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 433, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 444 + ], + "score": 1.0, + "content": "ing set, meaning that the model learns simple patterns (i.e., clean data) before memorizing the hard", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "examples with wrong labels, similar to the observation in standard training (Arpit et al., 2017). 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This can also be explained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "by our convergence analysis that the gradient is very unstable in PGD-AT with a larger perturbation", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 320, + 245, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 245, + 335 + ], + "score": 1.0, + "content": "budget, making it fail to converge.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 288, + 505, + 335 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 346, + 362, + 357 + ], + "lines": [ + { + "bbox": [ + 106, + 346, + 363, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 363, + 358 + ], + "score": 1.0, + "content": "A.3 MORE DISCUSSIONS ON THE GENERALIZATION OF AT", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 367, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 378 + ], + "score": 1.0, + "content": "As shown in Table A.1, when trained on true labels, although the regularizers can help to reduce the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "generalization gap, the model without any regularization can still generalize non-trivially. The three", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 402 + ], + "score": 1.0, + "content": "explicit regularizations do not significantly affect the model’s ability to memorize adversarial exam-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 505, + 412 + ], + "score": 1.0, + "content": "ples with random labels. In consequence, the explicit regularizers are not the adequate explanation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "of generalization. By inspecting the learning dynamics of AT under different noise rates in Fig. A.6", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "and Fig. A.7, the network achieves maximum accuracy on the test set before fitting the noisy train-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 433, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 444 + ], + "score": 1.0, + "content": "ing set, meaning that the model learns simple patterns (i.e., clean data) before memorizing the hard", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "examples with wrong labels, similar to the observation in standard training (Arpit et al., 2017). 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In this paper, we further investigate whether this finding can generalize to adversarial training.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 51.5, + "bbox_fs": [ + 105, + 688, + 505, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 504, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 504, + 94 + ], + "score": 1.0, + "content": "As PGD-AT cannot converge with random labels, we adopt TRADES to conduct experiments. Fol-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "lowing Liu et al. (2020b), we consider two initialization strategies — random initialization and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "adversarial initialization generated by training on random labeling of the training data. We also con-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "score": 1.0, + "content": "sider two training methods — vanilla SGD training and SOTA SGD training with data augmentation", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "(random crops and flips), weight decay, and momentum. The results are shown in Fig. A.10. It can", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "be seen that with vanilla SGD, the adversarial initialization can lead to worse performance than the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 148, + 504, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 504, + 160 + ], + "score": 1.0, + "content": "random initialization. But with the regularization techniques, the models with different initializa-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "tions converge to nearly the same test accuracy. The results are consistent with the findings in Liu", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 170, + 165, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 165, + 182 + ], + "score": 1.0, + "content": "et al. (2020b).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4 + }, + { + "type": "title", + "bbox": [ + 108, + 198, + 243, + 210 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 245, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 245, + 212 + ], + "score": 1.0, + "content": "B PROOF OF THEOREM 1", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 105, + 222, + 506, + 244 + ], + "lines": [ + { + "bbox": [ + 104, + 221, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 182, + 237 + ], + "score": 1.0, + "content": "Proof. Recall that", + "type": "text" + }, + { + "bbox": [ + 183, + 222, + 341, + 236 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) = \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 221, + 506, + 237 + ], + "score": 1.0, + "content": "is the adversarial loss of PGD-AT. First,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 234, + 142, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 142, + 246 + ], + "score": 1.0, + "content": "we have", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 241, + 392, + 340 + ], + "lines": [ + { + "bbox": [ + 218, + 241, + 392, + 340 + ], + "spans": [ + { + "bbox": [ + 218, + 241, + 392, + 340 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) \\| _ { 2 } } \\\\ & { = \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) + \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) + } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } } \\\\ & { \\le \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "68bf6c5b9897a258d37e9959636793bd42c027e61a0c36aef7a1979fb5a03bb1.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 218, + 241, + 392, + 255.14285714285714 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 218, + 255.14285714285714, + 392, + 269.2857142857143 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 218, + 269.2857142857143, + 392, + 283.42857142857144 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 218, + 283.42857142857144, + 392, + 297.5714285714286 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 218, + 297.5714285714286, + 392, + 311.7142857142858 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 218, + 311.7142857142858, + 392, + 325.85714285714295 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 218, + 325.85714285714295, + 392, + 340.0000000000001 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 342, + 358, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 358, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 226, + 356 + ], + "score": 1.0, + "content": "From the assumption, for any", + "type": "text" + }, + { + "bbox": [ + 226, + 342, + 258, + 353 + ], + "score": 0.9, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 340, + 276, + 356 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 276, + 343, + 318, + 355 + ], + "score": 0.92, + "content": "\\mathbf { x } ^ { \\prime } \\in { \\mathcal { S } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 340, + 358, + 356 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 359, + 424, + 374 + ], + "lines": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "spans": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "score": 0.87, + "content": "\\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } \\leq \\epsilon K ,", + "type": "interline_equation", + "image_path": "096c8e0b5d73c2415be28ae012b240a0cdf1c0acd618922fd2d26af9bfe949de.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 378, + 503, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 377, + 504, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 204, + 392 + ], + "score": 1.0, + "content": "due to the definition of", + "type": "text" + }, + { + "bbox": [ + 205, + 379, + 226, + 390 + ], + "score": 0.92, + "content": "\\boldsymbol { S } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 377, + 309, + 392 + ], + "score": 1.0, + "content": ". We also note that", + "type": "text" + }, + { + "bbox": [ + 309, + 379, + 353, + 391 + ], + "score": 0.93, + "content": "\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 377, + 496, + 392 + ], + "score": 1.0, + "content": "is the maximal cross-entropy loss", + "type": "text" + }, + { + "bbox": [ + 496, + 379, + 504, + 389 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 389, + 234, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 134, + 402 + ], + "score": 1.0, + "content": "within", + "type": "text" + }, + { + "bbox": [ + 135, + 390, + 156, + 402 + ], + "score": 0.91, + "content": "\\boldsymbol { S } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 389, + 234, + 402 + ], + "score": 1.0, + "content": ", such that we have", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 406, + 393, + 420 + ], + "lines": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "spans": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y ) \\| _ { 2 } \\le \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "0de089d3cecaf79683d0ebe5bae66664b3394d64a575f49b8f546f19006569ea.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 425, + 342, + 438 + ], + "lines": [ + { + "bbox": [ + 106, + 424, + 342, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 342, + 439 + ], + "score": 1.0, + "content": "Combining Eq. (B.1) and Eq. (B.2), we can obtain Eq. (5).", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 442, + 385, + 454 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 387, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 387, + 455 + ], + "score": 1.0, + "content": "Note that the bound is tight since the all the equalities can be reached.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 460, + 504, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 504, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 504, + 473 + ], + "score": 1.0, + "content": "Remark 1. We note that a recent work (Liu et al., 2020a) gives a similar result on gradient stability.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "The difference is that they assume the loss function satisfies an additional Lipschitzian smoothness", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 482, + 159, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 159, + 495 + ], + "score": 1.0, + "content": "condition as", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 492, + 423, + 506 + ], + "lines": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "spans": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 1 } } ( \\mathbf { x } ) , y \\big ) - \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 2 } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K _ { \\pmb \\theta } \\| \\pmb \\theta _ { 1 } - \\pmb \\theta _ { 2 } \\| _ { 2 } , } \\end{array}", + "type": "interline_equation", + "image_path": "a80744cfa758b26544082e76aeb269d7ed73e4cd2ce62a85a4ef6901cf9929dc.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 315, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 316, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 133, + 522 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 509, + 147, + 519 + ], + "score": 0.83, + "content": "K _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 507, + 316, + 522 + ], + "score": 1.0, + "content": "is another constant. Then they prove that", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 525, + 434, + 539 + ], + "lines": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "spans": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 1 } ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 2 } ) \\| _ { 2 } \\leq K _ { \\pmb { \\theta } } \\| \\pmb { \\theta } _ { 1 } - \\pmb { \\theta } _ { 2 } \\| _ { 2 } + 2 \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "74803d3a450517c4d8ffb1461a053b66901199f179691dee4dfe5cc8285732ca.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 544, + 504, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "It can be noted that with this new assumption, we can simply obtain this result by Theorem 1.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 554, + 372, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 372, + 568 + ], + "score": 1.0, + "content": "Therefore, Theorem 1 is a more general result of the previous one.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5 + }, + { + "type": "title", + "bbox": [ + 107, + 579, + 304, + 591 + ], + "lines": [ + { + "bbox": [ + 106, + 579, + 304, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 304, + 592 + ], + "score": 1.0, + "content": "B.1 THEORETICAL ANALYSIS FOR TRADES", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 600, + 504, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 231, + 613 + ], + "score": 1.0, + "content": "Note that TRADES adopts the", + "type": "text" + }, + { + "bbox": [ + 231, + 601, + 246, + 611 + ], + "score": 0.26, + "content": "\\mathrm { K L }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "divergence in its adversarial loss. The KL divergence is defined", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 611, + 350, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 350, + 625 + ], + "score": 1.0, + "content": "on two predicted probability distributions over all classes, as", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5 + }, + { + "type": "interline_equation", + "bbox": [ + 197, + 628, + 413, + 661 + ], + "lines": [ + { + "bbox": [ + 197, + 628, + 413, + 661 + ], + "spans": [ + { + "bbox": [ + 197, + 628, + 413, + 661 + ], + "score": 0.92, + "content": "\\mathcal { D } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) \\| f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) ) = \\sum _ { y \\in \\{ 1 , \\dots , C \\} } f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } \\cdot \\log \\frac { f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } } { f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) _ { y } } .", + "type": "interline_equation", + "image_path": "aab4cfdac58a8712ef95bad2bc0bb4d29ebfc18d71e8c878f6c2aea277a2ca3e.jpg" + } + ] + } + ], + "index": 37.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 628, + 413, + 644.5 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 197, + 644.5, + 413, + 661.0 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 665, + 505, + 720 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "However, based on the local Lipschitz continuity assumption of the clean cross-entropy loss (which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "is only concerned with the predicted probability of the true class) in Eq. (4), we cannot derive a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "similar theoretical bound on the gradient stability of TRADES as in Eq. (5). Therefore, we need to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "make a different assumption on the KL divergence. For example, suppose the gradient of the KL", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 708, + 186, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 186, + 722 + ], + "score": 1.0, + "content": "divergence satisfies", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41 + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 719, + 390, + 734 + ], + "lines": [ + { + "bbox": [ + 219, + 719, + 390, + 734 + ], + "spans": [ + { + "bbox": [ + 219, + 719, + 390, + 734 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { D } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) \\| f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) \\big ) \\| _ { 2 } \\leq K ^ { \\prime } \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } , } \\end{array}", + "type": "interline_equation", + "image_path": "6576652597a936d7b746a0e105bd36a4487010b1a811aac2ff6dd88005d5f4d7.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 219, + 719, + 390, + 734 + ], + "spans": [], + "index": 44 + } + ] + } + ], + "page_idx": 20, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 14 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 495, + 442, + 505, + 453 + ], + "lines": [ + { + "bbox": [ + 496, + 444, + 504, + 452 + ], + "spans": [ + { + "bbox": [ + 496, + 444, + 504, + 452 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 504, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 504, + 94 + ], + "score": 1.0, + "content": "As PGD-AT cannot converge with random labels, we adopt TRADES to conduct experiments. Fol-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "lowing Liu et al. (2020b), we consider two initialization strategies — random initialization and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "adversarial initialization generated by training on random labeling of the training data. We also con-", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 505, + 128 + ], + "score": 1.0, + "content": "sider two training methods — vanilla SGD training and SOTA SGD training with data augmentation", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "(random crops and flips), weight decay, and momentum. The results are shown in Fig. A.10. It can", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 149 + ], + "score": 1.0, + "content": "be seen that with vanilla SGD, the adversarial initialization can lead to worse performance than the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 148, + 504, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 504, + 160 + ], + "score": 1.0, + "content": "random initialization. But with the regularization techniques, the models with different initializa-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "tions converge to nearly the same test accuracy. The results are consistent with the findings in Liu", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 170, + 165, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 170, + 165, + 182 + ], + "score": 1.0, + "content": "et al. (2020b).", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 82, + 506, + 182 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 198, + 243, + 210 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 245, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 245, + 212 + ], + "score": 1.0, + "content": "B PROOF OF THEOREM 1", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 105, + 222, + 506, + 244 + ], + "lines": [ + { + "bbox": [ + 104, + 221, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 182, + 237 + ], + "score": 1.0, + "content": "Proof. Recall that", + "type": "text" + }, + { + "bbox": [ + 183, + 222, + 341, + 236 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) = \\operatorname* { m a x } _ { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 221, + 506, + 237 + ], + "score": 1.0, + "content": "is the adversarial loss of PGD-AT. First,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 234, + 142, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 142, + 246 + ], + "score": 1.0, + "content": "we have", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 221, + 506, + 246 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 218, + 241, + 392, + 340 + ], + "lines": [ + { + "bbox": [ + 218, + 241, + 392, + 340 + ], + "spans": [ + { + "bbox": [ + 218, + 241, + 392, + 340 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) \\| _ { 2 } } \\\\ & { = \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) + \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) + } \\\\ & { \\quad \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } } \\\\ & { \\le \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ( { \\bf x } , y , \\theta _ { 2 } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( { \\bf x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( { \\bf x } ) , y ) \\| _ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "68bf6c5b9897a258d37e9959636793bd42c027e61a0c36aef7a1979fb5a03bb1.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 218, + 241, + 392, + 255.14285714285714 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 218, + 255.14285714285714, + 392, + 269.2857142857143 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 218, + 269.2857142857143, + 392, + 283.42857142857144 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 218, + 283.42857142857144, + 392, + 297.5714285714286 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 218, + 297.5714285714286, + 392, + 311.7142857142858 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 218, + 311.7142857142858, + 392, + 325.85714285714295 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 218, + 325.85714285714295, + 392, + 340.0000000000001 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 342, + 358, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 358, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 226, + 356 + ], + "score": 1.0, + "content": "From the assumption, for any", + "type": "text" + }, + { + "bbox": [ + 226, + 342, + 258, + 353 + ], + "score": 0.9, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 340, + 276, + 356 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 276, + 343, + 318, + 355 + ], + "score": 0.92, + "content": "\\mathbf { x } ^ { \\prime } \\in { \\mathcal { S } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 340, + 358, + 356 + ], + "score": 1.0, + "content": ", we have", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 340, + 358, + 356 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 359, + 424, + 374 + ], + "lines": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "spans": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "score": 0.87, + "content": "\\| \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) , y \\big ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { L } \\big ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K \\| \\mathbf { x } ^ { \\prime } - \\mathbf { x } \\| _ { p } \\leq \\epsilon K ,", + "type": "interline_equation", + "image_path": "096c8e0b5d73c2415be28ae012b240a0cdf1c0acd618922fd2d26af9bfe949de.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 176, + 359, + 424, + 374 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 378, + 503, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 377, + 504, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 204, + 392 + ], + "score": 1.0, + "content": "due to the definition of", + "type": "text" + }, + { + "bbox": [ + 205, + 379, + 226, + 390 + ], + "score": 0.92, + "content": "\\boldsymbol { S } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 377, + 309, + 392 + ], + "score": 1.0, + "content": ". We also note that", + "type": "text" + }, + { + "bbox": [ + 309, + 379, + 353, + 391 + ], + "score": 0.93, + "content": "\\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 377, + 496, + 392 + ], + "score": 1.0, + "content": "is the maximal cross-entropy loss", + "type": "text" + }, + { + "bbox": [ + 496, + 379, + 504, + 389 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 389, + 234, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 134, + 402 + ], + "score": 1.0, + "content": "within", + "type": "text" + }, + { + "bbox": [ + 135, + 390, + 156, + 402 + ], + "score": 0.91, + "content": "\\boldsymbol { S } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 389, + 234, + 402 + ], + "score": 1.0, + "content": ", such that we have", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 377, + 504, + 402 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 406, + 393, + 420 + ], + "lines": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "spans": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\theta } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) , y ) \\| _ { 2 } \\le \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "0de089d3cecaf79683d0ebe5bae66664b3394d64a575f49b8f546f19006569ea.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 217, + 406, + 393, + 420 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 425, + 342, + 438 + ], + "lines": [ + { + "bbox": [ + 106, + 424, + 342, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 342, + 439 + ], + "score": 1.0, + "content": "Combining Eq. (B.1) and Eq. (B.2), we can obtain Eq. (5).", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 106, + 424, + 342, + 439 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 442, + 385, + 454 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 387, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 387, + 455 + ], + "score": 1.0, + "content": "Note that the bound is tight since the all the equalities can be reached.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 441, + 387, + 455 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 460, + 504, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 504, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 504, + 473 + ], + "score": 1.0, + "content": "Remark 1. We note that a recent work (Liu et al., 2020a) gives a similar result on gradient stability.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 484 + ], + "score": 1.0, + "content": "The difference is that they assume the loss function satisfies an additional Lipschitzian smoothness", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 482, + 159, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 159, + 495 + ], + "score": 1.0, + "content": "condition as", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 459, + 505, + 495 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 492, + 423, + 506 + ], + "lines": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "spans": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 1 } } ( \\mathbf { x } ) , y \\big ) - \\nabla _ { \\pmb \\theta } \\mathcal { L } \\big ( f _ { \\pmb \\theta _ { 2 } } ( \\mathbf { x } ) , y \\big ) \\| _ { 2 } \\leq K _ { \\pmb \\theta } \\| \\pmb \\theta _ { 1 } - \\pmb \\theta _ { 2 } \\| _ { 2 } , } \\end{array}", + "type": "interline_equation", + "image_path": "a80744cfa758b26544082e76aeb269d7ed73e4cd2ce62a85a4ef6901cf9929dc.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 187, + 492, + 423, + 506 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 315, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 316, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 133, + 522 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 509, + 147, + 519 + ], + "score": 0.83, + "content": "K _ { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 507, + 316, + 522 + ], + "score": 1.0, + "content": "is another constant. Then they prove that", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 507, + 316, + 522 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 525, + 434, + 539 + ], + "lines": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "spans": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\| \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 1 } ) - \\nabla _ { \\pmb { \\theta } } \\mathcal { I } ( \\mathbf { x } , y , \\pmb { \\theta } _ { 2 } ) \\| _ { 2 } \\leq K _ { \\pmb { \\theta } } \\| \\pmb { \\theta } _ { 1 } - \\pmb { \\theta } _ { 2 } \\| _ { 2 } + 2 \\epsilon K . } \\end{array}", + "type": "interline_equation", + "image_path": "74803d3a450517c4d8ffb1461a053b66901199f179691dee4dfe5cc8285732ca.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 176, + 525, + 434, + 539 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "list", + "bbox": [ + 106, + 544, + 504, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 543, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 557 + ], + "score": 1.0, + "content": "It can be noted that with this new assumption, we can simply obtain this result by Theorem 1.", + "type": "text" + } + ], + "index": 32, + "is_list_end_line": true + }, + { + "bbox": [ + 106, + 554, + 372, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 372, + 568 + ], + "score": 1.0, + "content": "Therefore, Theorem 1 is a more general result of the previous one.", + "type": "text" + } + ], + "index": 33, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 543, + 506, + 568 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 579, + 304, + 591 + ], + "lines": [ + { + "bbox": [ + 106, + 579, + 304, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 304, + 592 + ], + "score": 1.0, + "content": "B.1 THEORETICAL ANALYSIS FOR TRADES", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 600, + 504, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 600, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 231, + 613 + ], + "score": 1.0, + "content": "Note that TRADES adopts the", + "type": "text" + }, + { + "bbox": [ + 231, + 601, + 246, + 611 + ], + "score": 0.26, + "content": "\\mathrm { K L }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 600, + 505, + 613 + ], + "score": 1.0, + "content": "divergence in its adversarial loss. The KL divergence is defined", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 611, + 350, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 350, + 625 + ], + "score": 1.0, + "content": "on two predicted probability distributions over all classes, as", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 600, + 505, + 625 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 197, + 628, + 413, + 661 + ], + "lines": [ + { + "bbox": [ + 197, + 628, + 413, + 661 + ], + "spans": [ + { + "bbox": [ + 197, + 628, + 413, + 661 + ], + "score": 0.92, + "content": "\\mathcal { D } ( f _ { \\pmb { \\theta } } ( \\mathbf { x } ) \\| f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) ) = \\sum _ { y \\in \\{ 1 , \\dots , C \\} } f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } \\cdot \\log \\frac { f _ { \\pmb { \\theta } } ( \\mathbf { x } ) _ { y } } { f _ { \\pmb { \\theta } } ( \\mathbf { x } ^ { \\prime } ) _ { y } } .", + "type": "interline_equation", + "image_path": "aab4cfdac58a8712ef95bad2bc0bb4d29ebfc18d71e8c878f6c2aea277a2ca3e.jpg" + } + ] + } + ], + "index": 37.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 628, + 413, + 644.5 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 197, + 644.5, + 413, + 661.0 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 665, + 505, + 720 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "However, based on the local Lipschitz continuity assumption of the clean cross-entropy loss (which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "is only concerned with the predicted probability of the true class) in Eq. (4), we cannot derive a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "similar theoretical bound on the gradient stability of TRADES as in Eq. (5). Therefore, we need to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "make a different assumption on the KL divergence. 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We denote the adversarial loss", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 275, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 169, + 106 + ], + "score": 1.0, + "content": "of TRADES as", + "type": "text" + }, + { + "bbox": [ + 170, + 94, + 215, + 106 + ], + "score": 0.92, + "content": "\\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 93, + 275, + 106 + ], + "score": 1.0, + "content": ", then we have", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 198, + 114, + 411, + 204 + ], + "lines": [ + { + "bbox": [ + 198, + 114, + 411, + 204 + ], + "spans": [ + { + "bbox": [ + 198, + 114, + 411, + 204 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\quad \\| \\nabla _ { \\theta } \\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\theta _ { 1 } ) - \\nabla _ { \\theta } \\mathcal { I } ^ { \\prime } ( \\mathbf { x } , y , \\theta _ { 1 } ) \\| _ { 2 } } \\\\ & { { \\le } \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + } \\\\ & { \\quad \\beta \\| \\nabla _ { \\theta } \\underset { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } { \\operatorname* { m a x } } \\mathcal { D } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) \\| f _ { \\theta _ { 1 } } ( \\mathbf { x } ^ { \\prime } ) ) \\| _ { 2 } + } \\\\ & { \\quad \\beta \\| \\nabla _ { \\theta } \\underset { \\mathbf { x } ^ { \\prime } \\in S ( \\mathbf { x } ) } { \\operatorname* { m a x } } \\mathcal { D } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) \\| f _ { \\theta _ { 2 } } ( \\mathbf { x } ^ { \\prime } ) ) \\| _ { 2 } } \\\\ & { { \\le } \\| \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 1 } } ( \\mathbf { x } ) , y ) - \\nabla _ { \\theta } \\mathcal { L } ( f _ { \\theta _ { 2 } } ( \\mathbf { x } ) , y ) \\| _ { 2 } + 2 \\beta \\epsilon K ^ { \\prime } . } \\end{array}", + "type": "interline_equation", + "image_path": "9f6c63005f8da585d90791970a60c7f7a99161f7550e11d5aa5560dc8bbc4079.jpg" + } + ] + } + ], + "index": 4.5, + "virtual_lines": [ + { + "bbox": [ + 198, + 114, + 411, + 129.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 198, + 129.0, + 411, + 144.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 198, + 144.0, + 411, + 159.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 198, + 159.0, + 411, + 174.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 198, + 174.0, + 411, + 189.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 198, + 189.0, + 411, + 204.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 212, + 506, + 278 + ], + "lines": [ + { + "bbox": [ + 106, + 212, + 505, + 224 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 505, + 224 + ], + "score": 1.0, + "content": "Although we can derive a similar bound on gradient stability of TRADES, this bound is not directly", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 222, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 394, + 235 + ], + "score": 1.0, + "content": "comparable to Eq. 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Therefore, the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 267, + 301, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 301, + 279 + ], + "score": 1.0, + "content": "gradient of TRADES would be relatively stable.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 106, + 300, + 365, + 312 + ], + "lines": [ + { + "bbox": [ + 106, + 299, + 366, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 366, + 315 + ], + "score": 1.0, + "content": "C FULL EXPERIMENTS ON ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "image", + "bbox": [ + 109, + 357, + 298, + 507 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 357, + 298, + 507 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 357, + 298, + 507 + ], + "spans": [ + { + "bbox": [ + 109, + 357, + 298, + 507 + ], + "score": 0.969, + "type": "image", + "image_path": 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TRADES under various perturbation budgets in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 590 + ], + "score": 1.0, + "content": "Fig. C.1. It can also be observed that when the perturbation budget is small, robust overfitting does", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 588, + 149, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 149, + 600 + ], + "score": 1.0, + "content": "not occur.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "Second, we show that the “hard” training examples with higher adversarial loss values are consistent", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 616, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 627 + ], + "score": 1.0, + "content": "across different model architectures. We train one WRN-28-10 model and one ResNet-18 model", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "based on PGD-AT. We then calculate the adversarial loss for each training sample for these two", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "models. We show the adversarial loss on 500 samples sorted by the loss of the first model (i.e., WRN-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "28-10) in Fig. C.2. It can be seen that the samples with lower adversarial losses of the first model", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "score": 1.0, + "content": "also have relatively lower losses of the second one and vice versa. The Kendall’s rank coefficient of", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 670, + 363, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 363, + 683 + ], + "score": 1.0, + "content": "the adversarial loss between the two models is 0.78 in this case.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 48 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "Third, we visualize the hard training examples with high adversarial loss values in Fig. C.3. It can", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "be seen that these examples are difficult to recognize and their labels may be wrong. 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It can also be observed that when the perturbation budget is small, robust overfitting does", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 588, + 149, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 149, + 600 + ], + "score": 1.0, + "content": "not occur.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 564, + 505, + 600 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 605, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 617 + ], + "score": 1.0, + "content": "Second, we show that the “hard” training examples with higher adversarial loss values are consistent", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 616, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 627 + ], + "score": 1.0, + "content": "across different model architectures. We train one WRN-28-10 model and one ResNet-18 model", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "based on PGD-AT. We then calculate the adversarial loss for each training sample for these two", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 650 + ], + "score": 1.0, + "content": "models. We show the adversarial loss on 500 samples sorted by the loss of the first model (i.e., WRN-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "28-10) in Fig. C.2. It can be seen that the samples with lower adversarial losses of the first model", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "score": 1.0, + "content": "also have relatively lower losses of the second one and vice versa. The Kendall’s rank coefficient of", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 670, + 363, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 363, + 683 + ], + "score": 1.0, + "content": "the adversarial loss between the two models is 0.78 in this case.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 604, + 505, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 505, + 700 + ], + "score": 1.0, + "content": "Third, we visualize the hard training examples with high adversarial loss values in Fig. C.3. It can", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "be seen that these examples are difficult to recognize and their labels may be wrong. Therefore, the", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "one-hot labels for these hard training examples can be noisy for AT, leading to the robust overfitting", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 720, + 145, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 145, + 732 + ], + "score": 1.0, + "content": "problem.", + "type": "text" + } + ], + "index": 55 + } + ], + "index": 53.5, + "bbox_fs": [ + 105, + 686, + 505, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 129, + 79, + 485, + 174 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 129, + 79, + 485, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 129, + 79, + 485, + 174 + ], + "spans": [ + { + "bbox": [ + 129, + 79, + 485, + 174 + ], + "score": 0.967, + "type": "image", + "image_path": "92f5d7ecf2d3f0f41009d2c4475fa2744d7e8de93bfef4dd3f1014653692e336.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 129, + 79, + 485, + 110.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 129, + 110.66666666666667, + 485, + 142.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 129, + 142.33333333333334, + 485, + 174.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 174, + 182, + 437, + 193 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 172, + 181, + 438, + 194 + ], + "spans": [ + { + "bbox": [ + 172, + 181, + 438, + 194 + ], + "score": 1.0, + "content": "Figure C.3: The hard training examples with high adversarial loss values.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 204, + 504, + 225 + ], + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 215 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 201, + 215 + ], + "score": 1.0, + "content": "Table C.1: Test accuracy", + "type": "text" + }, + { + "bbox": [ + 201, + 205, + 215, + 214 + ], + "score": 0.76, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 204, + 505, + 215 + ], + "score": 1.0, + "content": "of several methods using different model architectures and threat models. We", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 214, + 460, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 460, + 226 + ], + "score": 1.0, + "content": "choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + }, + { + "type": "table", + "bbox": [ + 110, + 234, + 499, + 352 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 110, + 234, + 499, + 352 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 234, + 499, + 352 + ], + "spans": [ + { + "bbox": [ + 110, + 234, + 499, + 352 + ], + "score": 0.979, + "html": "
MethodsNetworksNormsNatural AccuracyPGD-10
BestFinalDiffBestFinalDiff
PGD-AT PGD-AT+TE PGD-ATWRN-34-10 WRN-34-10 VGG-16lo (∈=8/255)86.58 85.43 79.6086.83 85.10-0.25 0.3355.83 59.3049.52 56.636.31 2.67
PGD-AT+TE PGD-ATVGG-1678.19 88.8281.26 79.13-1.66 -0.9448.52 52.0643.02 51.295.50 0.77
88.96-0.1469.0565.963.09
PGD-AT+TE87.9588.200.65
ResNet-18l2 (∈ =128/255)-0.2572.5871.93
TRADES86.5086.57-0.0770.2266.074.15
TRADES+TE88.4288.60-0.1872.7272.430.29
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The results consistently", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 414, + 325, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 325, + 426 + ], + "score": 1.0, + "content": "demonstrate the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 108, + 430, + 504, + 453 + ], + "lines": [ + { + "bbox": [ + 107, + 431, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 107, + 431, + 292, + 442 + ], + "score": 1.0, + "content": "We further show the results of PGD-AT, PGD-", + "type": "text" + }, + { + "bbox": [ + 292, + 431, + 324, + 442 + ], + "score": 0.72, + "content": "\\mathbf { A T + T E }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 431, + 426, + 442 + ], + "score": 1.0, + "content": ", TRADES, and TRADES", + "type": "text" + }, + { + "bbox": [ + 427, + 432, + 447, + 442 + ], + "score": 0.57, + "content": "{ \\bf \\nabla } + { \\bf T } { \\bf E }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 431, + 505, + 442 + ], + "score": 1.0, + "content": "on CIFAR-10", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 442, + 208, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 208, + 455 + ], + "score": 1.0, + "content": "over 3 runs in Table C.2.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + } + ], + "page_idx": 22, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 105, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 763 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 763 + ], + "score": 1.0, + "content": "23", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 129, + 79, + 485, + 174 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 129, + 79, + 485, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 129, + 79, + 485, + 174 + ], + "spans": [ + { + "bbox": [ + 129, + 79, + 485, + 174 + ], + "score": 0.967, + "type": "image", + "image_path": "92f5d7ecf2d3f0f41009d2c4475fa2744d7e8de93bfef4dd3f1014653692e336.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 129, + 79, + 485, + 110.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 129, + 110.66666666666667, + 485, + 142.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 129, + 142.33333333333334, + 485, + 174.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 174, + 182, + 437, + 193 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 172, + 181, + 438, + 194 + ], + "spans": [ + { + "bbox": [ + 172, + 181, + 438, + 194 + ], + "score": 1.0, + "content": "Figure C.3: The hard training examples with high adversarial loss values.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "text", + "bbox": [ + 106, + 204, + 504, + 225 + ], + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 215 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 201, + 215 + ], + "score": 1.0, + "content": "Table C.1: Test accuracy", + "type": "text" + }, + { + "bbox": [ + 201, + 205, + 215, + 214 + ], + "score": 0.76, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 204, + 505, + 215 + ], + "score": 1.0, + "content": "of several methods using different model architectures and threat models. We", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 214, + 460, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 460, + 226 + ], + "score": 1.0, + "content": "choose the best checkpoint according to the highest robust accuracy on the test set under PGD-10.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5, + "bbox_fs": [ + 106, + 204, + 505, + 226 + ] + }, + { + "type": "table", + "bbox": [ + 110, + 234, + 499, + 352 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 110, + 234, + 499, + 352 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 234, + 499, + 352 + ], + "spans": [ + { + "bbox": [ + 110, + 234, + 499, + 352 + ], + "score": 0.979, + "html": "
MethodsNetworksNormsNatural AccuracyPGD-10
BestFinalDiffBestFinalDiff
PGD-AT PGD-AT+TE PGD-ATWRN-34-10 WRN-34-10 VGG-16lo (∈=8/255)86.58 85.43 79.6086.83 85.10-0.25 0.3355.83 59.3049.52 56.636.31 2.67
PGD-AT+TE PGD-ATVGG-1678.19 88.8281.26 79.13-1.66 -0.9448.52 52.0643.02 51.295.50 0.77
88.96-0.1469.0565.963.09
PGD-AT+TE87.9588.200.65
ResNet-18l2 (∈ =128/255)-0.2572.5871.93
TRADES86.5086.57-0.0770.2266.074.15
TRADES+TE88.4288.60-0.1872.7272.430.29
", + "type": "table", + "image_path": "df74078269ba2fde952b20312984a303b81d91d3b4596aa53669aa532d221de8.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 110, + 234, + 499, + 273.3333333333333 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 110, + 273.3333333333333, + 499, + 312.66666666666663 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 110, + 312.66666666666663, + 499, + 351.99999999999994 + ], + "spans": [], + "index": 8 + } + ] + } + ], + "index": 7 + }, + { + "type": "title", + "bbox": [ + 108, + 372, + 418, + 383 + ], + "lines": [ + { + "bbox": [ + 106, + 371, + 419, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 419, + 385 + ], + "score": 1.0, + "content": "C.2 ADDITIONAL EXPERIMENTS ON MITIGATING ROBUST OVERFITTING", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 392, + 505, + 426 + ], + "lines": [ + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "score": 1.0, + "content": "We show the results of our proposed methods on other network architectures (including WRN-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 310, + 416 + ], + "score": 1.0, + "content": "34-10 and VGG-16) and threat models (including", + "type": "text" + }, + { + "bbox": [ + 310, + 404, + 320, + 415 + ], + "score": 0.86, + "content": "\\ell _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "norm) in Table C.1. The results consistently", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 414, + 325, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 325, + 426 + ], + "score": 1.0, + "content": "demonstrate the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 392, + 505, + 426 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 430, + 504, + 453 + ], + "lines": [ + { + "bbox": [ + 107, + 431, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 107, + 431, + 292, + 442 + ], + "score": 1.0, + "content": "We further show the results of PGD-AT, PGD-", + "type": "text" + }, + { + "bbox": [ + 292, + 431, + 324, + 442 + ], + "score": 0.72, + "content": "\\mathbf { A T + T E }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 431, + 426, + 442 + ], + "score": 1.0, + "content": ", TRADES, and TRADES", + "type": "text" + }, + { + "bbox": [ + 427, + 432, + 447, + 442 + ], + "score": 0.57, + "content": "{ \\bf \\nabla } + { \\bf T } { \\bf E }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 431, + 505, + 442 + ], + "score": 1.0, + "content": "on CIFAR-10", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 442, + 208, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 208, + 455 + ], + "score": 1.0, + "content": "over 3 runs in Table C.2.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 431, + 505, + 455 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 183, + 240, + 427, + 599 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 104, + 211, + 504, + 233 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 211, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 199, + 223 + ], + "score": 1.0, + "content": "Table C.2: Test accuracy", + "type": "text" + }, + { + "bbox": [ + 200, + 212, + 213, + 222 + ], + "score": 0.72, + "content": "( \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 211, + 373, + 223 + ], + "score": 1.0, + "content": "of several methods on CIFAR-10 under the", + "type": "text" + }, + { + "bbox": [ + 374, + 212, + 386, + 222 + ], + "score": 0.87, + "content": "\\ell _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 211, + 428, + 223 + ], + "score": 1.0, + "content": "norm with", + "type": "text" + }, + { + "bbox": [ + 428, + 212, + 469, + 223 + ], + "score": 0.87, + "content": "\\epsilon = 8 / 2 5 5", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 211, + 505, + 223 + ], + "score": 1.0, + "content": "based on", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 221, + 384, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 384, + 233 + ], + "score": 1.0, + "content": "the ResNet-18 architecture. We show the mean/std of the results over 3 runs.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 183, + 240, + 427, + 599 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 183, + 240, + 427, + 599 + ], + "spans": [ + { + "bbox": [ + 183, + 240, + 427, + 599 + ], + "score": 0.981, + "html": "
MethodNatural Accuracy
BestFinalDiff
PGD-AT83.76 ± 0.0284.93 ± 0.26-1.17 ± 0.29
PGD-AT+TE82.36 ± 0.1882.69 ± 0.14-0.33 ± 0.31
TRADES81.34 ± 0.1582.70 ± 0.21-1.36 ± 0.36
TRADES+TE83.66 ± 0.1983.89 ± 0.09-0.23 ± 0.21
MethodPGD-10
BestFinalDiff
PGD-AT52.62 ± 0.1044.91 ± 0.017.71 ± 0.11
PGD-AT+TE55.74 ± 0.1754.82 ± 0.230.92 ± 0.07
TRADES53.25 ± 0.0750.48 ± 0.232.77 ± 0.16
TRADES+TE54.93 ± 0.1654.04 ± 0.190.89 ± 0.13
MethodPGD-1000
BestFinalDiff
PGD-AT51.26 ± 0.0342.72 ± 0.068.54 ± 0.06
PGD-AT+TE54.54 ± 0.2753.01 ± 0.341.53 ± 0.24
TRADES52.24 ± 0.2048.74 ± 0.173.50 ± 0.13
TRADES+TE53.55 ± 0.1652.93 ± 0.070.62 ± 0.11
MethodC&W-1000
BestFinalDiff
PGD-AT PGD-AT+TE50.24 ± 0.1243.59 ± 0.076.65 ± 0.19
52.31 ± 0.0151.67 ± 0.120.64 ± 0.11
TRADES49.83 ± 0.0548.11 ± 0.041.72 ± 0.02
TRADES+TE50.80 ± 0.0250.61 ± 0.070.19 ± 0.08
MethodBestAutoAttack FinalDiff
PGD-AT PGD-AT+TE47.85 ± 0.17 50.37 ± 0.2241.62 ± 0.16 49.36 ± 0.246.23 ± 0.26 1.01 ± 0.03
TRADES48.86 ± 0.1846.73 ± 0.072.13 ± 0.11
TRADES+TE49.40 ± 0.2748.77 ± 0.210.63 ± 0.05
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MethodNatural Accuracy
BestFinalDiff
PGD-AT83.76 ± 0.0284.93 ± 0.26-1.17 ± 0.29
PGD-AT+TE82.36 ± 0.1882.69 ± 0.14-0.33 ± 0.31
TRADES81.34 ± 0.1582.70 ± 0.21-1.36 ± 0.36
TRADES+TE83.66 ± 0.1983.89 ± 0.09-0.23 ± 0.21
MethodPGD-10
BestFinalDiff
PGD-AT52.62 ± 0.1044.91 ± 0.017.71 ± 0.11
PGD-AT+TE55.74 ± 0.1754.82 ± 0.230.92 ± 0.07
TRADES53.25 ± 0.0750.48 ± 0.232.77 ± 0.16
TRADES+TE54.93 ± 0.1654.04 ± 0.190.89 ± 0.13
MethodPGD-1000
BestFinalDiff
PGD-AT51.26 ± 0.0342.72 ± 0.068.54 ± 0.06
PGD-AT+TE54.54 ± 0.2753.01 ± 0.341.53 ± 0.24
TRADES52.24 ± 0.2048.74 ± 0.173.50 ± 0.13
TRADES+TE53.55 ± 0.1652.93 ± 0.070.62 ± 0.11
MethodC&W-1000
BestFinalDiff
PGD-AT PGD-AT+TE50.24 ± 0.1243.59 ± 0.076.65 ± 0.19
52.31 ± 0.0151.67 ± 0.120.64 ± 0.11
TRADES49.83 ± 0.0548.11 ± 0.041.72 ± 0.02
TRADES+TE50.80 ± 0.0250.61 ± 0.070.19 ± 0.08
MethodBestAutoAttack FinalDiff
PGD-AT PGD-AT+TE47.85 ± 0.17 50.37 ± 0.2241.62 ± 0.16 49.36 ± 0.246.23 ± 0.26 1.01 ± 0.03
TRADES48.86 ± 0.1846.73 ± 0.072.13 ± 0.11
TRADES+TE49.40 ± 0.2748.77 ± 0.210.63 ± 0.05
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MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE83.75 84.82 -1.0782.35 82.79 -0.44[52.64 44.92 7.7255.79 54.83 0.96[51.22 42.74 8.4854.65 53.30 1.35|50.11 43.63 7.4852.30 51.73 0.57|47.74 41.84 5.9050.59 49.62 0.97
TRADESTRADES+TE[81.19 82.48 -1.29|83.86 83.97 -0.11[53.32 50.25 3.0755.15 54.42 0.73[52.44 48.67 3.7753.74 53.03 0.71|49.88 48.14 1.74|50.77 50.63 0.1449.03 46.80 2.2349.77 49.20 0.57
(a) The evaluation results on CIFAR-10.
MethodNatural AccuracyBest FinalDiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE57.54 57.510.0356.45 57.12 -0.6729.40 21.75 7.6531.74 30.24 1.5028.54 20.63 7.9131.27 29.80 1.4727.06 21.17 5.8928.27 27.36 0.9124.72 19.34 5.3826.30 25.34 0.96
TRADESTRADES+TE57.98 56.321.6659.35 58.72 0.63|29.93 27.70 2.23|31.09 30.12 0.9729.51 26.93 2.58|230.54 29.45 1.09[25.46 24.42 1.04|26.61 25.94 0.6724.6123.40 1.2125.27 24.55 0.72
(b) The evaluation results on CIFAR-100.
MethodNatural AccuracyBest Final DiffPGD-10Best Final DiffPGD-1000Best Final DiffC&W-1000Best Final DiffAutoAttackBest Final Diff
PGD-ATPGD-AT+TE89.00 90.55 -1.5590.09 90.91 -0.82[54.51 46.97 7.5459.74 59.05 0.69[52.22 42.85 9.3757.7156.46 1.2548.66 44.13 4.5354.5553.94 0.6146.61 38.24 8.3751.44 50.61 0.83
TRADESTRADES+TE90.88 91.30 -0.4289.01 88.52 0.49[59.50 57.04 2.4659.81 58.49 1.32[52.78 50.17 2.6158.24 56.66 1.58[52.76 50.53 2.2354.00 53.24 0.7640.36 38.88 1.4851.45 50.16 1.29
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MethodNatural Accuracy Best Final 1DiffPGD-10 BestFinal DiffPGD-1000 Best Final DiffC&W-1000 BestFinal DiffAutoAttack Best Final Diff
PGD-AT83.75 84.82 -1.0752.64 44.927.7251.2242.74 8.48[50.11 43.63 7.4847.74 41.84 5.90
PGD-AT+LS82.68 85.16 -2.4853.70 48.90 4.8052.564 46.316.2550.41 46.06 4.3549.02 44.39 4.63
SAT82.81 81.86 0.9553.81 53.310.5052.41 52.000.4151.99 51.7150.214
KD-SWA84.84 85.26 -0.4254.890.2849.73 0.48
Co-teaching53.801.0953.31 52.450.8651.48 50.910.5750.42 49.83 0.59
81.94 82.22 -0.2851.27 50.520.7550.15 49.121.0350.85 49.86 0.9949.60 48.49 1.11
PGD-AT+TE82.35 82.79 -0.4455.7954.83 0.9654.65 53.30 1.3552.30 51.73 0.5750.59 49.62 0.97
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trueXX99.7399.6577.5337.4722.2062.18
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trueX99.5097.2884.2649.1615.2448.12
trueX99.4199.2080.2841.6419.1357.56
randomX×99.8099.559.790.1590.0199.40
randomXXX99.3686.109.710.2489.6585.86
randomXX99.8499.5310.130.2389.7199.30
randomXX99.1592.239.040.1790.1192.06
randomX99.2569.629.670.2489.5869.38
random×99.3881.579.540.1989.8481.38
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MethodsNetworksNormsNatural AccuracyPGD-10
BestFinalDiffBestFinalDiff
PGD-AT PGD-AT+TE PGD-ATWRN-34-10 WRN-34-10 VGG-16lo (∈=8/255)86.58 85.43 79.6086.83 85.10-0.25 0.3355.83 59.3049.52 56.636.31 2.67
PGD-AT+TE PGD-ATVGG-1678.19 88.8281.26 79.13-1.66 -0.9448.52 52.0643.02 51.295.50 0.77
88.96-0.1469.0565.963.09
PGD-AT+TE87.9588.200.65
ResNet-18l2 (∈ =128/255)-0.2572.5871.93
TRADES86.5086.57-0.0770.2266.074.15
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MethodNatural Accuracy
BestFinalDiff
PGD-AT83.76 ± 0.0284.93 ± 0.26-1.17 ± 0.29
PGD-AT+TE82.36 ± 0.1882.69 ± 0.14-0.33 ± 0.31
TRADES81.34 ± 0.1582.70 ± 0.21-1.36 ± 0.36
TRADES+TE83.66 ± 0.1983.89 ± 0.09-0.23 ± 0.21
MethodPGD-10
BestFinalDiff
PGD-AT52.62 ± 0.1044.91 ± 0.017.71 ± 0.11
PGD-AT+TE55.74 ± 0.1754.82 ± 0.230.92 ± 0.07
TRADES53.25 ± 0.0750.48 ± 0.232.77 ± 0.16
TRADES+TE54.93 ± 0.1654.04 ± 0.190.89 ± 0.13
MethodPGD-1000
BestFinalDiff
PGD-AT51.26 ± 0.0342.72 ± 0.068.54 ± 0.06
PGD-AT+TE54.54 ± 0.2753.01 ± 0.341.53 ± 0.24
TRADES52.24 ± 0.2048.74 ± 0.173.50 ± 0.13
TRADES+TE53.55 ± 0.1652.93 ± 0.070.62 ± 0.11
MethodC&W-1000
BestFinalDiff
PGD-AT PGD-AT+TE50.24 ± 0.1243.59 ± 0.076.65 ± 0.19
52.31 ± 0.0151.67 ± 0.120.64 ± 0.11
TRADES49.83 ± 0.0548.11 ± 0.041.72 ± 0.02
TRADES+TE50.80 ± 0.0250.61 ± 0.070.19 ± 0.08
MethodBestAutoAttack FinalDiff
PGD-AT PGD-AT+TE47.85 ± 0.17 50.37 ± 0.2241.62 ± 0.16 49.36 ± 0.246.23 ± 0.26 1.01 ± 0.03
TRADES48.86 ± 0.1846.73 ± 0.072.13 ± 0.11
TRADES+TE49.40 ± 0.2748.77 ± 0.210.63 ± 0.05
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In this paper, we demonstrate that Transformers can generalize well to 3D atomistic graphs and present Equiformer, a graph neural network leveraging the strength of Transformer architectures and incorporating $S E ( 3 ) / E ( 3 )$ -equivariant features based on irreducible representations (irreps). First, we propose a simple and effective architecture by only replacing original operations in Transformers with their equivariant counterparts and including tensor products. Using equivariant operations enables encoding equivariant information in channels of irreps features without complicating graph structures. With minimal modifications to Transformers, this architecture has already achieved strong empirical results. Second, we propose a novel attention mechanism called equivariant graph attention, which improves upon typical attention in Transformers through replacing dot product attention with multi-layer perceptron attention and including non-linear message passing. With these two innovations, Equiformer achieves competitive results to previous models on QM9, MD17 and OC20 datasets. + +# 1 INTRODUCTION + +Machine learned models can accelerate the prediction of quantum properties of atomistic systems like molecules by learning approximations of ab initio calculations (Gilmer et al., 2017; Zhang et al., 2018b; Jia et al., 2020; Gasteiger et al., 2020a; Batzner et al., 2022; Lu et al., 2021; Unke et al., 2021; Sriram et al., 2022; Rackers et al., 2023). In particular, graph neural networks (GNNs) have gained increasing popularity due to their performance. By modeling atomistic systems as graphs, GNNs naturally treat the set-like nature of collections of atoms, encode the interaction between atoms in node features and update the features by passing messages between nodes. One factor contributing to the success of neural networks is the ability to incorporate inductive biases that exploit the symmetry of data. Take convolutional neural networks (CNNs) for 2D images as an example: Patterns in images should be recognized regardless of their positions, which motivates the inductive bias of translational equivariance. As for atomistic graphs, where each atom has its coordinate in 3D Euclidean space, we consider inductive biases related to 3D Euclidean group $E ( 3 )$ , which include equivariance to 3D translation, 3D rotation, and inversion. Concretely, some properties like energy of an atomistic system should be constant regardless of how we shift the system; others like force should be rotated accordingly if we rotate the system. To incorporate these inductive biases, equivariant and invariant neural networks have been proposed. The former leverages geometric tensors like vectors for equivariant node features (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018; Fuchs et al., 2020; Batzner et al., 2022; Brandstetter et al., 2022; Musaelian et al., 2022), and the latter augments graphs with invariant information such as distances and angles extracted from 3D graphs (Schütt et al., 2017; Gasteiger et al., 2020b;a; Liu et al., 2022; Klicpera et al., 2021). + +A parallel line of research focuses on applying Transformer networks (Vaswani et al., 2017) to other domains like computer vision (Carion et al., 2020; Dosovitskiy et al., 2021; Touvron et al., 2020) and graph (Dwivedi & Bresson, 2020; Kreuzer et al., 2021; Ying et al., 2021; Shi et al., 2022) and has demonstrated widespread success. However, as Transformers were developed for sequence data (Devlin et al., 2019; Baevski et al., 2020; Brown et al., 2020), it is crucial to incorporate domain-related inductive biases. For example, Vision Transformer (Dosovitskiy et al., 2021) shows that adopting a pure Transformer to image classification cannot generalize well and achieves worse results than CNNs when trained on only ImageNet (Russakovsky et al., 2015) since it lacks inductive biases like translational invariance. Note that ImageNet contains over 1.28M images and the size is already larger than that of many quantum properties prediction datasets (Ruddigkeit et al., 2012; Chmiela et al., 2017; Chanussot\* et al., 2021). Therefore, this highlights the necessity of including correct inductive biases when applying Transformers to the domain of 3D atomistic graphs. + +Despite their widespread success in various domains, Transformers have yet to perform well across datasets (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) in the domain of 3D atomistic graphs even when relevant inductive biases are incorporated. In this work, we demonstrate that Transformers can generalize well to 3D atomistic graphs and present Equiformer, an equivariant graph neural network utilizing $S E ( 3 ) / E ( 3 )$ -equivariant features built from irreducible representations (irreps) and a novel attention mechanism to combine the 3D-related inductive bias with the strength of Transformer. First, we propose a simple and effective architecture, Equiformer with dot product attention and linear message passing, by only replacing original operations in Transformers with their equivariant counterparts and including tensor products. Using equivariant operations enables encoding equivariant information in channels of irreps features without complicating graph structures. With minimal modifications to Transformers, this architecture has already achieved strong empirical results (Index 3 in Table 6 and 7). Second, we propose a novel attention mechanism called equivariant graph attention, which improves upon typical attention in Transformers through replacing dot product attention with multi-layer perceptron attention and including non-linear message passing. Combining these two innovations, Equiformer (Index 1 in Table 6 and 7) achieves competitive results on QM9 (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014), MD17 (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) and OC20 (Chanussot\* et al., 2021) datasets. For QM9 and MD17, Equiformer achieves overall better results across all tasks or all molecules compared to previous models like NequIP (Batzner et al., 2022) and TorchMD-NET (Thölke & Fabritiis, 2022). For OC20, when trained with IS2RE data and optionally IS2RS data, Equiformer improves upon state-of-the-art models such as SEGNN (Brandstetter et al., 2022) and Graphormer (Shi et al., 2022). Particularly, as of the submission of this work, Equiformer achieves the best IS2RE result when only IS2RE and IS2RS data are used and improves training time by $2 . 3 \times$ to $1 5 . 5 \times$ compared to previous models. + +# 2 RELATED WORKS + +We focus on equivariant neural networks here. We provide a detailed comparison between other equivariant Transformers and Equiformer and discuss other related works in Sec. B in appendix. + +$S E ( 3 ) / E ( 3 )$ -Equivariant GNNs. Equivariant neural networks (Thomas et al., 2018; Kondor et al., 2018; Weiler et al., 2018; Fuchs et al., 2020; Miller et al., 2020; Townshend et al., 2020; Batzner et al., 2022; Jing et al., 2021; Schütt et al., 2021; Satorras et al., 2021; Unke et al., 2021; Brandstetter et al., 2022; Thölke & Fabritiis, 2022; Le et al., 2022; Musaelian et al., 2022) operate on geometric tensors like type- $L$ vectors to achieve equivariance. The central idea is to use functions of geometry built from spherical harmonics and irreps features to achieve 3D rotational and translational equivariance as proposed in Tensor Field Network (TFN) (Thomas et al., 2018), which generalizes 2D counterparts (Worrall et al., 2016; Cohen & Welling, 2016; Cohen et al., 2018) to 3D Euclidean space (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018). Previous works differ in equivariant operations used in their networks. TFN (Thomas et al., 2018) and NequIP (Batzner et al., 2022) use graph convolution with linear messages, with the latter utilizing extra equivariant gate activations (Weiler et al., 2018). SEGNN (Brandstetter et al., 2022) introduces non-linear messages (Gilmer et al., 2017; Sanchez-Gonzalez et al., 2020) for irreps features, and the non-linear messages use the same gate activation and improve upon linear messages. SE(3)-Transformer (Fuchs et al., 2020) adopts an equivariant version of dot product (DP) attention (Vaswani et al., 2017) with linear messages, and the attention can support vectors of any type $L$ . Subsequent works on equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022) follow the practice of DP attention and linear messages but use more specialized architectures considering only type-0 and type-1 vectors. + +The proposed Equiformer incorporates all the advantages through combining MLP attention with non-linear messages and supporting vectors of any type. Compared to TFN, NequIP, SEGNN and SE(3)-Transformer, the proposed combination of MLP attention and non-linear messages is more expressive than pure linear or non-linear messages and pure MLP or dot product attention. Compared to other equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022), in addition to being more expressive, the proposed attention mechanism can support vectors of higher degrees (types) and involve higher order tensor product interactions, which can lead to better performance. + +# 3 BACKGROUND + +# 3.1 $E ( 3 )$ EQUIVARIANCE + +Atomistic systems are often described using coordinate systems. For 3D Euclidean space, we can freely choose coordinate systems and change between them via the symmetries of 3D space: 3D translation, rotation and inversion ( $\vec { r } - \vec { r }$ ). The groups of 3D translation, rotation and inversion form Euclidean group $E ( 3 )$ , with the first two forming $S E ( 3 )$ , the second being $S O ( 3 )$ , and the last two forming $O ( 3 )$ . The laws of physics are invariant to the choice of coordinate systems and therefore properties of atomistic systems are equivariant, e.g., when we rotate our coordinate system, quantities like energy remain the same while others like force rotate accordingly. Formally, a function $f$ mapping between vector spaces $X$ and $Y$ is equivariant to a group of transformation $G$ if for any input $x \in X$ , output $y \in Y$ and group element $g \in G$ , we have $f ( D _ { X } ( g ) x ) = D _ { Y } ( g ) f ( x )$ , where $D _ { X } ( g )$ and $D _ { Y } ( g )$ are transformation matrices parametrized by $g$ in $X$ and $Y$ . For learning on 3D atomistic graphs, features and learnable functions should be $E ( 3 )$ -equivariant to geometric transformation acting on position $\vec { r }$ . In this work, following previous works (Thomas et al., 2018; Kondor et al., 2018; Weiler et al., 2018) implemented in $\mathtt { e 3 n n }$ (Geiger et al., 2022), we achieve $S E ( 3 ) / E ( 3 )$ -equivariance by using equivariant features based on vector spaces of irreducible representations and equivariant operations for learnable functions. In the main text, we discuss $S E ( 3 )$ -equivariance and benchmark Equiformer with $S E ( 3 )$ -equivariance. We leave the discussion on inversion and $E ( 3 )$ -equivariance in Sec. A and present results of $E ( 3 )$ -equivariance in Sec. D.2 and Sec. F.4 in appendix. + +# 3.2 IRREDUCIBLE REPRESENTATIONS + +A group representation (Dresselhaus et al., 2007; Zee, 2016) defines transformation matrices $D _ { X } ( g )$ of group elements $g$ that act on a vector space $X$ . For 3D Euclidean group $E ( 3 )$ , two examples of vector spaces with different transformation matrices are scalars and Euclidean vectors in $\bar { \mathbb { R } } ^ { 3 }$ , i.e., vectors change with rotation while scalars do not. To address translation symmetry, we operate on relative positions. The transformation matrices of rotation and inversion are separable and commute. We discuss irreducible representations of $S O ( 3 )$ below and discuss inversion in Sec. A.3 in appendix. + +Any group representation of $S O ( 3 )$ on a given vector space can be decomposed into a concatenation of provably smallest transformation matrices called irreducible representations (irreps). Specifically, for group element $g \in S O ( 3 )$ , there are $( 2 L + 1 )$ -by- $( 2 L + 1 )$ irreps matrices $D _ { L } ( g )$ called Wigner-D matrices acting on $( 2 L + 1 )$ -dimensional vector spaces, where degree $L$ is a non-negative integer. $L$ can be interpreted as an angular frequency and determines how quickly vectors change when rotating coordinate systems. $D _ { L } ( g )$ of different $L$ act on independent vector spaces. Vectors transformed by $D _ { L } ( g )$ are type- $L$ vectors, with scalars and Euclidean vectors being type-0 and type-1 vectors. It is common to index elements of type- $L$ vectors with an index $m$ called order, where $- L \leq m \leq L$ . + +Irreps Features. We concatenate multiple type- $L$ vectors to form $S E ( 3 )$ -equivariant irreps features. Concretely, irreps feature $f$ has $C _ { L }$ type- $L$ vectors, where $0 \leq L \leq L _ { m a x }$ and $C _ { L }$ is the number of channels for type- $L$ vectors. We index irreps features $f$ by channel $c$ , degree $L$ , and order $m$ and denote as $f _ { c , m } ^ { ( L ) }$ . Different channels of type- $L$ vectors are parametrized by different weights but are transformed with the same $D _ { L } ( g )$ . Regular scalar features correspond to only type-0 vectors. + +Spherical Harmonics. Euclidean vectors $\vec { r }$ in $\mathbb { R } ^ { 3 }$ can be projected into type- $L$ vectors $f ^ { ( L ) }$ by using spherical harmonics (SH) $Y ^ { ( L ) }$ : $\begin{array} { r } { f ^ { ( L ) } = Y ^ { ( L ) } ( \frac { \vec { r } } { | | \vec { r } | | } ) } \end{array}$ . SH are $E ( 3 )$ -equivariant with $D _ { L } ( g ) f ^ { ( L ) } =$ ${ \cal Y } ^ { ( L ) } ( \frac { D _ { 1 } ( g ) \vec { r } } { | | D _ { 1 } ( g ) \vec { r } | | } )$ SH of relative position $\vec { r } _ { i j }$ generates the first set of irreps features. Equivariant information propagates to other irreps features through equivariant operations like tensor products. + +# 3.3 TENSOR PRODUCT + +Tensor products can interact different type- $L$ vectors. We discuss tensor products for $S O ( 3 )$ below and those for $O ( 3 )$ in Sec. A.4. The tensor product denoted as $\otimes$ uses Clebsch-Gordan coefficients to combine type- $L _ { 1 }$ vector $f ^ { ( L _ { 1 } ) }$ and type- $L _ { 2 }$ vector $g ^ { ( L _ { 2 } ) }$ and produces type- $L _ { 3 }$ vector $h ^ { ( L _ { 3 } ) }$ : + +$$ +h _ { m _ { 3 } } ^ { ( L _ { 3 } ) } = ( f ^ { ( L _ { 1 } ) } \otimes g ^ { ( L _ { 2 } ) } ) _ { m _ { 3 } } = \sum _ { m _ { 1 } = - L _ { 1 } } ^ { L _ { 1 } } \sum _ { m _ { 2 } = - L _ { 2 } } ^ { L _ { 2 } } C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } f _ { m _ { 1 } } ^ { ( L _ { 1 } ) } g _ { m _ { 2 } } ^ { ( L _ { 2 } ) } +$$ + +where $m _ { 1 }$ denotes order and refers to the $m _ { 1 }$ -th element of $f ^ { ( L _ { 1 } ) }$ . Clebsch-Gordan coefficients C(L3,m3)(L1,m1)(L2,m2) are non-zero only when |L1 − L2| ≤ L3 ≤ |L1 + L2| and thus restrict output vectors to be of certain types. For efficiency, we discard vectors with $L > L _ { m a x }$ , where $L _ { m a x }$ is a hyper-parameter, to prevent vectors of increasingly higher dimensions. + +We call each distinct non-trivial combination of $L _ { 1 } \otimes L _ { 2 } \to L _ { 3 }$ a path. Each path is independently equivariant, and we can assign one learnable weight to each path in tensor products, which is similar to typical linear layers. We can generalize Eq. 1 to irreps features and include multiple channels of vectors of different types through iterating over all paths associated with channels of vectors. In this way, weights are indexed by $( c _ { 1 } , l _ { 1 } , c _ { 2 } , l _ { 2 } , c _ { 3 } , l _ { 3 } )$ , where $c _ { 1 }$ is the $c _ { 1 }$ -th channel of type- $l _ { 1 }$ vector in input irreps feature. We use $\otimes _ { w }$ to represent tensor product with weights $w$ . Weights can be conditioned on quantities like relative distances. + +![](images/6bc9032c42e0c0a0b3a52902b0e4e084221fca37842bc78815d3fe75d2b3d6e7.jpg) +Figure 1: Architecture of Equiformer. We embed input 3D graphs with atom and edge-degree embeddings and process them with Transformer blocks, consisting of equivariant graph attention and feed forward networks. In this figure, “ $\cdot _ { \otimes } \cdot$ ” denotes multiplication, “ $\bigoplus$ ” denotes addition, and “DTP” stands for depth-wise tensor product. $\displaystyle \sum$ within a circle denotes summation over all neighbors. Gray cells indicate intermediate irreps features. + +# 4 EQUIFORMER + +First, we propose a simple and effective architecture, Equiformer with dot product attention and linear message passing, by only replacing original operations in Transformers with their equivariant counterparts and including tensor products for ${ S E ( 3 ) } / { E ( 3 ) }$ -equivariant irreps features. The equivariant operations are discussed in Sec. 4.1. The equivariant version of dot product attention can be found in Sec. C.3, and that of other modules in Transformers can be found in Sec. 4.3. Second, we propose a novel attention mechanism called equivariant graph attention in Sec. 4.2. The proposed Equiformer combines these two innovations and is illustrated in Fig. 1. + +# 4.1 EQUIVARIANT OPERATIONS FOR IRREPS FEATURES + +We discuss below equivariant operations, which serve as building blocks for equivariant graph attention and other modules, and analyze how they remain equivariant in Sec. C.1. They include the equivariant version of operations in Transformers and depth-wise tensor products as shown in Fig. 2. + +Linear. Linear layers are generalized to irreps features by transforming different type- $L$ vectors separately. Specifically, we apply separate linear operations to each group of type- $L$ vectors. We remove bias terms for non-scalar features with $L > 0$ as biases do not depend on inputs, and therefore, including biases for type- $L$ vectors with $L > 0$ can break equivariance. + +Layer Normalization. Transformers adopt layer normalization (LN) (Ba et al., 2016) to stabilize training. Given input $x ~ \in ~ \mathbb { R } ^ { N \times C }$ , with $N$ being the number of nodes and $C$ the number of channels, LN calculates the linear transformation of normalized input as $\begin{array} { r } { \mathrm { L N } ( x ) = \left( \frac { x - \mu _ { C } } { \sigma _ { C } } \right) \circ \gamma + \beta } \end{array}$ , where $\mu _ { C } , \sigma _ { C } \in \mathbb { R } ^ { N \times 1 }$ are mean and standard deviation of input $x$ along the channel dimension, $\gamma , \beta \in \mathbb { R } ^ { 1 \times C }$ are learnable parameters, and $\circ$ denotes element-wise product. By viewing standard deviation as the root mean square value (RMS) of L2-norm of type- $L$ vectors, LN can be generalized to irreps features. Specifically, given input $x \in \mathbb { R } ^ { N \times C \times ( 2 L + 1 ) }$ of type- $L$ vectors, the output is $\begin{array} { r } { \mathrm { L N } ( x ) = \left( \frac { x } { \mathrm { R M S } _ { C } ( \mathrm { n o r m } ( x ) ) } \right) \circ \gamma } \end{array}$ , where $\mathrm { n o r m } ( x ) \in \mathbb { R } ^ { N \times C \times 1 }$ calculates the L2-norm of each type- $L$ vectors in $x$ , and $\mathbf { R M S } _ { C } ( \mathrm { n o r m } ( x ) ) \in \mathbb { R } ^ { N \times 1 \times 1 }$ calculates the RMS of L2-norm with mean taken along the channel dimension. We remove means and biases for type- $L$ vectors with $L \neq 0$ . + +![](images/ab2a7642418aa658c7a7885522e16b3ebe74aa1e36d5f7bc753d7e7ab118b8dd.jpg) +Figure 2: Equivariant operations used in Equiformer. (a) Each gray line between input and output irreps features contains one learnable weight. (b) “RMS” denotes the root mean square value along the channel dimension. For simplicity, we have removed multiplying by $\gamma$ here. (c) Gate layers are equivariant activation functions where non-linearly transformed scalars are used to gate non-scalar irreps features. (d) The left two irreps features correspond to two input irreps features, and the rightmost one is the output irreps feature. The two gray lines connecting two vectors in the input irreps features and one vector in the output irreps feature form a path and contain one learnable weight. An alternative visualization of depth-wise tensor products can be found in Fig. 3 in appendix. We show $S E ( 3 )$ -equivariant operations here, which can be generalized to $E ( 3 )$ -equivariant features. + +Gate. We use the gate activation (Weiler et al., 2018) for equivariant activation function as shown in Fig. 2(c). Typical activation functions are applied to type-0 vectors. For vectors of higher $L$ , we multiinput $x$ y them with non-linecontaining non-scalar $C _ { L }$ trantype- $L$ ormed type-0vectors with $0 < L \leq L _ { m a x }$ uivar and $\begin{array} { r } { ( C _ { 0 } + \sum _ { L = 1 } ^ { L _ { m a x } } C _ { L } ) } \end{array}$ , giventype-0 $C _ { 0 }$ vectors and sigmoid function to the other $\sum _ { L = 1 } ^ { L _ { m a x } } C _ { L }$ type-0 vectors to obtain non-linear weights and multiply each type- vector with corresponding non-linear weights. After the gate activation, the number of channels for type-0 vectors is reduced to $C _ { 0 }$ . + +Depth-wise Tensor Product. The tensor product defines interaction between vectors of different $L$ . To improve its efficiency, we use the depth-wise tensor product (DTP), where one type- $L$ vector in output irreps features depends only on one type- $L ^ { \prime }$ vector in input irreps features as illustrated in Fig. 2(d) and Fig. 3, with $L$ being equal to or different from $L ^ { \prime }$ . This is similar to depth-wise convolution (Howard et al., 2017), where one output channel depends on only one input channel. Weights $w$ in the DTP can be input-independent or conditioned on relative distances, and the DTP between two tensors $x$ and $y$ is denoted as $x \otimes _ { w } ^ { D T P } y$ . Note that the one-to-one dependence of channels can significantly reduce the number of weights and thus memory complexity when weights are conditioned on relative distances. In contrast, if one output channel depends on all input channels, in our case, this can lead to out-of-memory errors when weights are parametrized by relative distances. + +# 4.2 EQUIVARIANT GRAPH ATTENTION + +Self-attention (Vaswani et al., 2017; Velickoviˇ c et al.´ , 2018; Fuchs et al., 2020; Khan et al., 2021; Ying et al., 2021; Brody et al., 2022) transforms features sent from one spatial location to another with input-dependent weights. We use the notion from Transformers (Vaswani et al., 2017) and message passing networks (Gilmer et al., 2017) and define message $m _ { i j }$ sent from node $j$ to node $i$ as follows: + +$$ +m _ { i j } = a _ { i j } \times v _ { i j } +$$ + +where attention weights $a _ { i j }$ depend on features on node $i$ and its neighbors $\mathcal { N } ( i )$ and values $v _ { i j }$ are transformed with input-independent weights. In Transformers and Graph Attention Networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022), $v _ { i j }$ depends only on node $j$ . In message passing networks (Gilmer et al., 2017), $v _ { i j }$ depends on features on nodes $i$ and $j$ with constant $a _ { i j }$ . The proposed equivariant graph attention adopts tensor products to incorporate content and geometric information and uses multi-layer perceptron attention for $a _ { i j }$ and non-linear message passing for $v _ { i j }$ as illustrated in Fig. 1(b). + +Incorporating Content and Geometric Information. Given features $x _ { i }$ and $x _ { j }$ on target node $i$ and source node $j$ , we combine the two features with two linear layers to obtain initial message $x _ { i j } = \mathrm { L i n e a r } _ { d s t } ( x _ { i } ) + \mathrm { L i n e a r } _ { s r c } ( x _ { j } )$ . $x _ { i j }$ is passed to a DTP layer and a linear layer to consider geometric information like relative position contained in different type- $L$ vectors in irreps features: + +$$ +\begin{array} { r } { x _ { i j } ^ { \prime } = x _ { i j } \otimes _ { w ( | | \vec { r } _ { i j } | | ) } ^ { D T P } \mathrm { S H } ( \vec { r } _ { i j } ) \quad \mathrm { a n d } \quad f _ { i j } = \mathrm { L i n e a r } ( x _ { i j } ^ { \prime } ) } \end{array} +$$ + +where $\boldsymbol { x } _ { i j } ^ { \prime }$ is the tensor product of $x _ { i j }$ and spherical harmonics embeddings (SH) of relative position $\vec { r } _ { i j }$ , with weights parametrized by $\lvert \lvert \vec { r } _ { i j } \rvert \rvert$ . $f _ { i j }$ considers semantic and geometric features on source and target nodes in a linear manner and is used to derive attention weights and non-linear messages. + +Multi-Layer Perceptron Attention. Attention weights $a _ { i j }$ capture how each node interacts with neighboring nodes. $a _ { i j }$ are invariant to geometric transformation, and thus, we only use type-0 vectors (scalars) of message $f _ { i j }$ denoted as $f _ { i j } ^ { ( 0 ) }$ for attention. Note that $f _ { i i } ^ { ( 0 ) }$ encodes directional information, as they are generated by tensor products of type- vectors with $\dot { L } \geq 0$ . Inspired by GATv2 (Brody et al., 2022), we adopts multi-layer perceptron attention (MLPA) instead of dot product attention (DPA) used in Transformers (Vaswani et al., 2017). In contrast to dot product, MLPs are universal approximators (Hornik et al., 1989; Hornik, 1991; Cybenko, 1989) and can theoretically capture any attention patterns. Given $f _ { i j } ^ { ( 0 ) }$ , we uses one leaky ReLU layer and one linear layer for $a _ { i j }$ : + +$$ +z _ { i j } = a ^ { \top } \mathrm { L e a k y R e L U } ( f _ { i j } ^ { ( 0 ) } ) \quad \mathrm { a n d } \quad a _ { i j } = \mathrm { s o f t m a x } _ { j } ( z _ { i j } ) = \frac { \exp ( z _ { i j } ) } { \sum _ { k \in \mathcal { N } ( i ) } \exp ( z _ { i k } ) } +$$ + +where $a$ is a learnable vectors of the same dimension as $f _ { i j } ^ { ( 0 ) }$ and $z _ { i j }$ is a single scalar. The output of attention is the sum of value $v _ { i j }$ multipled by corresponding $a _ { i j }$ over all neighboring nodes $j \in \mathcal { N } ( i )$ , where $v _ { i j }$ can be obtained by linear or non-linear transformations of $f _ { i j }$ as discussed below. + +Non-Linear Message Passing. Values $v _ { i j }$ are features sent from one node to another, transformed with input-independent weights. We first split $f _ { i j }$ into $f _ { i j . } ^ { ( L ) }$ and $f _ { i j . } ^ { ( 0 ) }$ , where the former consists of type- $L$ vectors with $0 \leq L \leq L _ { m a x }$ and the latter consists of scalars only. Then, we perform non-linear transformation to $f _ { i j } ^ { ( L ) }$ to obtain non-linear message: + +$$ +\mu _ { i j } = \mathrm { G a t e } ( f _ { i j } ^ { ( L ) } ) \quad \mathrm { a n d } \quad v _ { i j } = \mathrm { L i n e a r } ( \left[ \mu _ { i j } \otimes _ { w } ^ { D T P } \mathrm { S H } ( \vec { r } _ { i j } ) \right] ) +$$ + +We apply gate activation to f (L)ij to obtain µij . We use one DTP and a linear layer to enable interaction between non-linear type- $L$ vectors, which is similar to how we transform $\boldsymbol { x } _ { i j }$ into $f _ { i j }$ . Weights $w$ here are input-independent. We can also use $f _ { i j } ^ { ( L ) }$ directly as $v _ { i j }$ for linear messages. + +Multi-Head Attention. Following Transformers (Vaswani et al., 2017), we can perform $h$ parallel equivariant graph attention functions given $f _ { i j }$ . The $h$ different outputs are concatenated and projected with a linear layer, resulting in the final output $y _ { i }$ as illustrated in Fig. 1(b). Note that parallelizing attention functions and concatenating can be implemented with “Reshape”. + +# 4.3 OVERALL ARCHITECTURE + +For completeness, we discuss other modules in Equiformer here. + +Embedding. This module consists of atom embedding and edge-degree embedding. For the former, we use a linear layer to transform one-hot encoding of atom species. For the latter, as depicted in the right branch in Fig. 1(c), we first transform a constant one vector into messages encoding local geometry with two linear layers and one intermediate DTP layer and then use sum aggregation to encode degree information (Xu et al., 2019; Shi et al., 2022). The DTP layer has the same form as that in Eq. 3. We scale the aggregated features by dividing with the squared root of average degrees in training sets so that standard deviation of aggregated features would be close to 1. + +Radial Basis and Radial Function. Relative distances $\lvert \lvert \vec { r } _ { i j } \rvert \rvert$ parametrize weights in some DTP layers. To reflect subtle changes in $\lvert \lvert \vec { r } _ { i j } \rvert \rvert$ , we represent distances with radial basis like Gaussian radial basis (Schütt et al., 2017) and radial Bessel basis (Gasteiger et al., 2020b;a). We transform radial basis with a learnable radial function to generate weights for those DTP layers. The function consists of a two-layer MLP, with each linear layer followed by LN and SiLU, and a final linear layer. + +Feed Forward Network. Similar to Transformers, we use two equivariant linear layers and an intermediate gate activation for the feed forward networks in Equiformer. + +Output Head. The last feed forward network transforms features on each node into a scalar. We perform sum aggregation over all nodes to predict scalar quantities like energy. Similar to edge-degree embedding, we divide the aggregated scalars with the squared root of average numbers of atoms. + +Table 1: MAE results on QM9 testing set. $\dagger$ denotes using different data partitions. + +
MethodsTask Unitsα a△ε meVεHOMO meVεLUMO meVμ DCv cal/mol KG meVH meVR aU meVU meVZPVE meV
NMP(Gilmer et al., 2017)t.092694338.030.0401917.18020201.50
SchNet (Schutt et al.,2017).235634134.033.0331414.07319141.70
Cormorant (Anderson et al., 2019)†.085613438.038.0262021.96121222.03
LieConv (Finzi et al.,020)t.084493025.032.0382224.80019192.28
DimeNet++ (Gasteiger et al., 2020a).044332520.030.02387.331661.21
TFN (Thomas et al., 2018)†.223584038.064.101------
SE(3)-Transformer(Fuchs etal.,2020)†.142533533.051.054------
EGNN (Satorras et al.,2021)†.071482925.029.0311212.10612111.55
PaiNN (Schutt et al.,2021).045462820.012.0247.355.98.0665.835.851.28
TorchMD-NET(Tholke & Fabritiis,2022).059362018.011.0267.626.16.0336.386.151.84
SphereNet (Liu et al.,2022).046322318.026.02186.292761.12
SEGNN (Brandstetter et al.,2022)†.060422421.023.0311516.66013151.62
EQGAT (Le et al.,2022).053322016.011.0242324.38225252.00
Equiformer.046301514.011.0237.636.63.2516.746.591.26
+ +
AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
SchNet (Schutt et al.,2017)16.058.53.513.43.516.95.628.66.925.28.736.95.224.76.124.3
DimeNet (Gasteiger et al.,2020b)8.821.63.48.12.810.04.516.65.39.35.816.24.49.45.013.1
PaiNN (Schuitt et al., 2021)6.914.7--2.79.73.913.85.03.34.98.54.14.14.56.0
TorchMD-NET(Tholke &Fabritis,2022)5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.1 4.54.1
NequIP(Lmax =3)(Batzner etal.,022)5.78.0--2.23.13.35.64.91.74.63.94.02.03.3
Equiformer (Lmar =2)5.37.26.623.35.83.74.54.13.84.33.3
Equiformer(Lmax =3)5.36.68.133.25.44.4204.33.93.724.33.4
+ +Table 2: MAE results on MD17 testing set. Energy and force are in units of meV and meV/Å. + +# 5 EXPERIMENT + +We benchmark Equiformer on QM9 (Sec. 5.1), MD17 (Sec. 5.2) and OC20 (Sec. 5.3) datasets. Moreover, ablation studies (Sec. 5.4) are conducted to demonstrate that Equiformer with dot prodcut attention and linear message passing has already achieved strong empirical results on QM9 and OC20 datasets and verify that the proposed equivariant graph attention improves upon typical dot product attention in Transformer as well as dot product attention in other equivariant Transformers. Additional results of including inversion can be found in Sec. D.2 and Sec. F.4. + +# 5.1 QM9 + +Dataset. The QM9 dataset (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014) (CC BY-NC SA 4.0 license) consists of $1 3 4 \mathrm { k }$ small molecules, and the goal is to predict their quantum properties. The data partition we use has 110k, 10k, and 11k molecules in training, validation and testing sets. We minimize mean absolute error (MAE) between prediction and normalized ground truth. + +Training Details. Please refer to Sec. D.1 in appendix for details on architecture, hyper-parameters and training time. + +Results. We summarize the comparison to previous models in Table 1. Equiformer achieves overall better results across 12 regression tasks compared to each individual model. The comparison to SEGNN, which uses irreps features as Equiformer, demonstrates the effectiveness of combining non-lienar message passing with MLP attention. Additionally, Equiformer achieves better results for most tasks when compared to other equivariant Transformers, which are SE(3)-Transformer, TorchMD-NET and EQGAT. This demonstrates a better adaption of Transformers to 3D graphs and the effectiveness of the proposed equivariant graph attention. We note that for the tasks of $\mu$ and $R ^ { 2 }$ , PaiNN and TorchMD-NET use different architectures, which take into account the property of the task. In contrast, we use the same architecture for all tasks. We compare training time in Sec. D.3. + +# 5.2 MD17 + +Dataset. The MD17 dataset (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) (CC BY-NC) consists of molecular dynamics simulations of small organic molecules, and the goal is to predict their energy and forces. We use 950 and 50 different configurations for training and validation sets and the rest for the testing set. Forces are derived as the negative gradient of energy with respect to atomic positions. We minimize MAE between prediction and normalized ground truth. + +Training Details. Please refer to Sec. E.1 in appendix for details on architecture, hyper-parameters and training time. + +Results. We train Equiformer with $L _ { m a x } \ = \ 2$ and 3 and summarize the results in Table 2. Equiformer achieves overall better results across 8 molecules compared to each individual model. Compared to TorchMD-NET, which is also an equivariant Transformer, the difference lies in the proposed equivariant graph attention, which is more expressive and can support vectors of higher degree + +Table 3: Results on OC20 IS2RE testing set. + +
Energy MAE (eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
CGCNN (Xie & Grossman,2018)0.61490.91550.62190.85110.75093.401.933.102.002.61
SchNet (Schut et al., 2017)0.63870.73420.66160.70370.68462.962.332.942.212.61
DimeNet++(Gasteiger etal.,2020a)0.56210.72520.57560.66130.63114.252.074.102.413.21
PaiNN (Schutt et al.,2021)0.5750.7830.6040.7430.67633.461.973.462.282.79
SpinConv (Shuaibi et al.,2021)0.55830.72300.56870.67380.63104.082.263.822.333.12
SphereNet (Liu etal.,2022)0.56250.70330.57080.63780.61864.472.294.092.413.32
SEGNN (Brandstetter et al., 2022)0.53270.69210.53690.67900.61015.372.464.912.633.84
Equiformer0.50370.68810.52130.63010.58585.142.414.672.693.73
+ +Table 4: Results on OC20 IS2RE validation set when IS2RS is adopted during training. + +
Energy MAE (eV)↓EwT(%) ↑
MethodsIDOOD AdsOOD CatOODBothAverageIDOOD AdsOOD CatOOD BothAverage
GNS (Godwin et al.,2022)0.540.650.550.590.5825-----
GNS + Noisy Nodes (Godwin et al., 2022)0.470.510.480.460.4800=----
Graphormer (Shi et al., 2022)0.43290.58500.44410.52990.4980----
Equiformer0.42220.54200.42310.47540.46577.233.777.134.105.56
Equiformer + Noisy Nodes0.41560.49760.41650.43440.44107.474.647.194.846.04
+ +
Energy MAE (eV)↓EwT(%)↑Training time
MethodsIDOOD AdsOOD CatOOD BothAverageDOOD AdsOOD CatOOD BothAverage(GPU-days)
GNS + Noisy Nodes (Godwin et al.,2022)0.42190.56780.43660.46510.47289.124.258.014.646.556 (TPU)
Graphormer (Shi et al.,22)†0.39760.57190.41660.50290.47228.973.458.183.796.1372(A100)
Equiformer+Noisy Nodes0.41710.54790.42480.47410.46607.713.707.154.075.6624 (A6000)
+ +Table 5: Results on OC20 IS2RE testing set when IS2RS is adopted during training. $\dagger$ denotes using ensemble of models trained on both IS2RE training and validation sets. In contrast, we use the same single Equiformer model in Table 4, which is trained only on the training set. Note that Equiformer achieves better results with much less computation. + +$L$ (i.e., we use $L _ { m a x } = 2$ and 3) instead of restricting to type-0 and type-1 vectors (i.e., $L _ { m a x } = 1$ ). For the last three molecules, although Equiformer with $L _ { m a x } = 2$ achieves lower force MAE but higher energy MAE, we can adjust the weights of energy loss and force loss so that Equiformer achieves lower MAE for both energy and forces as shown in Table 12 in appendix. Compared to NequIP, which also uses irreps features and $L _ { m a x } = 3$ , Equiformer with $L _ { m a x } = 2$ achieves overall lower MAE although including higher $L _ { m a x }$ can improve performance. When using $L _ { m a x } = 3$ Equiformer achieves lower MAE results for most molecules. This suggests that the proposed attention can improve upon linear messages even when the size of training sets becomes small. We compare the training time of NequIP and Equiformer in Sec. E.3. Additionally, for Equiformer, increasing $L _ { m a x }$ from 2 to 3 improves MAE for most molecules except benzene, which results from overfitting. + +# 5.3 OC20 + +Dataset. The Open Catalyst 2020 (OC20) dataset (Chanussot\* et al., 2021) (Creative Commons Attribution 4.0 License) consists of larger atomic systems, each composed of a molecule called adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom types than QM9 and MD17. We focus on the task of initial structure to relaxed energy (IS2RE), which is to predict the energy of a relaxed structure (RS) given its initial structure (IS). Performance is measured in MAE and energy within threshold (EwT), the percentage in which predicted energy is within $0 . 0 2 \mathrm { e V }$ of ground truth energy. In validation and testing sets, there are four sub-splits containing in-distribution adsorbates and catalysts (ID), out-of-distribution adsorbates (OOD-Ads), out-of-distribution catalysts (OOD-Cat), and out-of-distribution adsorbates and catalysts (OOD-Both). Please refer to Sec. F.1 for the detailed description of OC20 dataset. + +Setting. We consider two training settings based on whether a node-level auxiliary task (Godwin et al., 2022) is adopted. In the first setting, we minimize MAE between predicted energy and ground truth energy without any node-level auxiliary task. In the second setting, we incorporate the task of initial structure to relaxed structure (IS2RS) as a node-level auxiliary task. + +Training Details. Please refer to Sec. F.2 in appendix for details on Equiformer architecture, hyper-parameters and training time. + +IS2RE Results without Node-Level Auxiliary Task. We summarize the results on validation and testing sets under the first setting in Table 15 in appendix and Table 3. Compared with state-of-theart models like SEGNN and SphereNet, Equiformer consistently achieves the lowest MAE for all the four sub-splits in validation and testing sets. Note that EwT considers only the percentage of predictions close enough to ground truth and the distribution of errors, and therefore improvement in average errors (MAE) would not necessarily reflect that in error distributions (EwT). A more detailed discussion can be found in Sec. F.6 in appendix. We also note that models are trained by minimizing MAE, and therefore comparing MAE could mitigate the discrepancy between training objectives and evaluation metrics and that OC20 leaderboard ranks the relative performance according to MAE. Additionally, we compare the training time of SEGNN and Equiformer in Sec. F.5. + +
IndexMethodsTask α△ε meVεHOMO meVεLUMO片 CvTraining timeNumber of parameters
Non-linear message passingMLP attentionUnit aD cal/mol K
1·attention.04630meV 14.011.023(minutes/epoch) 12.13.53M
2.0513215 1616.013.0257.23.01M
3.053321716.013.0257.83.35M
+ +Table 6: Ablation study results on QM9. + +
IndexMethodsEnergy MAE(eV)↓EwT(%)↑Number of
Non-linear message passingMLP attentionDot product attentionIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverageTraining time (minutes/epoch)
1230.50880.62710.50510.55450.54894.882.934.922.983.93130.8parameters 9.12M
·0.51680.63080.50880.56570.55554.592.824.793.023.8191.27.84M
0.53860.63820.52970.56920.56894.372.604.362.863.5599.38.72M
+ +Table 7: Ablation study results on OC20 IS2RE validation set. + +IS2RE Results with IS2RS Node-Level Auxiliary Task. We report the results on validation and testing sets in Table 4 and Table 5. As of the date of the submission of this work, Equiformer achieves the best results on IS2RE task when only IS2RE and IS2RS data are used. Notably, the result in Table 5 is achieved with much less computation. We note that under this setting, greater depths and thus more computation translate to better performance (Godwin et al., 2022) and that Equiformer demonstrates incorporating equivariant features and the proposed equivariant graph attention can improve training efficiency by $2 . 3 \times$ to $1 5 . 5 \times$ compared to invariant message passing networks and invariant Transformers. + +# 5.4 ABLATION STUDY + +We conduct ablation studies to show that Equiformer with dot product attention and linear message passing has already achieved strong empirical results and demonstrate the improvement brought by MLP attention and non-linear messages in the proposed equivariant graph attention. Dot product (DP) attention only differs from MLP attention in how attention weights $a _ { i j }$ are generated from $f _ { i j }$ Please refer to Sec. C.3 in appendix for further details. For experiments on QM9 and OC20, unless otherwise stated, we follow the hyper-parameters used in previous experiments. + +Result on QM9. The comparison is summarized in Table 6. Compared with models in Table 1, Equiformer with dot product attention and linear message passing (Index 3) achieves competitve results. Non-linear messages improve upon linear messages when MLP attention is used while non-linear messages increase the number of tensor product operations in each block from 1 to 2 and thus inevitably increase training time. On the other hand, MLP attention achieves similar results to DP attention. We conjecture that DP attention with linear operations is expressive enough to capture common attention patterns as the numbers of nighboring nodes and atom species are much smaller than those in OC20. However, MLP attention is roughly $8 \%$ faster as it directly generates scalar features and attention weights from $f _ { i j }$ instead of producing additional key and query irreps features for attention weights. + +Result on OC20. We consider the setting of training without auxiliary task and summarize the comparison in Table 7. Compared with models in Table 15, Equiformer with dot product attention and linear message passing (Index 3) has already outperformed all previous models. Non-linear messages consistently improve upon linear messages. In contrast to the results on QM9, MLP attention achieves better performance than DP attention and is $8 \%$ faster. We surmise this is because OC20 contains larger atomistic graphs with more diverse atom species and therefore requires more expressive attention mechanisms. Note that Equiformer can potentially improve upon previous equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) since they use less expressive attention mechanisms similar to Index 3 in Table 7. + +# 6 CONCLUSION + +In this work, we propose Equiformer, a graph neural network (GNN) combining the strengths of Transformers and equivariant features based on irreducible representations (irreps). With irreps features, we build upon existing generic GNNs and Transformer networks by incorporating equivariant operations like tensor products. We further propose equivariant graph attention, which incorporates multi-layer perceptron attention and non-linear messages. Experiments on QM9, MD17 and OC20 demonstrate the effectiveness of Equiformer and ablation studies show the improvement of the proposed equivariant graph attention over typical attention in Transformers. + +# 7 ETHICS STATEMENT + +Equiformer achieves more accurate approximations of quantum properties calculation. We believe there is much more to be gained by harnessing these abilities for productive investigation of molecules and materials relevant to application such as energy, electronics, and pharmaceuticals, than to be lost by applying these methods for adversarial purposes like creating hazardous chemicals. Additionally, there are still substantial hurdles to go from the identification of a useful or harmful molecule to its large-scale deployment. + +Moreover, we discuss several limitations of Equiformer and the proposed equivariant graph attention in Sec. G in appendix. + +# 8 REPRODUCIBILITY STATEMENT + +We include details on architectures, hyper-parameters and training time in Sec. D.1 (QM9), Sec. E.1 (MD17) and Sec. F.2 (OC20). + +The code for reproducing the results of Equiformer on QM9, MD17 and OC20 datasets is available at https://github.com/atomicarchitects/equiformer. + +# ACKNOWLEDGEMENT + +We thank Simon Batzner, Albert Musaelian, Mario Geiger, Johannes Brandstetter, and Rob Hesselink for helpful discussions including help with the OC20 dataset. We also thank the $\mathtt { e 3 n n }$ (Geiger et al., 2022) developers and community for the library and detailed documentation. 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URL https://openreview.net/forum?id=rJXMpikCZ. + +Maurice Weiler, Mario Geiger, Max Welling, Wouter Boomsma, and Taco Cohen. 3D Steerable CNNs: Learning Rotationally Equivariant Features in Volumetric Data. In Advances in Neural Information Processing Systems 32, pp. 10402–10413, 2018. + +Daniel E. Worrall, Stephan J. Garbin, Daniyar Turmukhambetov, and Gabriel J. Brostow. Harmonic networks: Deep translation and rotation equivariance. arxiv preprint arxiv:1612.04642, 2016. + +Tian Xie and Jeffrey C. Grossman. Crystal graph convolutional neural networks for an accurate and interpretable prediction of material properties. Physical Review Letters, 120(14), apr 2018. doi: 10.1103/physrevlett.120.145301. URL https://doi.org/10.1103%2Fphysrevlett. 120.145301. + +Keyulu Xu, Weihua Hu, Jure Leskovec, and Stefanie Jegelka. How powerful are graph neural networks? In International Conference on Learning Representations (ICLR), 2019. 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URL https://link.aps.org/ doi/10.1103/PhysRevLett.120.143001. + +# APPENDIX + +A Additional background + +A.1 Group theory A.2 Equivariance A.3 Equivariant features based on vector spaces of irreducible representations A.4 Tensor product B Related works B.1 Graph neural networks for 3D atomistic graphs B.2 Detailed comparison between equivariant Transformers B.3 Invariant GNNs B.4 Attention and Transformer + +C Details of architecture + +C.1 Equivariant operation used in Equiformer +C.2 Equiformer architecture +C.3 Dot product attention +C.4 Incorporating E(3)-Equivariance +C.5 Discussion on computational complexity + +D Details of experiments on QM9 + +D.1 Training details D.2 Comparison between $S E ( 3 )$ and $E ( 3 )$ equivariance D.3 Comparison of training time and numbers of parameters + +E Details of experiments on MD17 + +E.1 Training details E.2 Additional comparison of performance to TorchMD-NET E.3 Comparison of training time and numbers of parameters + +F Details of experiments on OC20 + +F.1 Detailed description of OC20 dataset +F.2 Training details +F.3 Results on IS2RE validation set +F.4 Comparison between $S E ( 3 )$ and $E ( 3 )$ equivariance +F.5 Comparison of training time and numbers of parameters +F.6 Error distributions + +G Limitations + +# A ADDITIONAL BACKGROUND + +In this section, we provide additional mathematical background helpful for the discussion of the proposed method. Other works (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018; Anderson et al., 2019; Fuchs et al., 2020; Brandstetter et al., 2022) also provide similar background. We encourage interested readers to see these works (Zee, 2016; Dresselhaus et al., 2007) for more in-depth and pedagogical presentations. + +# A.1 GROUP THEORY + +Definition of Groups. A group is an algebraic structure that consists of a set $G$ and a binary operator $\circ : G \times G \to G$ and is typically denoted as $G$ . Groups satisfy the following four axioms: + +1. Closure: $g \circ h \in G$ for all $g , h \in G$ . +2. Identity: There exists an identity element $e \in G$ such that $g \circ e = e \circ g = g$ for all $g \in G$ . + +3. Inverse: For each $g \in G$ , there exists an inverse element $g ^ { - 1 } \in G$ such that $g \circ g ^ { - 1 } =$ $g ^ { - 1 } \circ g = e$ . + +4. Associativity: $f \circ g \circ h = ( f \circ g ) \circ h = f \circ ( g \circ h )$ for all $f , g , h \in G$ . + +In this work, we focus on 3D rotation, translation and inversion. Relevant groups include: + +1. The Euclidean group in three dimensions $E ( 3 )$ : 3D rotation, translation and inversion. +2. The special Euclidean group in three dimensions $S E ( 3 )$ : 3D rotation and translation. +3. The orthogonal group in three dimensions $O ( 3 )$ : 3D rotation and inversion. +4. The special orthogonal group in three dimensions $S O ( 3 )$ : 3D rotation. + +Group Representations. The actions of groups define transformations. Formally, a transformation acting on vector space $X$ parametrized by group element $g \in G$ is an injective function $T _ { g } : X \to X$ . A powerful result of group representation theory is that these transformations can be expressed as matrices which act on vector spaces via matrix multiplication. These matrices are called the group representations. Formally, a group representation $D : G \to G L ( N )$ is a mapping between a group $G$ and a set of $N \times N$ invertible matrices. The group representation $D ( { \bar { g } } ) : { \bar { X } } \to X$ maps an $N$ -dimensional vector space $X$ onto itself and satisfies $D ( g ) D ( h ) = D ( g \circ h )$ for all $g , h \in G$ . + +How a group is represented depends on the vector space it acts on. If there exists a change of basis $P$ in the form of an $N \times N$ matrix such that $P ^ { - 1 } \dot { D } ( g ) P = D ^ { \prime } ( g )$ for all $g \in G$ , then we say the two group representations are equivalent. If $D ^ { \prime } ( g )$ is block diagonal, which means that $g$ acts on independent subspaces of the vector space, the representation $D ( g )$ is reducible. A particular class of representations that are convenient for composable functions are irreducible representations or “irreps”, which cannot be further reduced. We can express any group representation of $S O ( 3 )$ as a direct sum (concatentation) of irreps (Zee, 2016; Dresselhaus et al., 2007; Geiger et al., 2022): + +$$ +{ \cal D } ( g ) = P ^ { - 1 } \left( \bigoplus _ { i } { \cal D } _ { l _ { i } } ( g ) \right) P = P ^ { - 1 } \left( \begin{array} { c c c } { { { \cal D } _ { l _ { 0 } } ( g ) } } & { { } } & { { } } \\ { { } } & { { { \cal D } _ { l _ { 1 } } ( g ) } } & { { } } \\ { { } } & { { } } & { { \ldots \ldots } } \end{array} \right) P +$$ + +where $D _ { l _ { i } } ( g )$ are Wigner-D matrices with degree $l _ { i }$ as metnioned in Sec. 3.2. + +# A.2 EQUIVARIANCE + +Definition of Equivariance and Invariance. Equivariance is a property of a function $f : X \to Y$ mapping between vector spaces $X$ and $Y$ . Given a group $G$ and group representations $D _ { X } ( g )$ and $D _ { Y } ( g )$ in input and output spaces $X$ and $Y$ , $f$ is equivariant to $\mathbf { G }$ if $D _ { Y } ( g ) f ( x ) = f ( D _ { X } ( g ) x )$ for all $x \in X$ and $g \in G$ . Invariance corresponds to the case where $D _ { Y } ( g )$ is the identity $I$ for all $g \in G$ + +Equivariance in Neural Networks. Group equivariant neural networks are guaranteed to to make equivariant predictions on data transformed by a group. Additionally, they are found to be dataefficient and generalize better than non-symmetry-aware and invariant methods (Batzner et al., 2022; Rackers et al., 2023; Frey et al., 2022). For 3D atomistic graphs, we consider equivariance to the Euclidean group $E ( 3 )$ , which consists of 3D rotation, translation and inversion. For translation, we operate on relative positions and therefore our networks are invariant to 3D translation. We achieve equivariance to rotation and inversion by representing our input data, intermediate features and outputs in vector spaces of $O ( 3 )$ irreps and acting on them with only equivariant operations. + +# A.3 EQUIVARIANT FEATURES BASED ON VECTOR SPACES OF IRREDUCIBLE REPRESENTATIONS + +Irreducible Representations of Inversion. The group of inversion $\mathbb { Z } _ { 2 }$ only has two elements, identity and inversion, and two irreps, even $e$ and odd $o$ . Vectors transformed by irrep $e$ do not change sign under inversion while those by irrep $o$ do. We create irreps of $O ( 3 )$ by simply multiplying those of $S O ( 3 )$ and $\mathbb { Z } _ { 2 }$ and introduce parity $p$ to type- $L$ vectors to denote how they transform under inversion. Thus, type- $L$ vectors in $S O ( 3 )$ become type- $( L , p )$ vectors in $O ( 3 )$ , where $p$ is $e$ or $o$ . + +Irreps Features. As discussed in Sec. 3.2 in the main text, we use type- $L$ vectors for $S E ( 3 )$ - equivariant irreps features1 and type- $( L , p )$ vectors for $E ( 3 )$ -equivariant irreps features. Parity $p$ denotes whether vectors change sign under inversion and can be either $e$ (even) or $o$ (odd). Vectors with $p = o$ change sign under inversion while those with $p = e$ do not. Scalar features correspond to type-0 vectors in the case of $S E ( 3 )$ -equivariance and correspond to type- $( 0 , e )$ in the case of $E ( 3 )$ -equivariance whereas type- $( 0 , o )$ vectors correspond to pseudo-scalars. Euclidean vectors in $\mathbb { R } ^ { 3 }$ correspond to type-1 vectors and type- $( 1 , o )$ vectors whereas type- $( 1 , e )$ vectors correspond to pseudo-vectors. Note that type- $( L , e )$ vectors and type- $( L , o )$ vectors are considered vectors of different types in equivariant linear layers and layer normalizations. + +Spherical Harmonics. Euclidean vectors $\vec { r }$ in $\mathbb { R } ^ { 3 }$ can be projected into type- $L$ vectors $f ^ { ( L ) }$ by using spherical harmonics $Y ^ { ( L ) }$ : $\begin{array} { r } { f ^ { ( L ) } = Y ^ { ( L ) } ( \frac { \vec { r } } { | | \vec { r } | | } ) } \end{array}$ (Smidt et al., 2021). This is equivalent to the Fourier transform of the angular degree of freedom $\frac { \vec { r } } { | | \vec { r } | | }$ , which can be optionally weighted by $| | \vec { r } | |$ . In the case of $S E ( 3 )$ -equivariance, $f ^ { ( L ) }$ transforms in the same manner as type- $L$ vectors. For $E ( 3 )$ -equivariance, $f ^ { ( L ) }$ behaves as type- $( L , p )$ vectors, where $p = e$ if $L$ is even and $p = o$ if $L$ is odd. Visualization of spherical harmonics can be found in this website. + +Vectors of Higher $L$ and Other Parities. Although previously we have restricted concrete examples of vector spaces of $O ( 3 )$ irreps to commonly encountered scalars (type- $( 0 , e )$ vectors) and Euclidean vectors (type- $( 1 , o )$ vectors), vector of higher $L$ and other parities are equally physical. For example, the moment of inertia (how an object rotates under torque) transforms as a $3 \times 3$ symmetric matrix, which has symmetric-traceless components behaving as type- $( 2 , e )$ vectors. Elasticity (how an object deforms under loading) transforms as a rank-4 or $3 \times 3 \times 3 \times 3$ symmetric tensor, which includes components acting as type- $( 4 , e )$ vectors. + +# A.4 TENSOR PRODUCT + +Tensor Product for $O ( 3 )$ . We use tensor products to interact different type- $( L , p )$ vectors. We extend our discussion in Sec. 3.3 in the main text to include inversion and type- $( L , p )$ vectors. The tensor product denoted as $\otimes$ uses Clebsch-Gordan coefficients to combine type- $( L _ { 1 } , p _ { 1 } )$ vector $f ^ { ( L _ { 1 } , p _ { 1 } ) }$ and type- $( L _ { 2 } , p _ { 2 } )$ vector $g ^ { ( L _ { 2 } , p _ { 2 } ) }$ and produces type- $( L _ { 3 } , p _ { 3 } )$ vector $h ^ { ( L _ { 3 } , p _ { 3 } ) }$ as follows: + +$$ +h _ { m _ { 3 } } ^ { ( L _ { 3 } , p _ { 3 } ) } = ( f ^ { ( L _ { 1 } , p _ { 1 } ) } \otimes g ^ { ( L _ { 2 } , p _ { 2 } ) } ) _ { m _ { 3 } } = \sum _ { m _ { 1 } = - L _ { 1 } } ^ { L _ { 1 } } \sum _ { m _ { 2 } = - L _ { 2 } } ^ { L _ { 2 } } C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } f _ { m _ { 1 } } ^ { ( L _ { 1 } , p _ { 1 } ) } g _ { m _ { 2 } } ^ { ( L _ { 2 } , p _ { 2 } ) } +$$ + +$$ +p _ { 3 } = p _ { 1 } \times p _ { 2 } +$$ + +The only difference of tensor products for $O ( 3 )$ as described in Eq. 7 from those for $S O ( 3 )$ described in Eq. 1 is that we additionally keep track of the output parity $p _ { 3 }$ as in Eq. 8 and use the following multiplication rules: $e \times e = e$ , $o \times o = e$ , and $e \times o = o \times e = o$ . For example, the tensor product of a type- $( 1 , o )$ vector and a type- $( 1 , e )$ vector can result in one type- $( 0 , o )$ vector, one type- $( 1 , o )$ vector, and one type- $( 2 , o )$ vector. + +Clebsch-Gordan Coefficients. The Clebsch-Gordan coefficients for $S O ( 3 )$ are computed from integrals over the basis functions of a given irreducible representation, e.g., the real spherical harmonics, as shown below and are tabulated to avoid unnecessary computation. + +$$ +C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } = | L _ { 1 } m _ { 1 } ; L _ { 2 } m _ { 2 } \rangle \langle L _ { 3 } m _ { 3 } | = \int d \Omega Y _ { m _ { 1 } } ^ { ( L _ { 1 } ) * } ( \Omega ) Y _ { m _ { 2 } } ^ { ( L _ { 2 } ) * } ( \Omega ) Y _ { m _ { 3 } } ^ { ( L _ { 3 } ) } ( \Omega ) +$$ + +For many combinations of $L _ { 1 } , L _ { 2 }$ , and $L _ { 3 }$ , the Clebsch-Gordan coefficients are zero. The gives rise to the following selection rule for non-trivial coefficients: $- | L _ { 1 } + L _ { 2 } | \le L _ { 3 } \le | L _ { 1 } + L _ { 2 } |$ . + +Examples of Tensor Products. Tensor products generally define the interaction between different type- $( L , p )$ vectors in a symmetry-preserving manner and consist of common operations as follows: + +1. Scalar-scalar multiplication: scalar $( L = 0 , p = e )$ ) $\otimes$ scalar $( L = 0 , p = e ) \ -$ scalar $( L = 0 , p = e )$ . +2. Scalar-vector multiplication: scalar $( L = 0 , p = e$ ) $\otimes$ vector $( L = 1 , p = o ) \to$ vector $( L = 1 , p = o )$ ). +3. Vector dot product: vector $\mathit { \Pi } ^ { \prime } L = 1 , p = o )$ ) $\otimes$ vector $( L = 1 , p = o ) \to$ scalar $( L = 0 , p =$ $e$ ). +4. Vector cross product: vector $( L = 1 , p = o$ ) $\otimes$ vector $( L = 1 , p = o ) \to$ pseudo-vector $\mathbf { \boldsymbol { L } } = 1 , p = e ,$ . + +# B RELATED WORKS + +# B.1 GRAPH NEURAL NETWORKS FOR 3D ATOMISTIC GRAPHS + +Graph neural networks (GNNs) are well adapted to perform property prediction of atomic systems because they can handle discrete and topological structures. There are two main ways to represent atomistic graphs (Townshend et al., 2021), which are chemical bond graphs, sometimes denoted as 2D graphs, and 3D spatial graphs. Chemical bond graphs use edges to represent covalent bonds without considering 3D geometry. Due to their similarity to graph structures in other applications, generic GNNs (Hamilton et al., 2017; Gilmer et al., 2017; Kipf & Welling, 2017; Xu et al., 2019; Velickovi ˇ c´ et al., 2018; Brody et al., 2022) can be directly applied to predict their properties (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014; Ramsundar et al., 2019; Hu et al., 2020; 2021). On the other hand, 3D spatial graphs consider positions of atoms in 3D spaces and therefore 3D geometry. Although 3D graphs can faithfully represent atomistic systems, one challenge of moving from chemical bond graphs to 3D spatial graphs is to remain invariant or equivariant to geometric transformation acting on atom positions. Therefore, invariant neural networks and equivariant neural networks have been proposed for 3D atomistic graphs, with the former leveraging invariant information like distances and angles and the latter operating on geometric tensors like type- $L$ vectors. + +# B.2 DETAILED COMPARISON BETWEEN EQUIVARIANT TRANSFORMERS + +First, we compare the impact of previous equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) in the following four aspects: + +1. Previous equivariant Transformers do not perform well across datasets. For instance, SE(3)- Transformer (Fuchs et al., 2020) is not as performant as other equivariant networks on QM9 as shown in Table 1. TorchMD-NET (Thölke & Fabritiis, 2022) does not achieve comparable results to NequIP (Batzner et al., 2022) on MD17 as shown in Table 2 although it is competitive on QM9 in Table 1. +2. Equiformer simultaneously achieves the best results for MD17, QM9 and OC20 datasets, indicating that the Transformer architecture is generally effective in the literature of equivariant neural networks and 3D atomistic graphs. +3. Extensive ablation studies have been conducted to justify a better attention mechanism in this literature. +4. To the best of our knowledge, we are the first to apply equivariant Transformers to large and complicated datasets like OC20 and demonstrate that equivariant Transformers can achieve competitive results to large models like GNS (Godwin et al., 2022) and Graphormer (Shi et al., 2022) while saving $2 . 3 \times$ to $1 5 . 5 \times$ training time as summarized in Table 5. + +Second, we compare the technical differences of architectures of equivariant Transformers. The proposed Equiformer consists of equivariant graph attention and an equivariant Transformer architecture. The latter is obtained by simply replacing orginal operations in Transformers with their equivariant counterparts and including tensor product operations and corresponds to “Equiformer with dot product attention and linear message passing” as indicated by Index 3 in Table 6 and 7. + +Although with minimal modifications to original Transformers, we note that this architecture has not been explored in previous equivariant Transformers and achieves competitive results on QM9 and OC20 datasets. Below we discuss the advantages of the architecture, Equiformer with dot product attention and linear message passing, over other equivariant Transformers: + +1. Simpler. We simply replace original operations with their equivariant counterparts and include tensor products without making further modifications. In contrast, SE(3)- Transformer (Fuchs et al., 2020) merges normalization and activation to form norm nonlinearities, which does not exist in original Transformers. We empirically find that the norm nonlinearities (Fuchs et al., 2020) leads to higher errors compared to the equivariant layer norm used by our work. + +2. More general. SE(3)-Transformer (Fuchs et al., 2020) and our proposed architecture can support vectors of any degree $L$ while other equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022) are limited to $L = 0$ and 1. It has been shown that higher $L$ (e.g., $L$ up to 2 and 3) can improve the performance of networks on QM9 (Brandstetter et al., 2022) and MD17 (Batzner et al., 2022). Thus, the incapability to use $L$ higher than 1 can limit their performance. + +3. More efficient tensor products. Compared to SE(3)-Transformer (Fuchs et al., 2020), we use more efficient depth-wise tensor products instead of fully connected tensor products. Since the proposed architecture and SE(3)-Transformer (Fuchs et al., 2020) use relative distances to parametrize the weights of tensor products, depth-wise tensor products enalbe using more channels without incurring out-of-memory errors. Specifically, for QM9, SE(3)- Transformer (Fuchs et al., 2020) only uses 16 channels for vectors of each degree $L$ while the proposed architecture can use 128, 64, and 32 channels for vectors of degree 0, 1, and 2. Using a very small number of channels can potentially lead to insufficient model capacity. + +We note that the novelty of the proposed architecture, Equiformer with dot product attention and linear message passing, lies in how we choose the right operations as well as internal representations (i.e., vectors of any degree $L$ ) and combine them in an effective manner that achieves the three advantages mentioned above. We further improve this simple architecture with our proposed equivariant graph attention, which consists of MLP attention and non-linear message passing. + +# B.3 INVARIANT GNNS + +Previous works (Schütt et al., 2017; Xie & Grossman, 2018; Unke & Meuwly, 2019; Gasteiger et al., 2020b;a; Qiao et al., 2020; Liu et al., 2022; Shuaibi et al., 2021; Klicpera et al., 2021) extract invariant information from 3D atomistic graphs and operate on the resulting invariant graphs. They mainly differ in leveraging different geometric information such as distances, bond angles (3 atom features) or dihedral angles (4 atom features). SchNet (Schütt et al., 2017) uses relative distances and proposes continuous-filter convolutional layers to learn local interaction between atom pairs. DimeNet series (Gasteiger et al., 2020b;a) incorporate bond angles by using triplet representations of atoms. SphereNet (Liu et al., 2022) and GemNet (Klicpera et al., 2021; Gasteiger et al., 2022) further extend to consider dihedral angles for better performance. In order to consider directional information contained in angles, they rely on triplet or quadruplet representations of atoms. In addition to being memory-intensive (Sriram et al., 2022), they also change graph structures by introducing higher-order interaction terms (Chen et al., 2019), which would require non-trivial modifications to generic GNNs in order to apply them to 3D graphs. In contrast, the proposed Equiformer uses equivariant irreps features to consider directional information without complicating graph structures and therefore can directly inherit the design of generic GNNs. + +# B.4 ATTENTION AND TRANSFORMER + +Graph Attention. Graph attention networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022) use multi-layer perceptrons (MLP) to calculate attention weights in a similar manner to message passing networks. Subsequent works using graph attention mechanisms follow either GAT-like MLP attention (Busbridge et al., 2019; Kim & Oh, 2021) or Transformer-like dot product attention (Zhang et al., 2018a; Gao & Ji, 2019; Shi et al., 2020; Dwivedi & Bresson, 2020; Kim & Oh, 2021; Kreuzer et al., 2021). In particular, Kim et al. (Kim & Oh, 2021) compares these two types of attention mechanisms empirically under a self-supervised setting. Brody et al. (Brody et al., 2022) analyzes their theoretical differences and compares their performance in general settings. + +![](images/b25cdd891e58f62706d24dcca1d5da7348b1fa536199330d873b0c1a53a73c8a.jpg) +Figure 3: An alternative visualization of the depth-wise tensor product. We follow the visualization of tensor products in $\mathsf { e } 3 \mathsf { n n }$ (Geiger et al., 2022) and separate paths into three parts based on the types of output vectors. We note that one vector in the output irreps feature depends only on one vector in each input irreps feature. + +Graph Transformer. A different line of research focuses on adapting standard Transformer networks to graph problems (Dwivedi & Bresson, 2020; Rong et al., 2020; Kreuzer et al., 2021; Ying et al., 2021; Shi et al., 2022). They adopt dot product attention in Transformers (Vaswani et al., 2017) and propose different approaches to incorporate graph-related inductive biases into their networks. GROVE (Rong et al., 2020) includes additional message passing layers or graph convolutional layers to incorporate local graph structures when calculating attention weights. SAN (Kreuzer et al., 2021) proposes to learn position embeddings of nodes with full Laplacian spectrum. Graphormer (Ying et al., 2021) proposes to encode degree information in centrality embeddings and encode distances and edge features in attention biases. The proposed Equiformer belongs to one of these attempts to generalize standard Transformers to graphs and is dedicated to 3D graphs. To incorporate 3D-related inductive biases, we adopt an equivariant version of Transformers with irreps features and propose novel equivariant graph attention. + +# C DETAILS OF ARCHITECTURE + +# C.1 EQUIVARIANT OPERATION USED IN EQUIFORMER + +We illustrate the equivariant operations used in Equiformer in Fig. 2 and provide an alternative visualization of depth-wise tensor products in Fig. 3. + +Besides, we analyze how each equivariant operation remains equivariant and satisfies that $f ( D _ { X } ( g ) x ) = \bar { D _ { Y } } ( g ) f ( x )$ , where $f$ is a function mapping between vector spaces $X$ and $Y$ , and $D _ { X } ( g )$ and $D _ { Y } ( g )$ are transformation matrices parametrized by $g$ in $X$ and $Y$ . + +1. Linear. Since for each degree $L$ , one output type- $L$ vector is a linear combination of other input type- $L$ vectors, which are transformed by the same matrix $D _ { X } ( g )$ , the output type- $L$ vector is transformed by the same matrix, meaning that $D _ { X } ( g ) = D _ { Y } ( g )$ . 2. Layer normalization. For scalar parts $L = 0 ,$ ), they are always the same regardless of $E ( 3 )$ transformations, and thus we can apply any function to them. For non-scalar parts $( L > 0 )$ ), the L2-norm of any type- $L$ vector is invariant to $E ( 3 )$ transformations. Therefore, the scaling of dividing by the root mean square value (RMS) of L2-norm and multiplying by a learnable parameter $\gamma$ remains the same under $E ( 3 )$ transformations. Multiplying an equivariant feature with an invariant number results in an equivariant feature, and therefore the operation is equivariant. 3. Gate. Similar to layer normalization, we can apply any function to the scalar part $ { \boldsymbol { L } } = 0$ ). We apply SiLU to the first $C _ { 0 }$ channels of the scalar part and sigmoid to other channels to obtain non-linear weights. For the non-scalar part $ { L } > 0 $ ), we multiply each type- $L$ vector with its corresponding non-linear weight. Since the non-linear weights are invariant, multiplying equivariant features with those non-linear weights results in equivariant features. + +![](images/ed3c3a4350b361a419222d3af9558efdb4f8cec7806b83c6f49ce77a3bbb65a3.jpg) +Figure 4: Architecture of equivariant dot product attention without non-linear message passing. In this figure, “ $\otimes$ ” denotes multiplication, $ { ^ { 6 } \mathrm { { \oplus } ^ { , 9 } } }$ denotes addition, and “DTP” stands for depth-wise tensor product. $\displaystyle \sum$ within a circle denotes summation over all neighbors. Gray cells indicate intermediate irreps features. We highlight the difference of dot product attention from multi-layer perceptron attention in red. Note that key $k _ { i j }$ and value $v _ { i j }$ are irreps features and therefore $f _ { i j }$ in dot product attention typically has more channels than that in multi-layer perceptron attention. + +4. Depth-wise tensor product. This operation is based on equivariant tensor product operations and restricts that one channel in output irreps feature depends on one channel in input irreps features. The one-to-one dependence of channels does not change the interaction of different type- $L$ vectors, and therefore, the operation is equivariant. + +# C.2 EQUIFORMER ARCHITECTURE + +For simplicity and because most works we compare with do not include equivariance to inversion, we adopt $S E ( 3 )$ -equivariant irreps features in Equiformer for experiments in the main text and note that $E ( 3 )$ -equivariant irreps features can be easily incorporated into Equiformer. + +We define architectural hyper-parameters like the number of channels in some layers in Equiformer, which are used to specify the detailed architectures in Sec. D.1, Sec. E.1 and Sec. F.2. + +We use $d _ { e m b e d }$ to denote embedding dimension, which defines the dimension of most irreps features. Specifically, all irreps features $x _ { i } , y _ { i }$ in Fig. 1 have dimension $d _ { e m b e d }$ unless otherwise stated. Besides, we use $d _ { s h }$ to represent the dimension of spherical harmonics embeddings of relative positions in all depth-wise tensor products. + +For equivariant graph attention in Fig. 1(b), the first two linear layers have the same output dimension $d _ { e m b e d }$ . The output dimension of depth-wise tensor products (DTP) are determined by that of input irreps features. Equivariant graph attention consists of $h$ parallel attention functions, and the value vector in each attention function has dimension $d _ { h e a d }$ . We refer to $h$ and $d _ { h e a d }$ as the number of heads and head dimension, respectively. By default, we set the number of channels in scalar feature $f _ { i j } ^ { ( 0 ) }$ to be the same as the number of channels of type-0 or type- $( 0 , e )$ vectors in $v _ { i j }$ . When non-linear messages are adopted in $v _ { i j }$ , we set the dimension of output irreps features in gate activation to be $h \times d _ { h e a d }$ . Therefore, we can use two hyper-parameters $h$ and $d _ { h e a d }$ to specify the detailed architecture of equivariant graph attention. + +As for feed forward networks (FFNs), we denote the dimension of output irreps features in gate activation as $d _ { f f n }$ . The FFN in the last Transformer block has output dimension $d _ { f e a t u r e }$ , and we set $d _ { f f n }$ of the last FFN, which is followed by output head, to be $d _ { f e a t u r e }$ as well. Thus, two hyperparameters $d _ { f f n }$ and $d _ { f e a t u r e }$ are used to specify architectures of FFNs and the output dimension after Transformer blocks. + +Irreps features contain channels of vectors with degrees up to $L _ { m a x }$ . We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. For example, the dimension of irreps features containing 256 type-0 vectors and 128 type-1 vectors can be represented as $[ ( 2 5 6 , 0 ) , ( 1 2 8 , 1 ) ]$ . + +# C.3 DOT PRODUCT ATTENTION + +We illustrate the dot product attention without non-linear message passing used in ablation study in Fig. 4. The architecture is adapted from SE(3)-Transformer (Fuchs et al., 2020). The difference from multi-layer perceptron attention lies in how we obtain attention weights $a _ { i j }$ from $f _ { i j }$ . We split $f _ { i j }$ into two irreps features, key $k _ { i j }$ and value $v _ { i j }$ , and obtain query $q _ { i }$ with a linear layer. Then, we perform scaled dot product (Vaswani et al., 2017) between $q _ { i }$ and $k _ { i j }$ for attention weights. + +# C.4 INCORPORATING $E ( 3 )$ -EQUIVARIANCE + +To incorporate $E ( 3 )$ -equivariance to Equiformer, we can directly use the same architecture described in Fig. 1 with the following two modifications: + +1. We change internal representations from type- $L$ vectors to type- $\left( L , p \right)$ vectors as mentioned in Sec. A.3. Note that type- $( L , e )$ vectors and type- $( L , o )$ vectors are considered different types by equivariant operations and that scalars correspond to only type- $( 0 , e )$ vectors and do not include type- $( 0 , o )$ vectors. 2. The behaviors of equivariant operations are changed accordingly since parities $p$ are included in internal representations. The operations of linear and layer normalization will treat type$( L , e )$ vectors and type- $( L , o )$ vectors as different types. This means that we linearly combine or normalize these two types of vectors in a separate manner. In Sec. A.4, we discuss how tensor products behave when $E ( 3 )$ equivariance is considered. For the operation of gate, we apply activation functions to type- $( 0 , e )$ vectors (scalars) and treat type- $( 0 , o )$ vectors (pseudo-scalars) in the same manner as vectors of higher $L$ . Specifically, given input $x$ contatype- non-scalar vectors a $C _ { ( L , p ) }$ $( L , p )$ $0 < L \leq L _ { m a x }$ nd ty $p \in \{ e , o \}$ , v $C _ { ( 0 , o ) }$ $( 0 , o )$ $\begin{array} { r } { ( C _ { ( 0 , e ) } + C _ { ( 0 , o ) } + \sum _ { L = 1 } ^ { L _ { m a x } } \sum _ { p \in \{ e , o \} } C _ { ( L , p ) } ) } \end{array}$ $( 0 , e )$ we apply SiLU to the first $C _ { ( 0 , e ) }$ type- $( 0 , e )$ vectors and sigmoid function to the other $\begin{array} { r } { ( C _ { ( 0 , o ) } + \sum _ { L = 1 } ^ { L _ { m a x } } \sum _ { p \in \{ e , o \} } C _ { ( L , p ) } ) } \end{array}$ type- $( 0 , e )$ vectors to obtain non-linear weights and multiply each pseudo-scalar or type- $( L , p )$ vector with corresponding non-linear weights. After the gate activation, the number of channels for type- $( 0 , e )$ vectors is reduced to $C _ { ( 0 , e ) }$ + +# C.5 DISCUSSION ON COMPUTATIONAL COMPLEXITY + +We discuss the computational complexity of the proposed equivariant graph attention here. + +First, we compare dot product attention with MLP attention when linear messages are used for value $v _ { i j }$ . Dot product attention requires taking the dot product of two irreps features, query $q _ { i }$ and key $k _ { i j }$ , for attention weights, and both $q _ { i }$ and $k _ { i j }$ have the same dimension as value $v _ { i j }$ . In contrast, MLP attention uses only scalar features f (0)ij for attention weights. The dimension of scalar features $f _ { i j } ^ { ( 0 ) }$ is the same as that of the scalar part of $v _ { i j }$ . Therefore, MLP attention generates less and smaller intermediate features for attention weights and is faster than dot product attention. + +
Hyper-parametersValue or description
OptimizerAdamW
Learning rate scheduling Warmup epochsCosine learning rate with linear warmup 5
Maximum learning rate1.5 × 10-4,5 × 10-4
Batch size64,128
Number of epochs300,600
Weight decay0,5×10-3
Dropout rate0.0,0.1, 0.2
Cutoff radius (A)5
Number of radial bases128 for Gaussian radial basis,8 for radial bessel basis
Hidden sizes of radial functions64
Number of hidden layers in radial functions2
Number of Transformer blocks Embedding dimension dembedEquiformer 6 [(128,0),(64,1),(32,2)]
Spherical harmonics embedding dimension dsh Numberof attention heads h Attention head dimension dhead[(1,0),(1,1),(1,2)] 4 [(32,0),(16,1),(8,2)]
Hidden dimension in feed forward networks dffn Output feature dimension d feature(384,0),(192,1),(96,2)] [(512,0)]
E(3)-Equiformer
6
Number of Transformer blocks
Embedding dimension dembed
[(128,0,e),(32,0,0),(32,1,e),(32,1,0),(16,2,e),(16,2,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0),(1,2,e)]
Number of attention heads h4
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0),(4,2,e),(4,2,0)]
Hidden dimension in feed forward networks df fn
(384,0,e),(96,0,0),(96,1,e),(96,1,0),(48,2,e),(48,2,0)]
Output feature dimension dfeature[(512,0,e)]
+ +Table 8: Hyper-parameters for QM9 dataset. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. + +Second, compared to linear messages, using non-linear messages increases the number of tensor product operations from 1 to 2. Since tensor products are compute-intensive, this inevitably increases training and inference time. + +Please refer to Sec. D.1 and Sec. F.2 for the exact numbers of training time on QM9 and OC20. + +# D DETAILS OF EXPERIMENTS ON QM9 + +# D.1 TRAINING DETAILS + +We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For the task of $U$ , $U _ { 0 } , G$ , and $H$ , where single-atom reference values are available, we subtract those reference values from ground truth. For other tasks, we normalize ground truth by subtracting mean and dividing by standard deviation. + +We train Equiformer with 6 blocks with $L _ { m a x } = 2$ . We choose Gaussian radial basis (Schütt et al., 2017; Shuaibi et al., 2021; Klicpera et al., 2021; Shi et al., 2022) for the first six tasks in Table 1 and radial Bessel basis (Gasteiger et al., 2020b;a) for the others. We apply dropout (Srivastava et al., 2014) to attention weights $a _ { i j }$ . The dropout rate is 0.0 for the tasks of $G$ , $H$ , $U$ and $U _ { 0 }$ , is 0.1 for the task of $R ^ { 2 }$ and is 0.2 for others. Since the tasks of $G$ , $H$ , $U$ , and $U _ { 0 }$ require longer training, we use slightly different hyper-parameters. The number of epochs is 600 for the tasks of $G$ $\ d s _ { r } , H , U$ , and $U _ { 0 }$ and is 300 for others. The learning rate is $1 . 5 \times 1 0 ^ { - 4 }$ for the tasks of $G$ , $H , U$ , and $U _ { 0 }$ and is $5 \times 1 0 ^ { - 4 }$ for others. The batch size is 64 for the tasks of $G$ ${ \mathrm { ? } } , H , U ,$ and $U _ { 0 }$ and is 128 for others. The weight decay is 0 for the tasks of $G$ , $H$ , $U$ , and $U _ { 0 }$ and is $5 \times 1 0 ^ { - 3 }$ for others. Table 8 summarizes the hyper-parameters for the QM9 dataset. The detailed description of architectural hyper-parameters can be found in Sec. C.2. + +We use one A6000 GPU with 48GB to train each model and summarize the computational cost of training for one epoch as follows. Training $E ( 3 )$ -Equiformer in Table 9 for one epoch takes about 16.3 minutes. The time of training Equiformer, Equiformer with linear messages (indicated by Index 2 in Table 6), and Equiformer with linear messages and dot product attention (indicated by Index 3 in Table 6) for one epoch is 12.1 minutes, 7.2 minutes and 7.8 minutes, respectively. + +# D.2 COMPARISON BETWEEN $S E ( 3 )$ AND $E ( 3 )$ EQUIVARIANCE + +We train two versions of Equiformers, one with $S E ( 3 )$ -equivariant features denoted as “Equiformer” and the other with $E ( 3 )$ -equivariant features denoted as “ $E ( 3 )$ -Equiformer”, and we compare them in Table 9. As for Table 1, we compare “Equiformer” with other works since most of them do not include equivariance to inversion. + +Table 9: Ablation study of $S E ( 3 ) / E ( 3 )$ equivariance on QM9 testing set. “Equiformer” operates on $S E ( 3 )$ -equivariant features while “ $E ( 3 )$ -Equiformer” uses $E ( 3 )$ -equivariant features. Including inversion achieves similar performance. + +
MethodsTask Unitsα 品△ meVεHOMO meVεLUMO meVμ DCv cal/mol KTraining time (minutes/epoch)Number of parameters
Equiformer.046301514.011.02312.13.53M
E(3)-Equiformer.045301514.012.02316.33.28M
+ +# D.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS + +We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022), TorchMD-NET (Thölke & Fabritiis, 2022) and Equiformer and summarize the results in Table 10. Training Equiformer for 300 epochs and for 600 epochs takes 61 and 122 GPU-hours, respectively. + +Compared to SEGNN, which is written with the same $\mathsf { e } 3 \mathsf { n n }$ library (Geiger et al., 2022), Equiformer with MLP attention and non-linear message is faster. Although Equiformer has more channels and more parameters, the training time is comparable. The reasons are as follows. Equiformer uses more efficient depth-wise tensor products (DTP), where one output channel depends on only one input channel. SEGNN uses more compute-intensive fully connected tensor products (FCTP), where one output channel depends on all input channels. Besides, SEGNN uses 4 FCTPs in each message passing block while Equiformer uses only 2 DTPs in each block. + +Compared to TorchMD-NET, which is trained for 3000 epochs, Equiformer achieves competitve results after trained for 300 or 600 epochs. Equiformer takes more time for each epoch since Equiformer uses more expressive non-linear messages, which compared to linear messages used in other equivariant Transformers, doubles the number of tensor products and therefore almost doubles the training time. Moreover, Equiformer incorporates tensors of higher degrees (e.g., $L _ { m a x } = 2$ ), which improves performance but slows down the training. + +# E DETAILS OF EXPERIMENTS ON MD17 + +# E.1 TRAINING DETAILS + +We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For energy prediction, we normalize ground truth by subtracting mean and dividing by standard deviation. For force prediction, we normalize ground truth by dividing by standard deviation of ground truth energy. + +We train Equiformer with 6 blocks with $L _ { m a x } = 2$ and 3. We choose the radial basis function used by PhysNet (Unke & Meuwly, 2019). We do not apply dropout to attention weights $a _ { i j }$ . For Equiformer with $L _ { m a x } = 2$ , the learning rate is $1 \times 1 0 ^ { - 4 }$ for benzene and is $5 \times 1 0 ^ { - 4 }$ for others. The batch size is 8, and the number of epochs is 1500. The model has about 3.50M parameters. For Equiformer with $L _ { m a x } = 3$ , the learning rate is $1 \times 1 0 ^ { - 4 }$ for benzene and is $2 \times 1 0 ^ { - 4 }$ for others. The batch size is 5, and the number of epochs is 2000. The model has about 5.50M parameters. Table 11 summarizes the hyper-parameters for the MD17 dataset. The detailed description of architectural hyper-parameters can be found in Sec. C.2. + +Table 10: Comparison of training time and numbers of parameters for QM9 dataset. + +
MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)1.03M81
TorchMD-NET(Tholke&Fabritis,2022)6.86M92
Equiformer3.53M61
+ +Table 11: Hyper-parameters for MD17 dataset. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. + +
Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs10 1 × 10-4,2 × 10-4,5× 10-4
Maximum learning rate Batch size5,8
Number of epochs1500,2000
1×10-6
Weight decay Dropout rate0.0
Weight for energy loss Weight for force loss1 80
Cutoff radius (A)5
Number of radial bases32
Hidden sizes of radial functions64 2
Number of hidden layers in radial functions Equiformer (Lmax = 2)
Embedding dimension dembed Spherical harmonics embedding dimension d sh Number of attention heads h 4 Attention head dimension dhead Hidden dimension in feed forward networks d f fn[(128,0),(64,1),(32,2)] [(1,0),(1,1),(1,2)] [(32,0),(16,1),(8,2)] [(384,0),(192,1),(96,2)]
Output feature dimension dfeature Equiformer (Lmax = 3)
[(512,0)]
Number of Transformer blocks6
Embedding dimension dembed[(128,0),(64,1),(64,2),(32,3)]
Spherical harmonics embedding dimension d sh[(1,0),(1,1),(1,2),(1,3)]
Number of attention heads h4
Attention head dimension dhead[(32,0),(16,1),(16,2),(8,3)]
Hidden dimension in feed forward networks dffn(384,0),(192,1),(192,2),(96,3)]
+ +We use one A5000 GPU with 24GB to train different models for each molecule. Training Equiformer with $L _ { m a x } = 2$ takes about 15.4 hours, and training Equiformer with $L _ { m a x } = 3$ takes about 54.4 hours. + +# E.2 ADDITIONAL COMPARISON TO TORCHMD-NET + +Since TorchMD-NET (Thölke & Fabritiis, 2022) is also an equivariant Transformer but uses dot product attention instead of the proposed equivariant graph attention, we provide additional comparisons in Table 12. For each molecule, we adjust the ratio of the weight for force loss to the weight for energy loss so that Equiformer with $L _ { m a x } = 2$ can achieve lower MAE for both energy and forces. + +# E.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS + +We compare training time and number of parameters between NequIP (Batzner et al., 2022) and Equiformer and summarize the results in Table 13. Since NequIP does not report the number of epochs, we compare the time spent for each epoch and note that NequIP is trained for more than 1000 epochs. Equiformer with $L _ { m a x } = 2$ is faster than NequIP with $L _ { m a x } = 3$ since smaller $L _ { m a x }$ is used. Moreover, Equiformer with $L _ { m a x } = 2$ achieves overall better results as we use equivariant graph attention instead of linear convolution used by NequIP. When increasing $L _ { m a x }$ from 2 to 3, + +Table 12: Additional comparison to TorchMD-Net (Thölke & Fabritiis, 2022) on MD17 dataset. Energy and force are in units of meV and $\mathrm { m e V } / \mathring { \mathrm { A } }$ . + +
AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
TorchMD-NET5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.14.1
Equiformer (Lmax = 2)5.37.22.26.62.23.13.35.83.72.14.05.33.22.44.23.7
+ +Table 13: Comparison of training time and numbers of parameters for MD17 dataset. + +
MethodsNumber of parametersTraining time (secs/epoch)
NequIP(Lmax =3)(Batzner et al.,2022)2.97M48.7
Equiformer (Lmax =2)3.50M36.9
Equiformer (Lmax =3)5.50M98.0
+ +Equiformer achieves better results than NequIP for most molecules. However, the training time is longer than NequIP since we use 2 tensor product operations in each equivariant graph attention instead of 1 tensor product in each linear convolution. + +# F DETAILS OF EXPERIMENTS ON OC20 + +# F.1 DETAILED DESCRIPTION OF OC20 DATASET + +The dataset consists of larger atomic systems, each composed of a molecule called adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom types than QM9 and MD17. The average number of atoms in a system is more than 70, and there are over 50 atom species. The goal is to understand interaction between adsorbates and catalysts through relaxation. An adsorbate is first placed on top of a catalyst to form initial structure (IS). The positions of atoms are updated with forces calculated by density function theory until the system is stable and becomes relaxed structure (RS). The energy of RS, or relaxed energy (RE), is correlated with catalyst activity and therefore a metric for understanding their interaction. We focus on the task of initial structure to relaxed energy (IS2RE), which predicts relaxed energy (RE) given an initial structure (IS). There are 460k, 100k and 100k structures in training, validation, and testing sets, respectively. + +# F.2 TRAINING DETAILS + +IS2RE without Node-Level Auxiliary Task. We use hyper-parameters similar to those for QM9 dataset and summarize in Table 14. For ablation study in Sec. 5.4, we use a smaller learning rate $1 . 5 \times 1 0 ^ { - 4 }$ for DP attention as this improves the performance. The detailed description of architectural hyper-parameters can be found in Sec. C.2. + +IS2RE with IS2RS Node-Level Auxiliary Task. We increase the number of Transformer blocks to 18 as deeper networks can benefit more from IS2RS node-level auxiliary task (Godwin et al., 2022). We follow the same hyper-parameters in Table 14 except that we increase maximum learning rate to $5 \times 1 0 ^ { - 4 }$ and set $d _ { f e a t u r e }$ to $[ ( 5 1 2 , 0 )$ , (256, 1)]. Inspired by Graphormer (Shi et al., 2022), we add an extra equivariant graph attention module after the last layer normalization to predict relaxed structures and use a linearly decayed weight for loss associated with IS2RS, which starts at 15 and decays to 1. For Noisy Nodes (Godwin et al., 2022) data augmentation, we first interpolate between initial structure and relaxed structure and then add Gaussian noise as described by Noisy Nodes (Godwin et al., 2022). When Noisy Nodes data augmentation is used, we increase the number of epochs to 40. + +We use two A6000 GPUs, each with 48GB, to train models when IS2RS is not included during training. Training Equiformer and $E ( 3 )$ -Equiformer in Table 16 takes about 43.6 and 58.3 hours. Training Equiformer with linear messages (indicated by Index 2 in Table 7) and Equiformer with linear messages and dot product attention (indicated by Index 3 in Table 7) takes 30.4 hours and 33.1 hours, respectively. We use four A6000 GPUs to train Equiformer models when IS2RS node-level auxiliary task is adopted during training. Training Equiformer without Noisy Nodes data augmentation takes about 3 days and training with Noisy Nodes takes 6 days. We note that the proposed Equiformer in Table 5 achieves competitive results even with much less computation. Specifically, training “Equiformer $^ +$ Noisy Nodes” takes about 24 GPU-days when A6000 GPUs are used. The training time of “GNS $^ +$ Noisy Nodes” (Godwin et al., 2022) is 56 TPU-days. “Graphormer” (Shi et al., 2022) uses ensemble of 31 models and requires 372 GPU-days to train all models when A100 GPUs are used. + +Table 14: Hyper-parameters for OC20 dataset under the setting of training without IS2RS auxiliary task. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. + +
Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs2
Maximum learning rate2×10-4
Batch size32
Number of epochs20
Weight decay1×10-3
Dropout rate0.2
Cutoff radius (A)5
Number of radial basis128
Hidden size of radial function64
Numberofhiddenlayers in radial function2
Equiformer
Numberof Transformer blocks Embedding dimension dembed6
Spherical harmonics embedding dimension dsh[(256,0),(128,1)] [(1,0),(1,1)]
Number of attention heads h8
Attention head dimension dhead[(32,0),(16,1)]
Hidden dimension in feed forward networks d f fn(768,0),(384,1)]
Output feature dimension d feature[(512,0)]
E(3)-Equiformer
Number of Transformer blocks Embedding dimension dembed6 [(256,0,e),(64,0,0),(64,1,e),(64,1,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0)]
Number of attention heads h8
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0)]
Hidden dimension in feed forward networks d ffn[(768,0,e),(192,0,0),(192,1,e),(192,1,0)]
Output feature dimension d feature[(512,0,e)]
+ +
Energy MAE(eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
SchNet (Schut et al.,07)+0.64650.70740.64750.66260.66602.962.223.032.382.65
DimeNet++ (Gasteiger et al.,2020a)†0.56360.71270.56120.64920.62174.252.484.402.563.42
GemNet-T(Klicpera et al., 2021)†0.55610.73420.56590.69640.63824.512.244.372.383.38
SphereNet (Liu etal.,2022)0.56320.66820.55900.61900.60244.562.704.592.703.64
(S)EGNN (Brandstetter et al.,2022)0.54970.68510.55190.61020.59924.992.504.712.883.77
SEGNN (Brandstetter et al., 2022)0.53100.64320.53410.57770.57155.322.804.893.094.03
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93
+ +Table 15: Results on OC20 IS2RE validation set. $\dagger$ denotes results reported by Liu et al. (2022). + +# F.3 RESULTS ON IS2RE VALIDATION SET + +For completeness, we report the results of Equiformer on the validation set in Table 15. + +# F.4 COMPARISON BETWEEN $S E ( 3 )$ AND $E ( 3 )$ EQUIVARIANCE + +We train two versions of Equiformers, one with $S E ( 3 )$ -equivariant features denoted as “Equiformer” and the other with $E ( 3 )$ -equivariant features denoted as $^ { \bullet } E ( 3 )$ -Equiformer”, and we compare them in Table 16. Including inversion improves the MAE results on ID and OOD Cat sub-splits but degrades the performance on the other sub-splits. Overall, using $E ( 3 )$ -equivariant features results in slightly inferior performance. We surmise the reasons are as follows. First, inversion might not be the key bottleneck. Second, including inversion would break type-1 vectors into two parts, type- $( 1 , e )$ + +Table 16: Ablation study of $S E ( 3 ) / E ( 3 )$ equivariance on OC20 IS2RE validation set. “Equiformer” operates on $S E ( 3 )$ -equivariant features while “ $E ( 3 )$ -Equiformer” uses $E ( 3 )$ - equivariant features. + +
Energy MAE (eV)↓EwT(%)↑Training time (minutes/epoch)Number of parameters
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93130.89.12M
E(3)-Equiformer0.50350.63850.50340.56580.55285.102.985.103.024.05174.98.77M
+ +Table 17: Comparison of training time and numbers of parameters for OC20 dataset. + +
MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)4.21M79
Equiformer9.12M87
+ +and type- $( 1 , o )$ vectors. They are regarded as different types in equivariant linear layers and layer normalizations, and therefore, the directional information captured in these two types of vectors can only exchange in depth-wise tensor products. Third, we mainly tune hyper-parameters for Equiformer with $S E ( 3 )$ -equivariant features, and it is possible that using $E ( 3 )$ -equivariant features would favor different hyper-parameters. + +For Table 15, 3, 4, and 5, we compare “Equiformer” with other works since most of them do not include equivariance to inversion. + +# F.5 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS + +We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022) and Equiformer when IS2RS auxiliary task is not adopted during training and summarize the results in Table 17. Equiformer achieves better results with comparable training time. Please refer to Sec. D.3 for a detailed discussion. + +The comparison of training time when IS2RS auxiliary task is adopted can be found in Table 5. + +# F.6 ERROR DISTRIBUTIONS + +We plot the error distributions of different Equiformer models on different sub-splits of OC20 IS2RE validation set in Fig. 5. For each curve, we sort the absolute errors in ascending order for better visualization and have a few observations. First, for each sub-split, there are always easy examples, for which all models achieve significantly low errors, and hard examples, for which all models have high errors. Second, the performance gains brought by different models are non-uniform among different sub-splits. For example, using MLP attention and non-linear messages improves the errors on the ID sub-split but is not that helpful on the OOD Ads sub-split. Third, when IS2RS node-level auxiliary task is not included during training, using stronger models mainly improves errors that are beyond the threshold of $0 . 0 2 \mathrm { e V } .$ which is used to calculate the metric of energy within threshold (EwT). For instance, on the OOD Both sub-split, using non-linear messages, which corresponds to red and purple curves, improves the absolute errors for the 15000th through 20000th examples. However, the improvement in MAE does not translate to that in EwT as the errors are still higher than the threshold of $0 . 0 2 \mathrm { e V } .$ This explains why using non-linear messages in Table 7 improves MAE from 0.5657 to 0.5545 but results in almost the same EwT. + +# G LIMITATIONS + +We discuss several limitations of the proposed Equiformer and equivariant graph attention below. + +First, Equiformer is based on irreducible representations (irreps) and therefore can inherit the limitations common to all equivariant networks based on irreps and the library $\mathtt { e 3 n n }$ (Geiger et al., 2022). For example, using higher degrees $L$ can result in larger features and using tensor products can be compute-intensive. Part of the reasons that tensor products can be computationally expensive are that the kernels have not been heavily optimized and customized as other operations in common libraries like PyTorch (Paszke et al., 2019). But this is the issue related to software, not the design of networks. While tensor products of irreps naively do not scale well, if all possible interactions and paths are considered, some paths in tensor products can also be pruned for computational efficiency. We leave these potential efficiency gains to future work and in this work focus on general equivariant attention if all possible paths up to $L _ { m a x }$ in tensor products are allowed. + +![](images/524d9fdc028cf858def1d25ba94cc8531f2136ff6fc43278f88369d419cc789a.jpg) +Figure 5: Error distributions of different Equiformer models on different sub-splits of OC20 IS2RE validation set. + +Second, the improvement of the proposed equivariant graph attention can depend on tasks and datasets. For QM9, MLP attention improves not significantly upon dot product attention as shown in Table 6. We surmise that this is because QM9 contains less atoms and less diverse atom types and therefore linear attention is enough. For OC20, MLP attention clearly improves upon dot product attention as shown in Table 7. Non-linear messages improve upon linear ones for the two datasets. + +Third, equivariant graph attention requires more computation than typical graph convolution. It includes one softmax operation and thus requires one additional sum aggregation compared to typical message passing. For non-linear message passing, it increases the number of tensor products from one to two and requires more computation. We note that if there is a constraint on training budget, using stronger attention (i.e., MLP attention and non-linear messages) would not always be optimal because for some tasks or datasets, the improvement is not that significant and using stronger attention can slow down training. + +Fourth, the proposed attention has complexity proportional to the products of numbers of channels and numbers of edges since the the attention is restricted to local neighborhoods. In the context of 3D atomistic graphs, the complexity is the same as that of messages and graph convolutions. However, in other domains like computer vision, the memory complexity of convolution is proportional to the number of pixels or nodes, not that of edges. Therefore, it would require further modifications in order to use the proposed attention in other domains. \ No newline at end of file diff --git a/parse/dev/KwmPfARgOTD/KwmPfARgOTD_content_list.json b/parse/dev/KwmPfARgOTD/KwmPfARgOTD_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..92b52e79ac6584ed98f4acce70661da613bf7648 --- /dev/null +++ b/parse/dev/KwmPfARgOTD/KwmPfARgOTD_content_list.json @@ -0,0 +1,3874 @@ +[ + { + "type": "text", + "text": "EQUIFORMER: EQUIVARIANT GRAPH ATTENTION TRANSFORMER FOR 3D ATOMISTIC GRAPHS ", + "text_level": 1, + "bbox": [ + 174, + 98, + 820, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yi-Lun Liao, Tess Smidt \nMassachusetts Institute of Technology \n{ylliao, tsmidt}@mit.edu \nhttps://github.com/atomicarchitects/equiformer ", + "bbox": [ + 184, + 170, + 635, + 226 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 452, + 242, + 545, + 256 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Despite their widespread success in various domains, Transformer networks have yet to perform well across datasets in the domain of 3D atomistic graphs such as molecules even when 3D-related inductive biases like translational invariance and rotational equivariance are considered. In this paper, we demonstrate that Transformers can generalize well to 3D atomistic graphs and present Equiformer, a graph neural network leveraging the strength of Transformer architectures and incorporating $S E ( 3 ) / E ( 3 )$ -equivariant features based on irreducible representations (irreps). First, we propose a simple and effective architecture by only replacing original operations in Transformers with their equivariant counterparts and including tensor products. Using equivariant operations enables encoding equivariant information in channels of irreps features without complicating graph structures. With minimal modifications to Transformers, this architecture has already achieved strong empirical results. Second, we propose a novel attention mechanism called equivariant graph attention, which improves upon typical attention in Transformers through replacing dot product attention with multi-layer perceptron attention and including non-linear message passing. With these two innovations, Equiformer achieves competitive results to previous models on QM9, MD17 and OC20 datasets. ", + "bbox": [ + 232, + 258, + 766, + 492 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 503, + 338, + 518 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Machine learned models can accelerate the prediction of quantum properties of atomistic systems like molecules by learning approximations of ab initio calculations (Gilmer et al., 2017; Zhang et al., 2018b; Jia et al., 2020; Gasteiger et al., 2020a; Batzner et al., 2022; Lu et al., 2021; Unke et al., 2021; Sriram et al., 2022; Rackers et al., 2023). In particular, graph neural networks (GNNs) have gained increasing popularity due to their performance. By modeling atomistic systems as graphs, GNNs naturally treat the set-like nature of collections of atoms, encode the interaction between atoms in node features and update the features by passing messages between nodes. One factor contributing to the success of neural networks is the ability to incorporate inductive biases that exploit the symmetry of data. Take convolutional neural networks (CNNs) for 2D images as an example: Patterns in images should be recognized regardless of their positions, which motivates the inductive bias of translational equivariance. As for atomistic graphs, where each atom has its coordinate in 3D Euclidean space, we consider inductive biases related to 3D Euclidean group $E ( 3 )$ , which include equivariance to 3D translation, 3D rotation, and inversion. Concretely, some properties like energy of an atomistic system should be constant regardless of how we shift the system; others like force should be rotated accordingly if we rotate the system. To incorporate these inductive biases, equivariant and invariant neural networks have been proposed. The former leverages geometric tensors like vectors for equivariant node features (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018; Fuchs et al., 2020; Batzner et al., 2022; Brandstetter et al., 2022; Musaelian et al., 2022), and the latter augments graphs with invariant information such as distances and angles extracted from 3D graphs (Schütt et al., 2017; Gasteiger et al., 2020b;a; Liu et al., 2022; Klicpera et al., 2021). ", + "bbox": [ + 173, + 520, + 825, + 797 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "A parallel line of research focuses on applying Transformer networks (Vaswani et al., 2017) to other domains like computer vision (Carion et al., 2020; Dosovitskiy et al., 2021; Touvron et al., 2020) and graph (Dwivedi & Bresson, 2020; Kreuzer et al., 2021; Ying et al., 2021; Shi et al., 2022) and has demonstrated widespread success. However, as Transformers were developed for sequence data (Devlin et al., 2019; Baevski et al., 2020; Brown et al., 2020), it is crucial to incorporate domain-related inductive biases. For example, Vision Transformer (Dosovitskiy et al., 2021) shows that adopting a pure Transformer to image classification cannot generalize well and achieves worse results than CNNs when trained on only ImageNet (Russakovsky et al., 2015) since it lacks inductive biases like translational invariance. Note that ImageNet contains over 1.28M images and the size is already larger than that of many quantum properties prediction datasets (Ruddigkeit et al., 2012; Chmiela et al., 2017; Chanussot\\* et al., 2021). Therefore, this highlights the necessity of including correct inductive biases when applying Transformers to the domain of 3D atomistic graphs. ", + "bbox": [ + 174, + 799, + 825, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 104, + 823, + 146 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Despite their widespread success in various domains, Transformers have yet to perform well across datasets (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) in the domain of 3D atomistic graphs even when relevant inductive biases are incorporated. In this work, we demonstrate that Transformers can generalize well to 3D atomistic graphs and present Equiformer, an equivariant graph neural network utilizing $S E ( 3 ) / E ( 3 )$ -equivariant features built from irreducible representations (irreps) and a novel attention mechanism to combine the 3D-related inductive bias with the strength of Transformer. First, we propose a simple and effective architecture, Equiformer with dot product attention and linear message passing, by only replacing original operations in Transformers with their equivariant counterparts and including tensor products. Using equivariant operations enables encoding equivariant information in channels of irreps features without complicating graph structures. With minimal modifications to Transformers, this architecture has already achieved strong empirical results (Index 3 in Table 6 and 7). Second, we propose a novel attention mechanism called equivariant graph attention, which improves upon typical attention in Transformers through replacing dot product attention with multi-layer perceptron attention and including non-linear message passing. Combining these two innovations, Equiformer (Index 1 in Table 6 and 7) achieves competitive results on QM9 (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014), MD17 (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) and OC20 (Chanussot\\* et al., 2021) datasets. For QM9 and MD17, Equiformer achieves overall better results across all tasks or all molecules compared to previous models like NequIP (Batzner et al., 2022) and TorchMD-NET (Thölke & Fabritiis, 2022). For OC20, when trained with IS2RE data and optionally IS2RS data, Equiformer improves upon state-of-the-art models such as SEGNN (Brandstetter et al., 2022) and Graphormer (Shi et al., 2022). Particularly, as of the submission of this work, Equiformer achieves the best IS2RE result when only IS2RE and IS2RS data are used and improves training time by $2 . 3 \\times$ to $1 5 . 5 \\times$ compared to previous models. ", + "bbox": [ + 173, + 146, + 825, + 467 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORKS ", + "text_level": 1, + "bbox": [ + 176, + 468, + 354, + 483 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We focus on equivariant neural networks here. We provide a detailed comparison between other equivariant Transformers and Equiformer and discuss other related works in Sec. B in appendix. ", + "bbox": [ + 176, + 486, + 823, + 512 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "$S E ( 3 ) / E ( 3 )$ -Equivariant GNNs. Equivariant neural networks (Thomas et al., 2018; Kondor et al., 2018; Weiler et al., 2018; Fuchs et al., 2020; Miller et al., 2020; Townshend et al., 2020; Batzner et al., 2022; Jing et al., 2021; Schütt et al., 2021; Satorras et al., 2021; Unke et al., 2021; Brandstetter et al., 2022; Thölke & Fabritiis, 2022; Le et al., 2022; Musaelian et al., 2022) operate on geometric tensors like type- $L$ vectors to achieve equivariance. The central idea is to use functions of geometry built from spherical harmonics and irreps features to achieve 3D rotational and translational equivariance as proposed in Tensor Field Network (TFN) (Thomas et al., 2018), which generalizes 2D counterparts (Worrall et al., 2016; Cohen & Welling, 2016; Cohen et al., 2018) to 3D Euclidean space (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018). Previous works differ in equivariant operations used in their networks. TFN (Thomas et al., 2018) and NequIP (Batzner et al., 2022) use graph convolution with linear messages, with the latter utilizing extra equivariant gate activations (Weiler et al., 2018). SEGNN (Brandstetter et al., 2022) introduces non-linear messages (Gilmer et al., 2017; Sanchez-Gonzalez et al., 2020) for irreps features, and the non-linear messages use the same gate activation and improve upon linear messages. SE(3)-Transformer (Fuchs et al., 2020) adopts an equivariant version of dot product (DP) attention (Vaswani et al., 2017) with linear messages, and the attention can support vectors of any type $L$ . Subsequent works on equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022) follow the practice of DP attention and linear messages but use more specialized architectures considering only type-0 and type-1 vectors. ", + "bbox": [ + 173, + 512, + 825, + 763 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The proposed Equiformer incorporates all the advantages through combining MLP attention with non-linear messages and supporting vectors of any type. Compared to TFN, NequIP, SEGNN and SE(3)-Transformer, the proposed combination of MLP attention and non-linear messages is more expressive than pure linear or non-linear messages and pure MLP or dot product attention. Compared to other equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022), in addition to being more expressive, the proposed attention mechanism can support vectors of higher degrees (types) and involve higher order tensor product interactions, which can lead to better performance. ", + "bbox": [ + 174, + 765, + 823, + 861 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 BACKGROUND ", + "text_level": 1, + "bbox": [ + 176, + 864, + 328, + 878 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3.1 $E ( 3 )$ EQUIVARIANCE ", + "text_level": 1, + "bbox": [ + 176, + 881, + 362, + 895 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Atomistic systems are often described using coordinate systems. For 3D Euclidean space, we can freely choose coordinate systems and change between them via the symmetries of 3D space: 3D translation, rotation and inversion ( $\\vec { r } - \\vec { r }$ ). The groups of 3D translation, rotation and inversion form Euclidean group $E ( 3 )$ , with the first two forming $S E ( 3 )$ , the second being $S O ( 3 )$ , and the last two forming $O ( 3 )$ . The laws of physics are invariant to the choice of coordinate systems and therefore properties of atomistic systems are equivariant, e.g., when we rotate our coordinate system, quantities like energy remain the same while others like force rotate accordingly. Formally, a function $f$ mapping between vector spaces $X$ and $Y$ is equivariant to a group of transformation $G$ if for any input $x \\in X$ , output $y \\in Y$ and group element $g \\in G$ , we have $f ( D _ { X } ( g ) x ) = D _ { Y } ( g ) f ( x )$ , where $D _ { X } ( g )$ and $D _ { Y } ( g )$ are transformation matrices parametrized by $g$ in $X$ and $Y$ . For learning on 3D atomistic graphs, features and learnable functions should be $E ( 3 )$ -equivariant to geometric transformation acting on position $\\vec { r }$ . In this work, following previous works (Thomas et al., 2018; Kondor et al., 2018; Weiler et al., 2018) implemented in $\\mathtt { e 3 n n }$ (Geiger et al., 2022), we achieve $S E ( 3 ) / E ( 3 )$ -equivariance by using equivariant features based on vector spaces of irreducible representations and equivariant operations for learnable functions. In the main text, we discuss $S E ( 3 )$ -equivariance and benchmark Equiformer with $S E ( 3 )$ -equivariance. We leave the discussion on inversion and $E ( 3 )$ -equivariance in Sec. A and present results of $E ( 3 )$ -equivariance in Sec. D.2 and Sec. F.4 in appendix. ", + "bbox": [ + 174, + 896, + 823, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 826, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 IRREDUCIBLE REPRESENTATIONS ", + "text_level": 1, + "bbox": [ + 176, + 319, + 447, + 334 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A group representation (Dresselhaus et al., 2007; Zee, 2016) defines transformation matrices $D _ { X } ( g )$ of group elements $g$ that act on a vector space $X$ . For 3D Euclidean group $E ( 3 )$ , two examples of vector spaces with different transformation matrices are scalars and Euclidean vectors in $\\bar { \\mathbb { R } } ^ { 3 }$ , i.e., vectors change with rotation while scalars do not. To address translation symmetry, we operate on relative positions. The transformation matrices of rotation and inversion are separable and commute. We discuss irreducible representations of $S O ( 3 )$ below and discuss inversion in Sec. A.3 in appendix. ", + "bbox": [ + 174, + 337, + 826, + 420 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Any group representation of $S O ( 3 )$ on a given vector space can be decomposed into a concatenation of provably smallest transformation matrices called irreducible representations (irreps). Specifically, for group element $g \\in S O ( 3 )$ , there are $( 2 L + 1 )$ -by- $( 2 L + 1 )$ irreps matrices $D _ { L } ( g )$ called Wigner-D matrices acting on $( 2 L + 1 )$ -dimensional vector spaces, where degree $L$ is a non-negative integer. $L$ can be interpreted as an angular frequency and determines how quickly vectors change when rotating coordinate systems. $D _ { L } ( g )$ of different $L$ act on independent vector spaces. Vectors transformed by $D _ { L } ( g )$ are type- $L$ vectors, with scalars and Euclidean vectors being type-0 and type-1 vectors. It is common to index elements of type- $L$ vectors with an index $m$ called order, where $- L \\leq m \\leq L$ . ", + "bbox": [ + 174, + 426, + 825, + 539 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Irreps Features. We concatenate multiple type- $L$ vectors to form $S E ( 3 )$ -equivariant irreps features. Concretely, irreps feature $f$ has $C _ { L }$ type- $L$ vectors, where $0 \\leq L \\leq L _ { m a x }$ and $C _ { L }$ is the number of channels for type- $L$ vectors. We index irreps features $f$ by channel $c$ , degree $L$ , and order $m$ and denote as $f _ { c , m } ^ { ( L ) }$ . Different channels of type- $L$ vectors are parametrized by different weights but are transformed with the same $D _ { L } ( g )$ . Regular scalar features correspond to only type-0 vectors. ", + "bbox": [ + 174, + 542, + 825, + 617 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Spherical Harmonics. Euclidean vectors $\\vec { r }$ in $\\mathbb { R } ^ { 3 }$ can be projected into type- $L$ vectors $f ^ { ( L ) }$ by using spherical harmonics (SH) $Y ^ { ( L ) }$ : $\\begin{array} { r } { f ^ { ( L ) } = Y ^ { ( L ) } ( \\frac { \\vec { r } } { | | \\vec { r } | | } ) } \\end{array}$ . SH are $E ( 3 )$ -equivariant with $D _ { L } ( g ) f ^ { ( L ) } =$ ${ \\cal Y } ^ { ( L ) } ( \\frac { D _ { 1 } ( g ) \\vec { r } } { | | D _ { 1 } ( g ) \\vec { r } | | } )$ SH of relative position $\\vec { r } _ { i j }$ generates the first set of irreps features. Equivariant information propagates to other irreps features through equivariant operations like tensor products. ", + "bbox": [ + 173, + 621, + 825, + 689 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.3 TENSOR PRODUCT ", + "text_level": 1, + "bbox": [ + 174, + 696, + 346, + 710 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Tensor products can interact different type- $L$ vectors. We discuss tensor products for $S O ( 3 )$ below and those for $O ( 3 )$ in Sec. A.4. The tensor product denoted as $\\otimes$ uses Clebsch-Gordan coefficients to combine type- $L _ { 1 }$ vector $f ^ { ( L _ { 1 } ) }$ and type- $L _ { 2 }$ vector $g ^ { ( L _ { 2 } ) }$ and produces type- $L _ { 3 }$ vector $h ^ { ( L _ { 3 } ) }$ : ", + "bbox": [ + 174, + 713, + 825, + 758 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/bc4c4e8d02d01d8580cd5a299f2879d83b91ff9c71825e8c4d300f8fa57db254.jpg", + "text": "$$\nh _ { m _ { 3 } } ^ { ( L _ { 3 } ) } = ( f ^ { ( L _ { 1 } ) } \\otimes g ^ { ( L _ { 2 } ) } ) _ { m _ { 3 } } = \\sum _ { m _ { 1 } = - L _ { 1 } } ^ { L _ { 1 } } \\sum _ { m _ { 2 } = - L _ { 2 } } ^ { L _ { 2 } } C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } f _ { m _ { 1 } } ^ { ( L _ { 1 } ) } g _ { m _ { 2 } } ^ { ( L _ { 2 } ) }\n$$", + "text_format": "latex", + "bbox": [ + 251, + 762, + 745, + 806 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $m _ { 1 }$ denotes order and refers to the $m _ { 1 }$ -th element of $f ^ { ( L _ { 1 } ) }$ . Clebsch-Gordan coefficients C(L3,m3)(L1,m1)(L2,m2) are non-zero only when |L1 − L2| ≤ L3 ≤ |L1 + L2| and thus restrict output vectors to be of certain types. For efficiency, we discard vectors with $L > L _ { m a x }$ , where $L _ { m a x }$ is a hyper-parameter, to prevent vectors of increasingly higher dimensions. ", + "bbox": [ + 173, + 811, + 825, + 876 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We call each distinct non-trivial combination of $L _ { 1 } \\otimes L _ { 2 } \\to L _ { 3 }$ a path. Each path is independently equivariant, and we can assign one learnable weight to each path in tensor products, which is similar to typical linear layers. We can generalize Eq. 1 to irreps features and include multiple channels of vectors of different types through iterating over all paths associated with channels of vectors. In this way, weights are indexed by $( c _ { 1 } , l _ { 1 } , c _ { 2 } , l _ { 2 } , c _ { 3 } , l _ { 3 } )$ , where $c _ { 1 }$ is the $c _ { 1 }$ -th channel of type- $l _ { 1 }$ vector in input irreps feature. We use $\\otimes _ { w }$ to represent tensor product with weights $w$ . Weights can be conditioned on quantities like relative distances. ", + "bbox": [ + 174, + 881, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/6bc9032c42e0c0a0b3a52902b0e4e084221fca37842bc78815d3fe75d2b3d6e7.jpg", + "image_caption": [ + "Figure 1: Architecture of Equiformer. We embed input 3D graphs with atom and edge-degree embeddings and process them with Transformer blocks, consisting of equivariant graph attention and feed forward networks. In this figure, “ $\\cdot _ { \\otimes } \\cdot$ ” denotes multiplication, “ $\\bigoplus$ ” denotes addition, and “DTP” stands for depth-wise tensor product. $\\displaystyle \\sum$ within a circle denotes summation over all neighbors. Gray cells indicate intermediate irreps features. " + ], + "image_footnote": [], + "bbox": [ + 264, + 99, + 736, + 364 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 446, + 825, + 502 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 EQUIFORMER ", + "text_level": 1, + "bbox": [ + 174, + 510, + 320, + 526 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "First, we propose a simple and effective architecture, Equiformer with dot product attention and linear message passing, by only replacing original operations in Transformers with their equivariant counterparts and including tensor products for ${ S E ( 3 ) } / { E ( 3 ) }$ -equivariant irreps features. The equivariant operations are discussed in Sec. 4.1. The equivariant version of dot product attention can be found in Sec. C.3, and that of other modules in Transformers can be found in Sec. 4.3. Second, we propose a novel attention mechanism called equivariant graph attention in Sec. 4.2. The proposed Equiformer combines these two innovations and is illustrated in Fig. 1. ", + "bbox": [ + 174, + 531, + 825, + 628 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 EQUIVARIANT OPERATIONS FOR IRREPS FEATURES", + "text_level": 1, + "bbox": [ + 174, + 637, + 570, + 651 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We discuss below equivariant operations, which serve as building blocks for equivariant graph attention and other modules, and analyze how they remain equivariant in Sec. C.1. They include the equivariant version of operations in Transformers and depth-wise tensor products as shown in Fig. 2. ", + "bbox": [ + 176, + 655, + 823, + 696 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Linear. Linear layers are generalized to irreps features by transforming different type- $L$ vectors separately. Specifically, we apply separate linear operations to each group of type- $L$ vectors. We remove bias terms for non-scalar features with $L > 0$ as biases do not depend on inputs, and therefore, including biases for type- $L$ vectors with $L > 0$ can break equivariance. ", + "bbox": [ + 174, + 704, + 826, + 761 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Layer Normalization. Transformers adopt layer normalization (LN) (Ba et al., 2016) to stabilize training. Given input $x ~ \\in ~ \\mathbb { R } ^ { N \\times C }$ , with $N$ being the number of nodes and $C$ the number of channels, LN calculates the linear transformation of normalized input as $\\begin{array} { r } { \\mathrm { L N } ( x ) = \\left( \\frac { x - \\mu _ { C } } { \\sigma _ { C } } \\right) \\circ \\gamma + \\beta } \\end{array}$ , where $\\mu _ { C } , \\sigma _ { C } \\in \\mathbb { R } ^ { N \\times 1 }$ are mean and standard deviation of input $x$ along the channel dimension, $\\gamma , \\beta \\in \\mathbb { R } ^ { 1 \\times C }$ are learnable parameters, and $\\circ$ denotes element-wise product. By viewing standard deviation as the root mean square value (RMS) of L2-norm of type- $L$ vectors, LN can be generalized to irreps features. Specifically, given input $x \\in \\mathbb { R } ^ { N \\times C \\times ( 2 L + 1 ) }$ of type- $L$ vectors, the output is $\\begin{array} { r } { \\mathrm { L N } ( x ) = \\left( \\frac { x } { \\mathrm { R M S } _ { C } ( \\mathrm { n o r m } ( x ) ) } \\right) \\circ \\gamma } \\end{array}$ , where $\\mathrm { n o r m } ( x ) \\in \\mathbb { R } ^ { N \\times C \\times 1 }$ calculates the L2-norm of each type- $L$ vectors in $x$ , and $\\mathbf { R M S } _ { C } ( \\mathrm { n o r m } ( x ) ) \\in \\mathbb { R } ^ { N \\times 1 \\times 1 }$ calculates the RMS of L2-norm with mean taken along the channel dimension. We remove means and biases for type- $L$ vectors with $L \\neq 0$ . ", + "bbox": [ + 173, + 767, + 826, + 930 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/ab2a7642418aa658c7a7885522e16b3ebe74aa1e36d5f7bc753d7e7ab118b8dd.jpg", + "image_caption": [ + "Figure 2: Equivariant operations used in Equiformer. (a) Each gray line between input and output irreps features contains one learnable weight. (b) “RMS” denotes the root mean square value along the channel dimension. For simplicity, we have removed multiplying by $\\gamma$ here. (c) Gate layers are equivariant activation functions where non-linearly transformed scalars are used to gate non-scalar irreps features. (d) The left two irreps features correspond to two input irreps features, and the rightmost one is the output irreps feature. The two gray lines connecting two vectors in the input irreps features and one vector in the output irreps feature form a path and contain one learnable weight. An alternative visualization of depth-wise tensor products can be found in Fig. 3 in appendix. We show $S E ( 3 )$ -equivariant operations here, which can be generalized to $E ( 3 )$ -equivariant features. " + ], + "image_footnote": [], + "bbox": [ + 223, + 106, + 767, + 244 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Gate. We use the gate activation (Weiler et al., 2018) for equivariant activation function as shown in Fig. 2(c). Typical activation functions are applied to type-0 vectors. For vectors of higher $L$ , we multiinput $x$ y them with non-linecontaining non-scalar $C _ { L }$ trantype- $L$ ormed type-0vectors with $0 < L \\leq L _ { m a x }$ uivar and $\\begin{array} { r } { ( C _ { 0 } + \\sum _ { L = 1 } ^ { L _ { m a x } } C _ { L } ) } \\end{array}$ , giventype-0 $C _ { 0 }$ vectors and sigmoid function to the other $\\sum _ { L = 1 } ^ { L _ { m a x } } C _ { L }$ type-0 vectors to obtain non-linear weights and multiply each type- vector with corresponding non-linear weights. After the gate activation, the number of channels for type-0 vectors is reduced to $C _ { 0 }$ . ", + "bbox": [ + 173, + 388, + 825, + 506 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Depth-wise Tensor Product. The tensor product defines interaction between vectors of different $L$ . To improve its efficiency, we use the depth-wise tensor product (DTP), where one type- $L$ vector in output irreps features depends only on one type- $L ^ { \\prime }$ vector in input irreps features as illustrated in Fig. 2(d) and Fig. 3, with $L$ being equal to or different from $L ^ { \\prime }$ . This is similar to depth-wise convolution (Howard et al., 2017), where one output channel depends on only one input channel. Weights $w$ in the DTP can be input-independent or conditioned on relative distances, and the DTP between two tensors $x$ and $y$ is denoted as $x \\otimes _ { w } ^ { D T P } y$ . Note that the one-to-one dependence of channels can significantly reduce the number of weights and thus memory complexity when weights are conditioned on relative distances. In contrast, if one output channel depends on all input channels, in our case, this can lead to out-of-memory errors when weights are parametrized by relative distances. ", + "bbox": [ + 173, + 513, + 826, + 654 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 EQUIVARIANT GRAPH ATTENTION ", + "text_level": 1, + "bbox": [ + 176, + 662, + 454, + 676 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Self-attention (Vaswani et al., 2017; Velickoviˇ c et al.´ , 2018; Fuchs et al., 2020; Khan et al., 2021; Ying et al., 2021; Brody et al., 2022) transforms features sent from one spatial location to another with input-dependent weights. We use the notion from Transformers (Vaswani et al., 2017) and message passing networks (Gilmer et al., 2017) and define message $m _ { i j }$ sent from node $j$ to node $i$ as follows: ", + "bbox": [ + 174, + 681, + 825, + 738 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/3ccd9b12b3cd6f33479bbe134a998cc42f03c92b2d872e5b8de077593cbd59f7.jpg", + "text": "$$\nm _ { i j } = a _ { i j } \\times v _ { i j }\n$$", + "text_format": "latex", + "bbox": [ + 444, + 750, + 553, + 765 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where attention weights $a _ { i j }$ depend on features on node $i$ and its neighbors $\\mathcal { N } ( i )$ and values $v _ { i j }$ are transformed with input-independent weights. In Transformers and Graph Attention Networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022), $v _ { i j }$ depends only on node $j$ . In message passing networks (Gilmer et al., 2017), $v _ { i j }$ depends on features on nodes $i$ and $j$ with constant $a _ { i j }$ . The proposed equivariant graph attention adopts tensor products to incorporate content and geometric information and uses multi-layer perceptron attention for $a _ { i j }$ and non-linear message passing for $v _ { i j }$ as illustrated in Fig. 1(b). ", + "bbox": [ + 173, + 772, + 825, + 872 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Incorporating Content and Geometric Information. Given features $x _ { i }$ and $x _ { j }$ on target node $i$ and source node $j$ , we combine the two features with two linear layers to obtain initial message $x _ { i j } = \\mathrm { L i n e a r } _ { d s t } ( x _ { i } ) + \\mathrm { L i n e a r } _ { s r c } ( x _ { j } )$ . $x _ { i j }$ is passed to a DTP layer and a linear layer to consider geometric information like relative position contained in different type- $L$ vectors in irreps features: ", + "bbox": [ + 174, + 881, + 823, + 925 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 102, + 820, + 118 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4ee3d125354070f5ea13872a811fd1d4b0f3eeaa97ab02a851e646cb62145ad9.jpg", + "text": "$$\n\\begin{array} { r } { x _ { i j } ^ { \\prime } = x _ { i j } \\otimes _ { w ( | | \\vec { r } _ { i j } | | ) } ^ { D T P } \\mathrm { S H } ( \\vec { r } _ { i j } ) \\quad \\mathrm { a n d } \\quad f _ { i j } = \\mathrm { L i n e a r } ( x _ { i j } ^ { \\prime } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 315, + 121, + 681, + 142 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\boldsymbol { x } _ { i j } ^ { \\prime }$ is the tensor product of $x _ { i j }$ and spherical harmonics embeddings (SH) of relative position $\\vec { r } _ { i j }$ , with weights parametrized by $\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert$ . $f _ { i j }$ considers semantic and geometric features on source and target nodes in a linear manner and is used to derive attention weights and non-linear messages. ", + "bbox": [ + 174, + 146, + 826, + 190 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Multi-Layer Perceptron Attention. Attention weights $a _ { i j }$ capture how each node interacts with neighboring nodes. $a _ { i j }$ are invariant to geometric transformation, and thus, we only use type-0 vectors (scalars) of message $f _ { i j }$ denoted as $f _ { i j } ^ { ( 0 ) }$ for attention. Note that $f _ { i i } ^ { ( 0 ) }$ encodes directional information, as they are generated by tensor products of type- vectors with $\\dot { L } \\geq 0$ . Inspired by GATv2 (Brody et al., 2022), we adopts multi-layer perceptron attention (MLPA) instead of dot product attention (DPA) used in Transformers (Vaswani et al., 2017). In contrast to dot product, MLPs are universal approximators (Hornik et al., 1989; Hornik, 1991; Cybenko, 1989) and can theoretically capture any attention patterns. Given $f _ { i j } ^ { ( 0 ) }$ , we uses one leaky ReLU layer and one linear layer for $a _ { i j }$ : ", + "bbox": [ + 173, + 195, + 826, + 316 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/daff60c0c046c2790ff6bbc63fd3ffc94d14980848e3eac0734f8217c1618c6b.jpg", + "text": "$$\nz _ { i j } = a ^ { \\top } \\mathrm { L e a k y R e L U } ( f _ { i j } ^ { ( 0 ) } ) \\quad \\mathrm { a n d } \\quad a _ { i j } = \\mathrm { s o f t m a x } _ { j } ( z _ { i j } ) = \\frac { \\exp ( z _ { i j } ) } { \\sum _ { k \\in \\mathcal { N } ( i ) } \\exp ( z _ { i k } ) }\n$$", + "text_format": "latex", + "bbox": [ + 238, + 318, + 759, + 354 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $a$ is a learnable vectors of the same dimension as $f _ { i j } ^ { ( 0 ) }$ and $z _ { i j }$ is a single scalar. The output of attention is the sum of value $v _ { i j }$ multipled by corresponding $a _ { i j }$ over all neighboring nodes $j \\in \\mathcal { N } ( i )$ , where $v _ { i j }$ can be obtained by linear or non-linear transformations of $f _ { i j }$ as discussed below. ", + "bbox": [ + 174, + 358, + 825, + 406 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Non-Linear Message Passing. Values $v _ { i j }$ are features sent from one node to another, transformed with input-independent weights. We first split $f _ { i j }$ into $f _ { i j . } ^ { ( L ) }$ and $f _ { i j . } ^ { ( 0 ) }$ , where the former consists of type- $L$ vectors with $0 \\leq L \\leq L _ { m a x }$ and the latter consists of scalars only. Then, we perform non-linear transformation to $f _ { i j } ^ { ( L ) }$ to obtain non-linear message: ", + "bbox": [ + 173, + 411, + 825, + 477 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/bcbb955af6eb887a94eb625fb71bd38d9abe00e2c23475f349da9621e745df27.jpg", + "text": "$$\n\\mu _ { i j } = \\mathrm { G a t e } ( f _ { i j } ^ { ( L ) } ) \\quad \\mathrm { a n d } \\quad v _ { i j } = \\mathrm { L i n e a r } ( \\left[ \\mu _ { i j } \\otimes _ { w } ^ { D T P } \\mathrm { S H } ( \\vec { r } _ { i j } ) \\right] )\n$$", + "text_format": "latex", + "bbox": [ + 295, + 481, + 700, + 503 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We apply gate activation to f (L)ij to obtain µij . We use one DTP and a linear layer to enable interaction between non-linear type- $L$ vectors, which is similar to how we transform $\\boldsymbol { x } _ { i j }$ into $f _ { i j }$ . Weights $w$ here are input-independent. We can also use $f _ { i j } ^ { ( L ) }$ directly as $v _ { i j }$ for linear messages. ", + "bbox": [ + 173, + 508, + 825, + 560 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Multi-Head Attention. Following Transformers (Vaswani et al., 2017), we can perform $h$ parallel equivariant graph attention functions given $f _ { i j }$ . The $h$ different outputs are concatenated and projected with a linear layer, resulting in the final output $y _ { i }$ as illustrated in Fig. 1(b). Note that parallelizing attention functions and concatenating can be implemented with “Reshape”. ", + "bbox": [ + 173, + 566, + 825, + 623 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.3 OVERALL ARCHITECTURE ", + "text_level": 1, + "bbox": [ + 174, + 632, + 398, + 646 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For completeness, we discuss other modules in Equiformer here. ", + "bbox": [ + 173, + 650, + 598, + 665 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Embedding. This module consists of atom embedding and edge-degree embedding. For the former, we use a linear layer to transform one-hot encoding of atom species. For the latter, as depicted in the right branch in Fig. 1(c), we first transform a constant one vector into messages encoding local geometry with two linear layers and one intermediate DTP layer and then use sum aggregation to encode degree information (Xu et al., 2019; Shi et al., 2022). The DTP layer has the same form as that in Eq. 3. We scale the aggregated features by dividing with the squared root of average degrees in training sets so that standard deviation of aggregated features would be close to 1. ", + "bbox": [ + 173, + 671, + 825, + 770 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Radial Basis and Radial Function. Relative distances $\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert$ parametrize weights in some DTP layers. To reflect subtle changes in $\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert$ , we represent distances with radial basis like Gaussian radial basis (Schütt et al., 2017) and radial Bessel basis (Gasteiger et al., 2020b;a). We transform radial basis with a learnable radial function to generate weights for those DTP layers. The function consists of a two-layer MLP, with each linear layer followed by LN and SiLU, and a final linear layer. ", + "bbox": [ + 173, + 775, + 825, + 847 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Feed Forward Network. Similar to Transformers, we use two equivariant linear layers and an intermediate gate activation for the feed forward networks in Equiformer. ", + "bbox": [ + 171, + 852, + 823, + 881 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Output Head. The last feed forward network transforms features on each node into a scalar. We perform sum aggregation over all nodes to predict scalar quantities like energy. Similar to edge-degree embedding, we divide the aggregated scalars with the squared root of average numbers of atoms. ", + "bbox": [ + 174, + 887, + 825, + 930 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/99449f7c420a58ee605341ce298638673593e231af3640cfcdd9d40c37f10b68.jpg", + "table_caption": [ + "Table 1: MAE results on QM9 testing set. $\\dagger$ denotes using different data partitions. " + ], + "table_footnote": [], + "table_body": "
MethodsTask Unitsα a△ε meVεHOMO meVεLUMO meVμ DCv cal/mol KG meVH meVR aU meVU meVZPVE meV
NMP(Gilmer et al., 2017)t.092694338.030.0401917.18020201.50
SchNet (Schutt et al.,2017).235634134.033.0331414.07319141.70
Cormorant (Anderson et al., 2019)†.085613438.038.0262021.96121222.03
LieConv (Finzi et al.,020)t.084493025.032.0382224.80019192.28
DimeNet++ (Gasteiger et al., 2020a).044332520.030.02387.331661.21
TFN (Thomas et al., 2018)†.223584038.064.101------
SE(3)-Transformer(Fuchs etal.,2020)†.142533533.051.054------
EGNN (Satorras et al.,2021)†.071482925.029.0311212.10612111.55
PaiNN (Schutt et al.,2021).045462820.012.0247.355.98.0665.835.851.28
TorchMD-NET(Tholke & Fabritiis,2022).059362018.011.0267.626.16.0336.386.151.84
SphereNet (Liu et al.,2022).046322318.026.02186.292761.12
SEGNN (Brandstetter et al.,2022)†.060422421.023.0311516.66013151.62
EQGAT (Le et al.,2022).053322016.011.0242324.38225252.00
Equiformer.046301514.011.0237.636.63.2516.746.591.26
", + "bbox": [ + 187, + 101, + 805, + 253 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/f6bd800e064be95eb07dc9b9156a5764ddf22a6190a4b9e97cbe5cc5d1bb94bb.jpg", + "table_caption": [], + "table_footnote": [ + "Table 2: MAE results on MD17 testing set. Energy and force are in units of meV and meV/Å. " + ], + "table_body": "
AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
SchNet (Schutt et al.,2017)16.058.53.513.43.516.95.628.66.925.28.736.95.224.76.124.3
DimeNet (Gasteiger et al.,2020b)8.821.63.48.12.810.04.516.65.39.35.816.24.49.45.013.1
PaiNN (Schuitt et al., 2021)6.914.7--2.79.73.913.85.03.34.98.54.14.14.56.0
TorchMD-NET(Tholke &Fabritis,2022)5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.1 4.54.1
NequIP(Lmax =3)(Batzner etal.,022)5.78.0--2.23.13.35.64.91.74.63.94.02.03.3
Equiformer (Lmar =2)5.37.26.623.35.83.74.54.13.84.33.3
Equiformer(Lmax =3)5.36.68.133.25.44.4204.33.93.724.33.4
", + "bbox": [ + 114, + 273, + 883, + 369 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 EXPERIMENT ", + "text_level": 1, + "bbox": [ + 174, + 392, + 316, + 409 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We benchmark Equiformer on QM9 (Sec. 5.1), MD17 (Sec. 5.2) and OC20 (Sec. 5.3) datasets. Moreover, ablation studies (Sec. 5.4) are conducted to demonstrate that Equiformer with dot prodcut attention and linear message passing has already achieved strong empirical results on QM9 and OC20 datasets and verify that the proposed equivariant graph attention improves upon typical dot product attention in Transformer as well as dot product attention in other equivariant Transformers. Additional results of including inversion can be found in Sec. D.2 and Sec. F.4. ", + "bbox": [ + 173, + 412, + 825, + 497 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 QM9 ", + "text_level": 1, + "bbox": [ + 174, + 505, + 253, + 518 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Dataset. The QM9 dataset (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014) (CC BY-NC SA 4.0 license) consists of $1 3 4 \\mathrm { k }$ small molecules, and the goal is to predict their quantum properties. The data partition we use has 110k, 10k, and 11k molecules in training, validation and testing sets. We minimize mean absolute error (MAE) between prediction and normalized ground truth. ", + "bbox": [ + 173, + 520, + 825, + 575 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Training Details. Please refer to Sec. D.1 in appendix for details on architecture, hyper-parameters and training time. ", + "bbox": [ + 173, + 580, + 823, + 609 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. We summarize the comparison to previous models in Table 1. Equiformer achieves overall better results across 12 regression tasks compared to each individual model. The comparison to SEGNN, which uses irreps features as Equiformer, demonstrates the effectiveness of combining non-lienar message passing with MLP attention. Additionally, Equiformer achieves better results for most tasks when compared to other equivariant Transformers, which are SE(3)-Transformer, TorchMD-NET and EQGAT. This demonstrates a better adaption of Transformers to 3D graphs and the effectiveness of the proposed equivariant graph attention. We note that for the tasks of $\\mu$ and $R ^ { 2 }$ , PaiNN and TorchMD-NET use different architectures, which take into account the property of the task. In contrast, we use the same architecture for all tasks. We compare training time in Sec. D.3. ", + "bbox": [ + 173, + 613, + 825, + 738 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.2 MD17 ", + "text_level": 1, + "bbox": [ + 174, + 746, + 261, + 758 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Dataset. The MD17 dataset (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) (CC BY-NC) consists of molecular dynamics simulations of small organic molecules, and the goal is to predict their energy and forces. We use 950 and 50 different configurations for training and validation sets and the rest for the testing set. Forces are derived as the negative gradient of energy with respect to atomic positions. We minimize MAE between prediction and normalized ground truth. ", + "bbox": [ + 174, + 761, + 825, + 830 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Training Details. Please refer to Sec. E.1 in appendix for details on architecture, hyper-parameters and training time. ", + "bbox": [ + 174, + 835, + 823, + 863 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. We train Equiformer with $L _ { m a x } \\ = \\ 2$ and 3 and summarize the results in Table 2. Equiformer achieves overall better results across 8 molecules compared to each individual model. Compared to TorchMD-NET, which is also an equivariant Transformer, the difference lies in the proposed equivariant graph attention, which is more expressive and can support vectors of higher degree ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/50a932d2b27e14ef36f3d34c9b99bdbc75abc8cab8759b4418982efba063c511.jpg", + "table_caption": [ + "Table 3: Results on OC20 IS2RE testing set. " + ], + "table_footnote": [], + "table_body": "
Energy MAE (eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
CGCNN (Xie & Grossman,2018)0.61490.91550.62190.85110.75093.401.933.102.002.61
SchNet (Schut et al., 2017)0.63870.73420.66160.70370.68462.962.332.942.212.61
DimeNet++(Gasteiger etal.,2020a)0.56210.72520.57560.66130.63114.252.074.102.413.21
PaiNN (Schutt et al.,2021)0.5750.7830.6040.7430.67633.461.973.462.282.79
SpinConv (Shuaibi et al.,2021)0.55830.72300.56870.67380.63104.082.263.822.333.12
SphereNet (Liu etal.,2022)0.56250.70330.57080.63780.61864.472.294.092.413.32
SEGNN (Brandstetter et al., 2022)0.53270.69210.53690.67900.61015.372.464.912.633.84
Equiformer0.50370.68810.52130.63010.58585.142.414.672.693.73
", + "bbox": [ + 183, + 101, + 810, + 203 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/22747fd049d3395e9f245714bb1f26b8f0e7a65be6003c097b50e182aa5577c4.jpg", + "table_caption": [ + "Table 4: Results on OC20 IS2RE validation set when IS2RS is adopted during training. " + ], + "table_footnote": [], + "table_body": "
Energy MAE (eV)↓EwT(%) ↑
MethodsIDOOD AdsOOD CatOODBothAverageIDOOD AdsOOD CatOOD BothAverage
GNS (Godwin et al.,2022)0.540.650.550.590.5825-----
GNS + Noisy Nodes (Godwin et al., 2022)0.470.510.480.460.4800=----
Graphormer (Shi et al., 2022)0.43290.58500.44410.52990.4980----
Equiformer0.42220.54200.42310.47540.46577.233.777.134.105.56
Equiformer + Noisy Nodes0.41560.49760.41650.43440.44107.474.647.194.846.04
", + "bbox": [ + 176, + 224, + 823, + 299 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/5b2e9020112d2e77ce92792331e8b7fba5974dc7b797766c0a715cbbe5d41737.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Energy MAE (eV)↓EwT(%)↑Training time
MethodsIDOOD AdsOOD CatOOD BothAverageDOOD AdsOOD CatOOD BothAverage(GPU-days)
GNS + Noisy Nodes (Godwin et al.,2022)0.42190.56780.43660.46510.47289.124.258.014.646.556 (TPU)
Graphormer (Shi et al.,22)†0.39760.57190.41660.50290.47228.973.458.183.796.1372(A100)
Equiformer+Noisy Nodes0.41710.54790.42480.47410.46607.713.707.154.075.6624 (A6000)
", + "bbox": [ + 145, + 321, + 852, + 382 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Table 5: Results on OC20 IS2RE testing set when IS2RS is adopted during training. $\\dagger$ denotes using ensemble of models trained on both IS2RE training and validation sets. In contrast, we use the same single Equiformer model in Table 4, which is trained only on the training set. Note that Equiformer achieves better results with much less computation. ", + "bbox": [ + 173, + 383, + 826, + 439 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "$L$ (i.e., we use $L _ { m a x } = 2$ and 3) instead of restricting to type-0 and type-1 vectors (i.e., $L _ { m a x } = 1$ ). For the last three molecules, although Equiformer with $L _ { m a x } = 2$ achieves lower force MAE but higher energy MAE, we can adjust the weights of energy loss and force loss so that Equiformer achieves lower MAE for both energy and forces as shown in Table 12 in appendix. Compared to NequIP, which also uses irreps features and $L _ { m a x } = 3$ , Equiformer with $L _ { m a x } = 2$ achieves overall lower MAE although including higher $L _ { m a x }$ can improve performance. When using $L _ { m a x } = 3$ Equiformer achieves lower MAE results for most molecules. This suggests that the proposed attention can improve upon linear messages even when the size of training sets becomes small. We compare the training time of NequIP and Equiformer in Sec. E.3. Additionally, for Equiformer, increasing $L _ { m a x }$ from 2 to 3 improves MAE for most molecules except benzene, which results from overfitting. ", + "bbox": [ + 173, + 445, + 825, + 584 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.3 OC20 ", + "text_level": 1, + "bbox": [ + 174, + 590, + 258, + 604 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Dataset. The Open Catalyst 2020 (OC20) dataset (Chanussot\\* et al., 2021) (Creative Commons Attribution 4.0 License) consists of larger atomic systems, each composed of a molecule called adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom types than QM9 and MD17. We focus on the task of initial structure to relaxed energy (IS2RE), which is to predict the energy of a relaxed structure (RS) given its initial structure (IS). Performance is measured in MAE and energy within threshold (EwT), the percentage in which predicted energy is within $0 . 0 2 \\mathrm { e V }$ of ground truth energy. In validation and testing sets, there are four sub-splits containing in-distribution adsorbates and catalysts (ID), out-of-distribution adsorbates (OOD-Ads), out-of-distribution catalysts (OOD-Cat), and out-of-distribution adsorbates and catalysts (OOD-Both). Please refer to Sec. F.1 for the detailed description of OC20 dataset. ", + "bbox": [ + 173, + 606, + 825, + 744 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Setting. We consider two training settings based on whether a node-level auxiliary task (Godwin et al., 2022) is adopted. In the first setting, we minimize MAE between predicted energy and ground truth energy without any node-level auxiliary task. In the second setting, we incorporate the task of initial structure to relaxed structure (IS2RS) as a node-level auxiliary task. ", + "bbox": [ + 173, + 748, + 825, + 804 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Training Details. Please refer to Sec. F.2 in appendix for details on Equiformer architecture, hyper-parameters and training time. ", + "bbox": [ + 174, + 808, + 821, + 837 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "IS2RE Results without Node-Level Auxiliary Task. We summarize the results on validation and testing sets under the first setting in Table 15 in appendix and Table 3. Compared with state-of-theart models like SEGNN and SphereNet, Equiformer consistently achieves the lowest MAE for all the four sub-splits in validation and testing sets. Note that EwT considers only the percentage of predictions close enough to ground truth and the distribution of errors, and therefore improvement in average errors (MAE) would not necessarily reflect that in error distributions (EwT). A more detailed discussion can be found in Sec. F.6 in appendix. We also note that models are trained by minimizing MAE, and therefore comparing MAE could mitigate the discrepancy between training objectives and evaluation metrics and that OC20 leaderboard ranks the relative performance according to MAE. Additionally, we compare the training time of SEGNN and Equiformer in Sec. F.5. ", + "bbox": [ + 174, + 840, + 825, + 922 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/f193b87005b6bb22a768e6d6306b845c3d0cdb03bacd0f1318185f070fea8bc9.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
IndexMethodsTask α△ε meVεHOMO meVεLUMO片 CvTraining timeNumber of parameters
Non-linear message passingMLP attentionUnit aD cal/mol K
1·attention.04630meV 14.011.023(minutes/epoch) 12.13.53M
2.0513215 1616.013.0257.23.01M
3.053321716.013.0257.83.35M
", + "bbox": [ + 194, + 101, + 799, + 166 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/bfa15a6c89ad6bdb120c404a7bacf163793eeed806070b6bad6db08f8f004def.jpg", + "table_caption": [ + "Table 6: Ablation study results on QM9. " + ], + "table_footnote": [ + "Table 7: Ablation study results on OC20 IS2RE validation set. " + ], + "table_body": "
IndexMethodsEnergy MAE(eV)↓EwT(%)↑Number of
Non-linear message passingMLP attentionDot product attentionIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverageTraining time (minutes/epoch)
1230.50880.62710.50510.55450.54894.882.934.922.983.93130.8parameters 9.12M
·0.51680.63080.50880.56570.55554.592.824.793.023.8191.27.84M
0.53860.63820.52970.56920.56894.372.604.362.863.5599.38.72M
", + "bbox": [ + 81, + 183, + 915, + 248 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 265, + 825, + 320 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "IS2RE Results with IS2RS Node-Level Auxiliary Task. We report the results on validation and testing sets in Table 4 and Table 5. As of the date of the submission of this work, Equiformer achieves the best results on IS2RE task when only IS2RE and IS2RS data are used. Notably, the result in Table 5 is achieved with much less computation. We note that under this setting, greater depths and thus more computation translate to better performance (Godwin et al., 2022) and that Equiformer demonstrates incorporating equivariant features and the proposed equivariant graph attention can improve training efficiency by $2 . 3 \\times$ to $1 5 . 5 \\times$ compared to invariant message passing networks and invariant Transformers. ", + "bbox": [ + 173, + 324, + 825, + 434 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.4 ABLATION STUDY ", + "text_level": 1, + "bbox": [ + 174, + 438, + 341, + 450 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We conduct ablation studies to show that Equiformer with dot product attention and linear message passing has already achieved strong empirical results and demonstrate the improvement brought by MLP attention and non-linear messages in the proposed equivariant graph attention. Dot product (DP) attention only differs from MLP attention in how attention weights $a _ { i j }$ are generated from $f _ { i j }$ Please refer to Sec. C.3 in appendix for further details. For experiments on QM9 and OC20, unless otherwise stated, we follow the hyper-parameters used in previous experiments. ", + "bbox": [ + 174, + 453, + 825, + 536 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Result on QM9. The comparison is summarized in Table 6. Compared with models in Table 1, Equiformer with dot product attention and linear message passing (Index 3) achieves competitve results. Non-linear messages improve upon linear messages when MLP attention is used while non-linear messages increase the number of tensor product operations in each block from 1 to 2 and thus inevitably increase training time. On the other hand, MLP attention achieves similar results to DP attention. We conjecture that DP attention with linear operations is expressive enough to capture common attention patterns as the numbers of nighboring nodes and atom species are much smaller than those in OC20. However, MLP attention is roughly $8 \\%$ faster as it directly generates scalar features and attention weights from $f _ { i j }$ instead of producing additional key and query irreps features for attention weights. ", + "bbox": [ + 173, + 540, + 825, + 679 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Result on OC20. We consider the setting of training without auxiliary task and summarize the comparison in Table 7. Compared with models in Table 15, Equiformer with dot product attention and linear message passing (Index 3) has already outperformed all previous models. Non-linear messages consistently improve upon linear messages. In contrast to the results on QM9, MLP attention achieves better performance than DP attention and is $8 \\%$ faster. We surmise this is because OC20 contains larger atomistic graphs with more diverse atom species and therefore requires more expressive attention mechanisms. Note that Equiformer can potentially improve upon previous equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) since they use less expressive attention mechanisms similar to Index 3 in Table 7. ", + "bbox": [ + 174, + 683, + 825, + 808 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 174, + 810, + 320, + 825 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we propose Equiformer, a graph neural network (GNN) combining the strengths of Transformers and equivariant features based on irreducible representations (irreps). With irreps features, we build upon existing generic GNNs and Transformer networks by incorporating equivariant operations like tensor products. We further propose equivariant graph attention, which incorporates multi-layer perceptron attention and non-linear messages. Experiments on QM9, MD17 and OC20 demonstrate the effectiveness of Equiformer and ablation studies show the improvement of the proposed equivariant graph attention over typical attention in Transformers. ", + "bbox": [ + 174, + 827, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 ETHICS STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 102, + 374, + 118 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Equiformer achieves more accurate approximations of quantum properties calculation. We believe there is much more to be gained by harnessing these abilities for productive investigation of molecules and materials relevant to application such as energy, electronics, and pharmaceuticals, than to be lost by applying these methods for adversarial purposes like creating hazardous chemicals. Additionally, there are still substantial hurdles to go from the identification of a useful or harmful molecule to its large-scale deployment. ", + "bbox": [ + 174, + 133, + 825, + 217 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Moreover, we discuss several limitations of Equiformer and the proposed equivariant graph attention in Sec. G in appendix. ", + "bbox": [ + 174, + 223, + 823, + 252 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "8 REPRODUCIBILITY STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 272, + 467, + 289 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We include details on architectures, hyper-parameters and training time in Sec. D.1 (QM9), Sec. E.1 (MD17) and Sec. F.2 (OC20). ", + "bbox": [ + 169, + 304, + 823, + 333 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The code for reproducing the results of Equiformer on QM9, MD17 and OC20 datasets is available at https://github.com/atomicarchitects/equiformer. ", + "bbox": [ + 173, + 339, + 823, + 367 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ACKNOWLEDGEMENT ", + "text_level": 1, + "bbox": [ + 176, + 390, + 357, + 405 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank Simon Batzner, Albert Musaelian, Mario Geiger, Johannes Brandstetter, and Rob Hesselink for helpful discussions including help with the OC20 dataset. We also thank the $\\mathtt { e 3 n n }$ (Geiger et al., 2022) developers and community for the library and detailed documentation. We acknowledge the MIT SuperCloud and Lincoln Laboratory Supercomputing Center (Reuther et al., 2018) for providing high performance computing and consultation resources that have contributed to the research results reported within this paper. ", + "bbox": [ + 174, + 420, + 825, + 505 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Yi-Lun Liao and Tess Smidt were supported by DOE ICDI grant DE-SC0022215. 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Phys. Rev. Lett., 120: 143001, Apr 2018b. doi: 10.1103/PhysRevLett.120.143001. URL https://link.aps.org/ doi/10.1103/PhysRevLett.120.143001. ", + "bbox": [ + 173, + 450, + 826, + 507 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 103, + 264, + 117 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A Additional background ", + "bbox": [ + 233, + 128, + 401, + 143 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.1 Group theory A.2 Equivariance A.3 Equivariant features based on vector spaces of irreducible representations A.4 Tensor product B Related works B.1 Graph neural networks for 3D atomistic graphs B.2 Detailed comparison between equivariant Transformers B.3 Invariant GNNs B.4 Attention and Transformer ", + "bbox": [ + 232, + 147, + 776, + 299 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "C Details of architecture ", + "bbox": [ + 232, + 304, + 395, + 318 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "C.1 Equivariant operation used in Equiformer \nC.2 Equiformer architecture \nC.3 Dot product attention \nC.4 Incorporating E(3)-Equivariance \nC.5 Discussion on computational complexity ", + "bbox": [ + 264, + 321, + 563, + 404 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "D Details of experiments on QM9 ", + "bbox": [ + 232, + 407, + 457, + 422 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "D.1 Training details D.2 Comparison between $S E ( 3 )$ and $E ( 3 )$ equivariance D.3 Comparison of training time and numbers of parameters ", + "bbox": [ + 263, + 426, + 661, + 474 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "E Details of experiments on MD17 ", + "bbox": [ + 233, + 479, + 464, + 493 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "E.1 Training details E.2 Additional comparison of performance to TorchMD-NET E.3 Comparison of training time and numbers of parameters ", + "bbox": [ + 264, + 498, + 668, + 545 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "F Details of experiments on OC20 ", + "bbox": [ + 232, + 550, + 460, + 564 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "F.1 Detailed description of OC20 dataset \nF.2 Training details \nF.3 Results on IS2RE validation set \nF.4 Comparison between $S E ( 3 )$ and $E ( 3 )$ equivariance \nF.5 Comparison of training time and numbers of parameters \nF.6 Error distributions ", + "bbox": [ + 264, + 569, + 660, + 666 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "G Limitations ", + "bbox": [ + 232, + 670, + 326, + 684 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A ADDITIONAL BACKGROUND ", + "text_level": 1, + "bbox": [ + 176, + 705, + 444, + 722 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In this section, we provide additional mathematical background helpful for the discussion of the proposed method. Other works (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018; Anderson et al., 2019; Fuchs et al., 2020; Brandstetter et al., 2022) also provide similar background. We encourage interested readers to see these works (Zee, 2016; Dresselhaus et al., 2007) for more in-depth and pedagogical presentations. ", + "bbox": [ + 174, + 736, + 826, + 808 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "A.1 GROUP THEORY ", + "text_level": 1, + "bbox": [ + 176, + 823, + 331, + 838 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Definition of Groups. A group is an algebraic structure that consists of a set $G$ and a binary operator $\\circ : G \\times G \\to G$ and is typically denoted as $G$ . Groups satisfy the following four axioms: ", + "bbox": [ + 174, + 849, + 823, + 878 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "1. Closure: $g \\circ h \\in G$ for all $g , h \\in G$ . \n2. Identity: There exists an identity element $e \\in G$ such that $g \\circ e = e \\circ g = g$ for all $g \\in G$ . ", + "bbox": [ + 209, + 888, + 821, + 924 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "3. Inverse: For each $g \\in G$ , there exists an inverse element $g ^ { - 1 } \\in G$ such that $g \\circ g ^ { - 1 } =$ $g ^ { - 1 } \\circ g = e$ . ", + "bbox": [ + 204, + 102, + 823, + 133 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "4. Associativity: $f \\circ g \\circ h = ( f \\circ g ) \\circ h = f \\circ ( g \\circ h )$ for all $f , g , h \\in G$ . ", + "bbox": [ + 207, + 137, + 699, + 155 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In this work, we focus on 3D rotation, translation and inversion. Relevant groups include: ", + "bbox": [ + 168, + 164, + 759, + 180 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "1. The Euclidean group in three dimensions $E ( 3 )$ : 3D rotation, translation and inversion. \n2. The special Euclidean group in three dimensions $S E ( 3 )$ : 3D rotation and translation. \n3. The orthogonal group in three dimensions $O ( 3 )$ : 3D rotation and inversion. \n4. The special orthogonal group in three dimensions $S O ( 3 )$ : 3D rotation. ", + "bbox": [ + 205, + 191, + 797, + 268 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Group Representations. The actions of groups define transformations. Formally, a transformation acting on vector space $X$ parametrized by group element $g \\in G$ is an injective function $T _ { g } : X \\to X$ . A powerful result of group representation theory is that these transformations can be expressed as matrices which act on vector spaces via matrix multiplication. These matrices are called the group representations. Formally, a group representation $D : G \\to G L ( N )$ is a mapping between a group $G$ and a set of $N \\times N$ invertible matrices. The group representation $D ( { \\bar { g } } ) : { \\bar { X } } \\to X$ maps an $N$ -dimensional vector space $X$ onto itself and satisfies $D ( g ) D ( h ) = D ( g \\circ h )$ for all $g , h \\in G$ . ", + "bbox": [ + 174, + 285, + 826, + 383 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "How a group is represented depends on the vector space it acts on. If there exists a change of basis $P$ in the form of an $N \\times N$ matrix such that $P ^ { - 1 } \\dot { D } ( g ) P = D ^ { \\prime } ( g )$ for all $g \\in G$ , then we say the two group representations are equivalent. If $D ^ { \\prime } ( g )$ is block diagonal, which means that $g$ acts on independent subspaces of the vector space, the representation $D ( g )$ is reducible. A particular class of representations that are convenient for composable functions are irreducible representations or “irreps”, which cannot be further reduced. We can express any group representation of $S O ( 3 )$ as a direct sum (concatentation) of irreps (Zee, 2016; Dresselhaus et al., 2007; Geiger et al., 2022): ", + "bbox": [ + 173, + 390, + 825, + 488 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/dc6175570f32260421ed301aee320ca64e16f23e38a63e697d65056385a3dbb4.jpg", + "text": "$$\n{ \\cal D } ( g ) = P ^ { - 1 } \\left( \\bigoplus _ { i } { \\cal D } _ { l _ { i } } ( g ) \\right) P = P ^ { - 1 } \\left( \\begin{array} { c c c } { { { \\cal D } _ { l _ { 0 } } ( g ) } } & { { } } & { { } } \\\\ { { } } & { { { \\cal D } _ { l _ { 1 } } ( g ) } } & { { } } \\\\ { { } } & { { } } & { { \\ldots \\ldots } } \\end{array} \\right) P\n$$", + "text_format": "latex", + "bbox": [ + 263, + 496, + 735, + 540 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "where $D _ { l _ { i } } ( g )$ are Wigner-D matrices with degree $l _ { i }$ as metnioned in Sec. 3.2. ", + "bbox": [ + 174, + 549, + 678, + 565 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.2 EQUIVARIANCE ", + "text_level": 1, + "bbox": [ + 176, + 583, + 326, + 597 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Definition of Equivariance and Invariance. Equivariance is a property of a function $f : X \\to Y$ mapping between vector spaces $X$ and $Y$ . Given a group $G$ and group representations $D _ { X } ( g )$ and $D _ { Y } ( g )$ in input and output spaces $X$ and $Y$ , $f$ is equivariant to $\\mathbf { G }$ if $D _ { Y } ( g ) f ( x ) = f ( D _ { X } ( g ) x )$ for all $x \\in X$ and $g \\in G$ . Invariance corresponds to the case where $D _ { Y } ( g )$ is the identity $I$ for all $g \\in G$ ", + "bbox": [ + 174, + 609, + 825, + 666 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Equivariance in Neural Networks. Group equivariant neural networks are guaranteed to to make equivariant predictions on data transformed by a group. Additionally, they are found to be dataefficient and generalize better than non-symmetry-aware and invariant methods (Batzner et al., 2022; Rackers et al., 2023; Frey et al., 2022). For 3D atomistic graphs, we consider equivariance to the Euclidean group $E ( 3 )$ , which consists of 3D rotation, translation and inversion. For translation, we operate on relative positions and therefore our networks are invariant to 3D translation. We achieve equivariance to rotation and inversion by representing our input data, intermediate features and outputs in vector spaces of $O ( 3 )$ irreps and acting on them with only equivariant operations. ", + "bbox": [ + 174, + 683, + 825, + 795 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.3 EQUIVARIANT FEATURES BASED ON VECTOR SPACES OF IRREDUCIBLE REPRESENTATIONS ", + "text_level": 1, + "bbox": [ + 176, + 813, + 712, + 842 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Irreducible Representations of Inversion. The group of inversion $\\mathbb { Z } _ { 2 }$ only has two elements, identity and inversion, and two irreps, even $e$ and odd $o$ . Vectors transformed by irrep $e$ do not change sign under inversion while those by irrep $o$ do. We create irreps of $O ( 3 )$ by simply multiplying those of $S O ( 3 )$ and $\\mathbb { Z } _ { 2 }$ and introduce parity $p$ to type- $L$ vectors to denote how they transform under inversion. Thus, type- $L$ vectors in $S O ( 3 )$ become type- $( L , p )$ vectors in $O ( 3 )$ , where $p$ is $e$ or $o$ . ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Irreps Features. As discussed in Sec. 3.2 in the main text, we use type- $L$ vectors for $S E ( 3 )$ - equivariant irreps features1 and type- $( L , p )$ vectors for $E ( 3 )$ -equivariant irreps features. Parity $p$ denotes whether vectors change sign under inversion and can be either $e$ (even) or $o$ (odd). Vectors with $p = o$ change sign under inversion while those with $p = e$ do not. Scalar features correspond to type-0 vectors in the case of $S E ( 3 )$ -equivariance and correspond to type- $( 0 , e )$ in the case of $E ( 3 )$ -equivariance whereas type- $( 0 , o )$ vectors correspond to pseudo-scalars. Euclidean vectors in $\\mathbb { R } ^ { 3 }$ correspond to type-1 vectors and type- $( 1 , o )$ vectors whereas type- $( 1 , e )$ vectors correspond to pseudo-vectors. Note that type- $( L , e )$ vectors and type- $( L , o )$ vectors are considered vectors of different types in equivariant linear layers and layer normalizations. ", + "bbox": [ + 173, + 103, + 825, + 229 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Spherical Harmonics. Euclidean vectors $\\vec { r }$ in $\\mathbb { R } ^ { 3 }$ can be projected into type- $L$ vectors $f ^ { ( L ) }$ by using spherical harmonics $Y ^ { ( L ) }$ : $\\begin{array} { r } { f ^ { ( L ) } = Y ^ { ( L ) } ( \\frac { \\vec { r } } { | | \\vec { r } | | } ) } \\end{array}$ (Smidt et al., 2021). This is equivalent to the Fourier transform of the angular degree of freedom $\\frac { \\vec { r } } { | | \\vec { r } | | }$ , which can be optionally weighted by $| | \\vec { r } | |$ . In the case of $S E ( 3 )$ -equivariance, $f ^ { ( L ) }$ transforms in the same manner as type- $L$ vectors. For $E ( 3 )$ -equivariance, $f ^ { ( L ) }$ behaves as type- $( L , p )$ vectors, where $p = e$ if $L$ is even and $p = o$ if $L$ is odd. Visualization of spherical harmonics can be found in this website. ", + "bbox": [ + 173, + 247, + 826, + 345 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Vectors of Higher $L$ and Other Parities. Although previously we have restricted concrete examples of vector spaces of $O ( 3 )$ irreps to commonly encountered scalars (type- $( 0 , e )$ vectors) and Euclidean vectors (type- $( 1 , o )$ vectors), vector of higher $L$ and other parities are equally physical. For example, the moment of inertia (how an object rotates under torque) transforms as a $3 \\times 3$ symmetric matrix, which has symmetric-traceless components behaving as type- $( 2 , e )$ vectors. Elasticity (how an object deforms under loading) transforms as a rank-4 or $3 \\times 3 \\times 3 \\times 3$ symmetric tensor, which includes components acting as type- $( 4 , e )$ vectors. ", + "bbox": [ + 174, + 362, + 825, + 462 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "A.4 TENSOR PRODUCT ", + "text_level": 1, + "bbox": [ + 176, + 479, + 348, + 494 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Tensor Product for $O ( 3 )$ . We use tensor products to interact different type- $( L , p )$ vectors. We extend our discussion in Sec. 3.3 in the main text to include inversion and type- $( L , p )$ vectors. The tensor product denoted as $\\otimes$ uses Clebsch-Gordan coefficients to combine type- $( L _ { 1 } , p _ { 1 } )$ vector $f ^ { ( L _ { 1 } , p _ { 1 } ) }$ and type- $( L _ { 2 } , p _ { 2 } )$ vector $g ^ { ( L _ { 2 } , p _ { 2 } ) }$ and produces type- $( L _ { 3 } , p _ { 3 } )$ vector $h ^ { ( L _ { 3 } , p _ { 3 } ) }$ as follows: ", + "bbox": [ + 174, + 507, + 825, + 566 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/dac31a2dfc0f2319182a6c08bda8270df4a263f4b1f550430d74920c1cc4b84c.jpg", + "text": "$$\nh _ { m _ { 3 } } ^ { ( L _ { 3 } , p _ { 3 } ) } = ( f ^ { ( L _ { 1 } , p _ { 1 } ) } \\otimes g ^ { ( L _ { 2 } , p _ { 2 } ) } ) _ { m _ { 3 } } = \\sum _ { m _ { 1 } = - L _ { 1 } } ^ { L _ { 1 } } \\sum _ { m _ { 2 } = - L _ { 2 } } ^ { L _ { 2 } } C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } f _ { m _ { 1 } } ^ { ( L _ { 1 } , p _ { 1 } ) } g _ { m _ { 2 } } ^ { ( L _ { 2 } , p _ { 2 } ) }\n$$", + "text_format": "latex", + "bbox": [ + 209, + 574, + 787, + 619 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/4a2ef66cb45242ae0904d2bd4af746fbcaf4b2aa649ce67a14a294f335a5b823.jpg", + "text": "$$\np _ { 3 } = p _ { 1 } \\times p _ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 452, + 645, + 545, + 660 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "The only difference of tensor products for $O ( 3 )$ as described in Eq. 7 from those for $S O ( 3 )$ described in Eq. 1 is that we additionally keep track of the output parity $p _ { 3 }$ as in Eq. 8 and use the following multiplication rules: $e \\times e = e$ , $o \\times o = e$ , and $e \\times o = o \\times e = o$ . For example, the tensor product of a type- $( 1 , o )$ vector and a type- $( 1 , e )$ vector can result in one type- $( 0 , o )$ vector, one type- $( 1 , o )$ vector, and one type- $( 2 , o )$ vector. ", + "bbox": [ + 173, + 672, + 825, + 744 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Clebsch-Gordan Coefficients. The Clebsch-Gordan coefficients for $S O ( 3 )$ are computed from integrals over the basis functions of a given irreducible representation, e.g., the real spherical harmonics, as shown below and are tabulated to avoid unnecessary computation. ", + "bbox": [ + 173, + 761, + 825, + 804 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/da133d4bb61d47f444c5a1f4de2db3044d4370e6284318bd0d55d97abc613551.jpg", + "text": "$$\nC _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } = | L _ { 1 } m _ { 1 } ; L _ { 2 } m _ { 2 } \\rangle \\langle L _ { 3 } m _ { 3 } | = \\int d \\Omega Y _ { m _ { 1 } } ^ { ( L _ { 1 } ) * } ( \\Omega ) Y _ { m _ { 2 } } ^ { ( L _ { 2 } ) * } ( \\Omega ) Y _ { m _ { 3 } } ^ { ( L _ { 3 } ) } ( \\Omega )\n$$", + "text_format": "latex", + "bbox": [ + 223, + 813, + 774, + 845 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "For many combinations of $L _ { 1 } , L _ { 2 }$ , and $L _ { 3 }$ , the Clebsch-Gordan coefficients are zero. The gives rise to the following selection rule for non-trivial coefficients: $- | L _ { 1 } + L _ { 2 } | \\le L _ { 3 } \\le | L _ { 1 } + L _ { 2 } |$ . ", + "bbox": [ + 173, + 853, + 825, + 883 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Examples of Tensor Products. Tensor products generally define the interaction between different type- $( L , p )$ vectors in a symmetry-preserving manner and consist of common operations as follows: ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "1. Scalar-scalar multiplication: scalar $( L = 0 , p = e )$ ) $\\otimes$ scalar $( L = 0 , p = e ) \\ -$ scalar $( L = 0 , p = e )$ . \n2. Scalar-vector multiplication: scalar $( L = 0 , p = e$ ) $\\otimes$ vector $( L = 1 , p = o ) \\to$ vector $( L = 1 , p = o )$ ). \n3. Vector dot product: vector $\\mathit { \\Pi } ^ { \\prime } L = 1 , p = o )$ ) $\\otimes$ vector $( L = 1 , p = o ) \\to$ scalar $( L = 0 , p =$ $e$ ). \n4. Vector cross product: vector $( L = 1 , p = o$ ) $\\otimes$ vector $( L = 1 , p = o ) \\to$ pseudo-vector $\\mathbf { \\boldsymbol { L } } = 1 , p = e ,$ . ", + "bbox": [ + 199, + 143, + 825, + 273 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B RELATED WORKS ", + "text_level": 1, + "bbox": [ + 176, + 292, + 357, + 309 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B.1 GRAPH NEURAL NETWORKS FOR 3D ATOMISTIC GRAPHS ", + "text_level": 1, + "bbox": [ + 176, + 325, + 620, + 339 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Graph neural networks (GNNs) are well adapted to perform property prediction of atomic systems because they can handle discrete and topological structures. There are two main ways to represent atomistic graphs (Townshend et al., 2021), which are chemical bond graphs, sometimes denoted as 2D graphs, and 3D spatial graphs. Chemical bond graphs use edges to represent covalent bonds without considering 3D geometry. Due to their similarity to graph structures in other applications, generic GNNs (Hamilton et al., 2017; Gilmer et al., 2017; Kipf & Welling, 2017; Xu et al., 2019; Velickovi ˇ c´ et al., 2018; Brody et al., 2022) can be directly applied to predict their properties (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014; Ramsundar et al., 2019; Hu et al., 2020; 2021). On the other hand, 3D spatial graphs consider positions of atoms in 3D spaces and therefore 3D geometry. Although 3D graphs can faithfully represent atomistic systems, one challenge of moving from chemical bond graphs to 3D spatial graphs is to remain invariant or equivariant to geometric transformation acting on atom positions. Therefore, invariant neural networks and equivariant neural networks have been proposed for 3D atomistic graphs, with the former leveraging invariant information like distances and angles and the latter operating on geometric tensors like type- $L$ vectors. ", + "bbox": [ + 174, + 352, + 825, + 546 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "B.2 DETAILED COMPARISON BETWEEN EQUIVARIANT TRANSFORMERS ", + "text_level": 1, + "bbox": [ + 174, + 564, + 679, + 577 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "First, we compare the impact of previous equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) in the following four aspects: ", + "bbox": [ + 174, + 590, + 823, + 618 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "1. Previous equivariant Transformers do not perform well across datasets. For instance, SE(3)- Transformer (Fuchs et al., 2020) is not as performant as other equivariant networks on QM9 as shown in Table 1. TorchMD-NET (Thölke & Fabritiis, 2022) does not achieve comparable results to NequIP (Batzner et al., 2022) on MD17 as shown in Table 2 although it is competitive on QM9 in Table 1. \n2. Equiformer simultaneously achieves the best results for MD17, QM9 and OC20 datasets, indicating that the Transformer architecture is generally effective in the literature of equivariant neural networks and 3D atomistic graphs. \n3. Extensive ablation studies have been conducted to justify a better attention mechanism in this literature. \n4. To the best of our knowledge, we are the first to apply equivariant Transformers to large and complicated datasets like OC20 and demonstrate that equivariant Transformers can achieve competitive results to large models like GNS (Godwin et al., 2022) and Graphormer (Shi et al., 2022) while saving $2 . 3 \\times$ to $1 5 . 5 \\times$ training time as summarized in Table 5. ", + "bbox": [ + 210, + 631, + 825, + 842 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Second, we compare the technical differences of architectures of equivariant Transformers. The proposed Equiformer consists of equivariant graph attention and an equivariant Transformer architecture. The latter is obtained by simply replacing orginal operations in Transformers with their equivariant counterparts and including tensor product operations and corresponds to “Equiformer with dot product attention and linear message passing” as indicated by Index 3 in Table 6 and 7. ", + "bbox": [ + 174, + 854, + 825, + 924 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Although with minimal modifications to original Transformers, we note that this architecture has not been explored in previous equivariant Transformers and achieves competitive results on QM9 and OC20 datasets. Below we discuss the advantages of the architecture, Equiformer with dot product attention and linear message passing, over other equivariant Transformers: ", + "bbox": [ + 176, + 103, + 823, + 159 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "1. Simpler. We simply replace original operations with their equivariant counterparts and include tensor products without making further modifications. In contrast, SE(3)- Transformer (Fuchs et al., 2020) merges normalization and activation to form norm nonlinearities, which does not exist in original Transformers. We empirically find that the norm nonlinearities (Fuchs et al., 2020) leads to higher errors compared to the equivariant layer norm used by our work. ", + "bbox": [ + 214, + 171, + 825, + 256 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "2. More general. SE(3)-Transformer (Fuchs et al., 2020) and our proposed architecture can support vectors of any degree $L$ while other equivariant Transformers (Thölke & Fabritiis, 2022; Le et al., 2022) are limited to $L = 0$ and 1. It has been shown that higher $L$ (e.g., $L$ up to 2 and 3) can improve the performance of networks on QM9 (Brandstetter et al., 2022) and MD17 (Batzner et al., 2022). Thus, the incapability to use $L$ higher than 1 can limit their performance. ", + "bbox": [ + 214, + 261, + 825, + 344 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "3. More efficient tensor products. Compared to SE(3)-Transformer (Fuchs et al., 2020), we use more efficient depth-wise tensor products instead of fully connected tensor products. Since the proposed architecture and SE(3)-Transformer (Fuchs et al., 2020) use relative distances to parametrize the weights of tensor products, depth-wise tensor products enalbe using more channels without incurring out-of-memory errors. Specifically, for QM9, SE(3)- Transformer (Fuchs et al., 2020) only uses 16 channels for vectors of each degree $L$ while the proposed architecture can use 128, 64, and 32 channels for vectors of degree 0, 1, and 2. Using a very small number of channels can potentially lead to insufficient model capacity. ", + "bbox": [ + 215, + 349, + 825, + 462 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We note that the novelty of the proposed architecture, Equiformer with dot product attention and linear message passing, lies in how we choose the right operations as well as internal representations (i.e., vectors of any degree $L$ ) and combine them in an effective manner that achieves the three advantages mentioned above. We further improve this simple architecture with our proposed equivariant graph attention, which consists of MLP attention and non-linear message passing. ", + "bbox": [ + 174, + 473, + 825, + 542 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B.3 INVARIANT GNNS ", + "text_level": 1, + "bbox": [ + 176, + 560, + 346, + 575 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Previous works (Schütt et al., 2017; Xie & Grossman, 2018; Unke & Meuwly, 2019; Gasteiger et al., 2020b;a; Qiao et al., 2020; Liu et al., 2022; Shuaibi et al., 2021; Klicpera et al., 2021) extract invariant information from 3D atomistic graphs and operate on the resulting invariant graphs. They mainly differ in leveraging different geometric information such as distances, bond angles (3 atom features) or dihedral angles (4 atom features). SchNet (Schütt et al., 2017) uses relative distances and proposes continuous-filter convolutional layers to learn local interaction between atom pairs. DimeNet series (Gasteiger et al., 2020b;a) incorporate bond angles by using triplet representations of atoms. SphereNet (Liu et al., 2022) and GemNet (Klicpera et al., 2021; Gasteiger et al., 2022) further extend to consider dihedral angles for better performance. In order to consider directional information contained in angles, they rely on triplet or quadruplet representations of atoms. In addition to being memory-intensive (Sriram et al., 2022), they also change graph structures by introducing higher-order interaction terms (Chen et al., 2019), which would require non-trivial modifications to generic GNNs in order to apply them to 3D graphs. In contrast, the proposed Equiformer uses equivariant irreps features to consider directional information without complicating graph structures and therefore can directly inherit the design of generic GNNs. ", + "bbox": [ + 174, + 588, + 825, + 795 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B.4 ATTENTION AND TRANSFORMER ", + "text_level": 1, + "bbox": [ + 178, + 814, + 444, + 827 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Graph Attention. Graph attention networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022) use multi-layer perceptrons (MLP) to calculate attention weights in a similar manner to message passing networks. Subsequent works using graph attention mechanisms follow either GAT-like MLP attention (Busbridge et al., 2019; Kim & Oh, 2021) or Transformer-like dot product attention (Zhang et al., 2018a; Gao & Ji, 2019; Shi et al., 2020; Dwivedi & Bresson, 2020; Kim & Oh, 2021; Kreuzer et al., 2021). In particular, Kim et al. (Kim & Oh, 2021) compares these two types of attention mechanisms empirically under a self-supervised setting. Brody et al. (Brody et al., 2022) analyzes their theoretical differences and compares their performance in general settings. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/b25cdd891e58f62706d24dcca1d5da7348b1fa536199330d873b0c1a53a73c8a.jpg", + "image_caption": [ + "Figure 3: An alternative visualization of the depth-wise tensor product. We follow the visualization of tensor products in $\\mathsf { e } 3 \\mathsf { n n }$ (Geiger et al., 2022) and separate paths into three parts based on the types of output vectors. We note that one vector in the output irreps feature depends only on one vector in each input irreps feature. " + ], + "image_footnote": [], + "bbox": [ + 184, + 107, + 812, + 246 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 344, + 820, + 373 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Graph Transformer. A different line of research focuses on adapting standard Transformer networks to graph problems (Dwivedi & Bresson, 2020; Rong et al., 2020; Kreuzer et al., 2021; Ying et al., 2021; Shi et al., 2022). They adopt dot product attention in Transformers (Vaswani et al., 2017) and propose different approaches to incorporate graph-related inductive biases into their networks. GROVE (Rong et al., 2020) includes additional message passing layers or graph convolutional layers to incorporate local graph structures when calculating attention weights. SAN (Kreuzer et al., 2021) proposes to learn position embeddings of nodes with full Laplacian spectrum. Graphormer (Ying et al., 2021) proposes to encode degree information in centrality embeddings and encode distances and edge features in attention biases. The proposed Equiformer belongs to one of these attempts to generalize standard Transformers to graphs and is dedicated to 3D graphs. To incorporate 3D-related inductive biases, we adopt an equivariant version of Transformers with irreps features and propose novel equivariant graph attention. ", + "bbox": [ + 174, + 390, + 825, + 558 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C DETAILS OF ARCHITECTURE ", + "text_level": 1, + "bbox": [ + 178, + 579, + 446, + 595 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C.1 EQUIVARIANT OPERATION USED IN EQUIFORMER", + "text_level": 1, + "bbox": [ + 174, + 612, + 563, + 627 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "We illustrate the equivariant operations used in Equiformer in Fig. 2 and provide an alternative visualization of depth-wise tensor products in Fig. 3. ", + "bbox": [ + 173, + 638, + 823, + 667 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Besides, we analyze how each equivariant operation remains equivariant and satisfies that $f ( D _ { X } ( g ) x ) = \\bar { D _ { Y } } ( g ) f ( x )$ , where $f$ is a function mapping between vector spaces $X$ and $Y$ , and $D _ { X } ( g )$ and $D _ { Y } ( g )$ are transformation matrices parametrized by $g$ in $X$ and $Y$ . ", + "bbox": [ + 174, + 674, + 825, + 717 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "1. Linear. Since for each degree $L$ , one output type- $L$ vector is a linear combination of other input type- $L$ vectors, which are transformed by the same matrix $D _ { X } ( g )$ , the output type- $L$ vector is transformed by the same matrix, meaning that $D _ { X } ( g ) = D _ { Y } ( g )$ . 2. Layer normalization. For scalar parts $L = 0 ,$ ), they are always the same regardless of $E ( 3 )$ transformations, and thus we can apply any function to them. For non-scalar parts $( L > 0 )$ ), the L2-norm of any type- $L$ vector is invariant to $E ( 3 )$ transformations. Therefore, the scaling of dividing by the root mean square value (RMS) of L2-norm and multiplying by a learnable parameter $\\gamma$ remains the same under $E ( 3 )$ transformations. Multiplying an equivariant feature with an invariant number results in an equivariant feature, and therefore the operation is equivariant. 3. Gate. Similar to layer normalization, we can apply any function to the scalar part $ { \\boldsymbol { L } } = 0$ ). We apply SiLU to the first $C _ { 0 }$ channels of the scalar part and sigmoid to other channels to obtain non-linear weights. For the non-scalar part $ { L } > 0 $ ), we multiply each type- $L$ vector with its corresponding non-linear weight. Since the non-linear weights are invariant, multiplying equivariant features with those non-linear weights results in equivariant features. ", + "bbox": [ + 210, + 729, + 828, + 925 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/ed3c3a4350b361a419222d3af9558efdb4f8cec7806b83c6f49ce77a3bbb65a3.jpg", + "image_caption": [ + "Figure 4: Architecture of equivariant dot product attention without non-linear message passing. In this figure, “ $\\otimes$ ” denotes multiplication, $ { ^ { 6 } \\mathrm { { \\oplus } ^ { , 9 } } }$ denotes addition, and “DTP” stands for depth-wise tensor product. $\\displaystyle \\sum$ within a circle denotes summation over all neighbors. Gray cells indicate intermediate irreps features. We highlight the difference of dot product attention from multi-layer perceptron attention in red. Note that key $k _ { i j }$ and value $v _ { i j }$ are irreps features and therefore $f _ { i j }$ in dot product attention typically has more channels than that in multi-layer perceptron attention. " + ], + "image_footnote": [], + "bbox": [ + 388, + 101, + 607, + 430 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "", + "bbox": [ + 225, + 555, + 825, + 583 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "4. Depth-wise tensor product. This operation is based on equivariant tensor product operations and restricts that one channel in output irreps feature depends on one channel in input irreps features. The one-to-one dependence of channels does not change the interaction of different type- $L$ vectors, and therefore, the operation is equivariant. ", + "bbox": [ + 214, + 589, + 825, + 645 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "C.2 EQUIFORMER ARCHITECTURE ", + "text_level": 1, + "bbox": [ + 178, + 662, + 428, + 678 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For simplicity and because most works we compare with do not include equivariance to inversion, we adopt $S E ( 3 )$ -equivariant irreps features in Equiformer for experiments in the main text and note that $E ( 3 )$ -equivariant irreps features can be easily incorporated into Equiformer. ", + "bbox": [ + 176, + 689, + 823, + 732 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We define architectural hyper-parameters like the number of channels in some layers in Equiformer, which are used to specify the detailed architectures in Sec. D.1, Sec. E.1 and Sec. F.2. ", + "bbox": [ + 173, + 738, + 825, + 767 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We use $d _ { e m b e d }$ to denote embedding dimension, which defines the dimension of most irreps features. Specifically, all irreps features $x _ { i } , y _ { i }$ in Fig. 1 have dimension $d _ { e m b e d }$ unless otherwise stated. Besides, we use $d _ { s h }$ to represent the dimension of spherical harmonics embeddings of relative positions in all depth-wise tensor products. ", + "bbox": [ + 174, + 773, + 825, + 829 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For equivariant graph attention in Fig. 1(b), the first two linear layers have the same output dimension $d _ { e m b e d }$ . The output dimension of depth-wise tensor products (DTP) are determined by that of input irreps features. Equivariant graph attention consists of $h$ parallel attention functions, and the value vector in each attention function has dimension $d _ { h e a d }$ . We refer to $h$ and $d _ { h e a d }$ as the number of heads and head dimension, respectively. By default, we set the number of channels in scalar feature $f _ { i j } ^ { ( 0 ) }$ to be the same as the number of channels of type-0 or type- $( 0 , e )$ vectors in $v _ { i j }$ . When non-linear messages are adopted in $v _ { i j }$ , we set the dimension of output irreps features in gate activation to be $h \\times d _ { h e a d }$ . Therefore, we can use two hyper-parameters $h$ and $d _ { h e a d }$ to specify the detailed architecture of equivariant graph attention. ", + "bbox": [ + 174, + 837, + 825, + 925 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "As for feed forward networks (FFNs), we denote the dimension of output irreps features in gate activation as $d _ { f f n }$ . The FFN in the last Transformer block has output dimension $d _ { f e a t u r e }$ , and we set $d _ { f f n }$ of the last FFN, which is followed by output head, to be $d _ { f e a t u r e }$ as well. Thus, two hyperparameters $d _ { f f n }$ and $d _ { f e a t u r e }$ are used to specify architectures of FFNs and the output dimension after Transformer blocks. ", + "bbox": [ + 174, + 152, + 825, + 222 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Irreps features contain channels of vectors with degrees up to $L _ { m a x }$ . We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. For example, the dimension of irreps features containing 256 type-0 vectors and 128 type-1 vectors can be represented as $[ ( 2 5 6 , 0 ) , ( 1 2 8 , 1 ) ]$ . ", + "bbox": [ + 174, + 229, + 825, + 286 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "C.3 DOT PRODUCT ATTENTION ", + "text_level": 1, + "bbox": [ + 176, + 308, + 405, + 321 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We illustrate the dot product attention without non-linear message passing used in ablation study in Fig. 4. The architecture is adapted from SE(3)-Transformer (Fuchs et al., 2020). The difference from multi-layer perceptron attention lies in how we obtain attention weights $a _ { i j }$ from $f _ { i j }$ . We split $f _ { i j }$ into two irreps features, key $k _ { i j }$ and value $v _ { i j }$ , and obtain query $q _ { i }$ with a linear layer. Then, we perform scaled dot product (Vaswani et al., 2017) between $q _ { i }$ and $k _ { i j }$ for attention weights. ", + "bbox": [ + 174, + 335, + 825, + 406 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "C.4 INCORPORATING $E ( 3 )$ -EQUIVARIANCE ", + "text_level": 1, + "bbox": [ + 176, + 428, + 486, + 443 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "To incorporate $E ( 3 )$ -equivariance to Equiformer, we can directly use the same architecture described in Fig. 1 with the following two modifications: ", + "bbox": [ + 176, + 455, + 823, + 484 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "1. We change internal representations from type- $L$ vectors to type- $\\left( L , p \\right)$ vectors as mentioned in Sec. A.3. Note that type- $( L , e )$ vectors and type- $( L , o )$ vectors are considered different types by equivariant operations and that scalars correspond to only type- $( 0 , e )$ vectors and do not include type- $( 0 , o )$ vectors. 2. The behaviors of equivariant operations are changed accordingly since parities $p$ are included in internal representations. The operations of linear and layer normalization will treat type$( L , e )$ vectors and type- $( L , o )$ vectors as different types. This means that we linearly combine or normalize these two types of vectors in a separate manner. In Sec. A.4, we discuss how tensor products behave when $E ( 3 )$ equivariance is considered. For the operation of gate, we apply activation functions to type- $( 0 , e )$ vectors (scalars) and treat type- $( 0 , o )$ vectors (pseudo-scalars) in the same manner as vectors of higher $L$ . Specifically, given input $x$ contatype- non-scalar vectors a $C _ { ( L , p ) }$ $( L , p )$ $0 < L \\leq L _ { m a x }$ nd ty $p \\in \\{ e , o \\}$ , v $C _ { ( 0 , o ) }$ $( 0 , o )$ $\\begin{array} { r } { ( C _ { ( 0 , e ) } + C _ { ( 0 , o ) } + \\sum _ { L = 1 } ^ { L _ { m a x } } \\sum _ { p \\in \\{ e , o \\} } C _ { ( L , p ) } ) } \\end{array}$ $( 0 , e )$ we apply SiLU to the first $C _ { ( 0 , e ) }$ type- $( 0 , e )$ vectors and sigmoid function to the other $\\begin{array} { r } { ( C _ { ( 0 , o ) } + \\sum _ { L = 1 } ^ { L _ { m a x } } \\sum _ { p \\in \\{ e , o \\} } C _ { ( L , p ) } ) } \\end{array}$ type- $( 0 , e )$ vectors to obtain non-linear weights and multiply each pseudo-scalar or type- $( L , p )$ vector with corresponding non-linear weights. After the gate activation, the number of channels for type- $( 0 , e )$ vectors is reduced to $C _ { ( 0 , e ) }$ ", + "bbox": [ + 210, + 498, + 825, + 758 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "C.5 DISCUSSION ON COMPUTATIONAL COMPLEXITY ", + "text_level": 1, + "bbox": [ + 173, + 781, + 553, + 795 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We discuss the computational complexity of the proposed equivariant graph attention here. ", + "bbox": [ + 171, + 808, + 766, + 824 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "First, we compare dot product attention with MLP attention when linear messages are used for value $v _ { i j }$ . Dot product attention requires taking the dot product of two irreps features, query $q _ { i }$ and key $k _ { i j }$ , for attention weights, and both $q _ { i }$ and $k _ { i j }$ have the same dimension as value $v _ { i j }$ . In contrast, MLP attention uses only scalar features f (0)ij for attention weights. The dimension of scalar features $f _ { i j } ^ { ( 0 ) }$ is the same as that of the scalar part of $v _ { i j }$ . Therefore, MLP attention generates less and smaller intermediate features for attention weights and is faster than dot product attention. ", + "bbox": [ + 173, + 829, + 825, + 924 + ], + "page_idx": 23 + }, + { + "type": "table", + "img_path": "images/03578d6670ec62325bd270b8703e94123f4e5a7faf6fef8c8d3a5bac027459ea.jpg", + "table_caption": [], + "table_footnote": [ + "Table 8: Hyper-parameters for QM9 dataset. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. " + ], + "table_body": "
Hyper-parametersValue or description
OptimizerAdamW
Learning rate scheduling Warmup epochsCosine learning rate with linear warmup 5
Maximum learning rate1.5 × 10-4,5 × 10-4
Batch size64,128
Number of epochs300,600
Weight decay0,5×10-3
Dropout rate0.0,0.1, 0.2
Cutoff radius (A)5
Number of radial bases128 for Gaussian radial basis,8 for radial bessel basis
Hidden sizes of radial functions64
Number of hidden layers in radial functions2
Number of Transformer blocks Embedding dimension dembedEquiformer 6 [(128,0),(64,1),(32,2)]
Spherical harmonics embedding dimension dsh Numberof attention heads h Attention head dimension dhead[(1,0),(1,1),(1,2)] 4 [(32,0),(16,1),(8,2)]
Hidden dimension in feed forward networks dffn Output feature dimension d feature(384,0),(192,1),(96,2)] [(512,0)]
E(3)-Equiformer
6
Number of Transformer blocks
Embedding dimension dembed
[(128,0,e),(32,0,0),(32,1,e),(32,1,0),(16,2,e),(16,2,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0),(1,2,e)]
Number of attention heads h4
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0),(4,2,e),(4,2,0)]
Hidden dimension in feed forward networks df fn
(384,0,e),(96,0,0),(96,1,e),(96,1,0),(48,2,e),(48,2,0)]
Output feature dimension dfeature[(512,0,e)]
", + "bbox": [ + 184, + 102, + 810, + 478 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Second, compared to linear messages, using non-linear messages increases the number of tensor product operations from 1 to 2. Since tensor products are compute-intensive, this inevitably increases training and inference time. ", + "bbox": [ + 174, + 546, + 825, + 588 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Please refer to Sec. D.1 and Sec. F.2 for the exact numbers of training time on QM9 and OC20. ", + "bbox": [ + 174, + 594, + 795, + 609 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "D DETAILS OF EXPERIMENTS ON QM9 ", + "text_level": 1, + "bbox": [ + 174, + 638, + 514, + 656 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "D.1 TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 676, + 354, + 691 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For the task of $U$ , $U _ { 0 } , G$ , and $H$ , where single-atom reference values are available, we subtract those reference values from ground truth. For other tasks, we normalize ground truth by subtracting mean and dividing by standard deviation. ", + "bbox": [ + 174, + 707, + 825, + 762 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We train Equiformer with 6 blocks with $L _ { m a x } = 2$ . We choose Gaussian radial basis (Schütt et al., 2017; Shuaibi et al., 2021; Klicpera et al., 2021; Shi et al., 2022) for the first six tasks in Table 1 and radial Bessel basis (Gasteiger et al., 2020b;a) for the others. We apply dropout (Srivastava et al., 2014) to attention weights $a _ { i j }$ . The dropout rate is 0.0 for the tasks of $G$ , $H$ , $U$ and $U _ { 0 }$ , is 0.1 for the task of $R ^ { 2 }$ and is 0.2 for others. Since the tasks of $G$ , $H$ , $U$ , and $U _ { 0 }$ require longer training, we use slightly different hyper-parameters. The number of epochs is 600 for the tasks of $G$ $\\ d s _ { r } , H , U$ , and $U _ { 0 }$ and is 300 for others. The learning rate is $1 . 5 \\times 1 0 ^ { - 4 }$ for the tasks of $G$ , $H , U$ , and $U _ { 0 }$ and is $5 \\times 1 0 ^ { - 4 }$ for others. The batch size is 64 for the tasks of $G$ ${ \\mathrm { ? } } , H , U ,$ and $U _ { 0 }$ and is 128 for others. The weight decay is 0 for the tasks of $G$ , $H$ , $U$ , and $U _ { 0 }$ and is $5 \\times 1 0 ^ { - 3 }$ for others. Table 8 summarizes the hyper-parameters for the QM9 dataset. The detailed description of architectural hyper-parameters can be found in Sec. C.2. ", + "bbox": [ + 173, + 768, + 826, + 922 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We use one A6000 GPU with 48GB to train each model and summarize the computational cost of training for one epoch as follows. Training $E ( 3 )$ -Equiformer in Table 9 for one epoch takes about 16.3 minutes. The time of training Equiformer, Equiformer with linear messages (indicated by Index 2 in Table 6), and Equiformer with linear messages and dot product attention (indicated by Index 3 in Table 6) for one epoch is 12.1 minutes, 7.2 minutes and 7.8 minutes, respectively. ", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "D.2 COMPARISON BETWEEN $S E ( 3 )$ AND $E ( 3 )$ EQUIVARIANCE ", + "text_level": 1, + "bbox": [ + 174, + 194, + 619, + 209 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "We train two versions of Equiformers, one with $S E ( 3 )$ -equivariant features denoted as “Equiformer” and the other with $E ( 3 )$ -equivariant features denoted as “ $E ( 3 )$ -Equiformer”, and we compare them in Table 9. As for Table 1, we compare “Equiformer” with other works since most of them do not include equivariance to inversion. ", + "bbox": [ + 174, + 222, + 826, + 279 + ], + "page_idx": 25 + }, + { + "type": "table", + "img_path": "images/352d82f045c85929ca3479948aee8ea6e472d8e5e1f9fd9c246c9816540f85da.jpg", + "table_caption": [ + "Table 9: Ablation study of $S E ( 3 ) / E ( 3 )$ equivariance on QM9 testing set. “Equiformer” operates on $S E ( 3 )$ -equivariant features while “ $E ( 3 )$ -Equiformer” uses $E ( 3 )$ -equivariant features. Including inversion achieves similar performance. " + ], + "table_footnote": [], + "table_body": "
MethodsTask Unitsα 品△ meVεHOMO meVεLUMO meVμ DCv cal/mol KTraining time (minutes/epoch)Number of parameters
Equiformer.046301514.011.02312.13.53M
E(3)-Equiformer.045301514.012.02316.33.28M
", + "bbox": [ + 253, + 295, + 740, + 343 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "D.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS ", + "text_level": 1, + "bbox": [ + 174, + 411, + 681, + 426 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022), TorchMD-NET (Thölke & Fabritiis, 2022) and Equiformer and summarize the results in Table 10. Training Equiformer for 300 epochs and for 600 epochs takes 61 and 122 GPU-hours, respectively. ", + "bbox": [ + 176, + 439, + 825, + 481 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Compared to SEGNN, which is written with the same $\\mathsf { e } 3 \\mathsf { n n }$ library (Geiger et al., 2022), Equiformer with MLP attention and non-linear message is faster. Although Equiformer has more channels and more parameters, the training time is comparable. The reasons are as follows. Equiformer uses more efficient depth-wise tensor products (DTP), where one output channel depends on only one input channel. SEGNN uses more compute-intensive fully connected tensor products (FCTP), where one output channel depends on all input channels. Besides, SEGNN uses 4 FCTPs in each message passing block while Equiformer uses only 2 DTPs in each block. ", + "bbox": [ + 174, + 488, + 825, + 585 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Compared to TorchMD-NET, which is trained for 3000 epochs, Equiformer achieves competitve results after trained for 300 or 600 epochs. Equiformer takes more time for each epoch since Equiformer uses more expressive non-linear messages, which compared to linear messages used in other equivariant Transformers, doubles the number of tensor products and therefore almost doubles the training time. Moreover, Equiformer incorporates tensors of higher degrees (e.g., $L _ { m a x } = 2$ ), which improves performance but slows down the training. ", + "bbox": [ + 174, + 592, + 825, + 676 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "E DETAILS OF EXPERIMENTS ON MD17 ", + "text_level": 1, + "bbox": [ + 174, + 700, + 522, + 717 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "E.1 TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 734, + 352, + 748 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For energy prediction, we normalize ground truth by subtracting mean and dividing by standard deviation. For force prediction, we normalize ground truth by dividing by standard deviation of ground truth energy. ", + "bbox": [ + 174, + 762, + 825, + 804 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "We train Equiformer with 6 blocks with $L _ { m a x } = 2$ and 3. We choose the radial basis function used by PhysNet (Unke & Meuwly, 2019). We do not apply dropout to attention weights $a _ { i j }$ . For Equiformer with $L _ { m a x } = 2$ , the learning rate is $1 \\times 1 0 ^ { - 4 }$ for benzene and is $5 \\times 1 0 ^ { - 4 }$ for others. The batch size is 8, and the number of epochs is 1500. The model has about 3.50M parameters. For Equiformer with $L _ { m a x } = 3$ , the learning rate is $1 \\times 1 0 ^ { - 4 }$ for benzene and is $2 \\times 1 0 ^ { - 4 }$ for others. The batch size is 5, and the number of epochs is 2000. The model has about 5.50M parameters. Table 11 summarizes the hyper-parameters for the MD17 dataset. The detailed description of architectural hyper-parameters can be found in Sec. C.2. ", + "bbox": [ + 174, + 810, + 825, + 922 + ], + "page_idx": 25 + }, + { + "type": "table", + "img_path": "images/8cfbb791d70bdaa30c47c65ffacb13161d65197bda688b3d378660ba7c95cb1a.jpg", + "table_caption": [ + "Table 10: Comparison of training time and numbers of parameters for QM9 dataset. " + ], + "table_footnote": [], + "table_body": "
MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)1.03M81
TorchMD-NET(Tholke&Fabritis,2022)6.86M92
Equiformer3.53M61
", + "bbox": [ + 287, + 101, + 704, + 150 + ], + "page_idx": 26 + }, + { + "type": "table", + "img_path": "images/88f2ba9303d4afe3f93464c2ec9204befeefe568084e0fc9a152478e1b2979e5.jpg", + "table_caption": [ + "Table 11: Hyper-parameters for MD17 dataset. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. " + ], + "table_footnote": [], + "table_body": "
Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs10 1 × 10-4,2 × 10-4,5× 10-4
Maximum learning rate Batch size5,8
Number of epochs1500,2000
1×10-6
Weight decay Dropout rate0.0
Weight for energy loss Weight for force loss1 80
Cutoff radius (A)5
Number of radial bases32
Hidden sizes of radial functions64 2
Number of hidden layers in radial functions Equiformer (Lmax = 2)
Embedding dimension dembed Spherical harmonics embedding dimension d sh Number of attention heads h 4 Attention head dimension dhead Hidden dimension in feed forward networks d f fn[(128,0),(64,1),(32,2)] [(1,0),(1,1),(1,2)] [(32,0),(16,1),(8,2)] [(384,0),(192,1),(96,2)]
Output feature dimension dfeature Equiformer (Lmax = 3)
[(512,0)]
Number of Transformer blocks6
Embedding dimension dembed[(128,0),(64,1),(64,2),(32,3)]
Spherical harmonics embedding dimension d sh[(1,0),(1,1),(1,2),(1,3)]
Number of attention heads h4
Attention head dimension dhead[(32,0),(16,1),(16,2),(8,3)]
Hidden dimension in feed forward networks dffn(384,0),(192,1),(192,2),(96,3)]
", + "bbox": [ + 243, + 184, + 750, + 588 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "We use one A5000 GPU with 24GB to train different models for each molecule. Training Equiformer with $L _ { m a x } = 2$ takes about 15.4 hours, and training Equiformer with $L _ { m a x } = 3$ takes about 54.4 hours. ", + "bbox": [ + 173, + 648, + 825, + 690 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "E.2 ADDITIONAL COMPARISON TO TORCHMD-NET ", + "text_level": 1, + "bbox": [ + 174, + 710, + 550, + 724 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Since TorchMD-NET (Thölke & Fabritiis, 2022) is also an equivariant Transformer but uses dot product attention instead of the proposed equivariant graph attention, we provide additional comparisons in Table 12. For each molecule, we adjust the ratio of the weight for force loss to the weight for energy loss so that Equiformer with $L _ { m a x } = 2$ can achieve lower MAE for both energy and forces. ", + "bbox": [ + 174, + 737, + 825, + 794 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "E.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS ", + "text_level": 1, + "bbox": [ + 176, + 813, + 679, + 828 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "We compare training time and number of parameters between NequIP (Batzner et al., 2022) and Equiformer and summarize the results in Table 13. Since NequIP does not report the number of epochs, we compare the time spent for each epoch and note that NequIP is trained for more than 1000 epochs. Equiformer with $L _ { m a x } = 2$ is faster than NequIP with $L _ { m a x } = 3$ since smaller $L _ { m a x }$ is used. Moreover, Equiformer with $L _ { m a x } = 2$ achieves overall better results as we use equivariant graph attention instead of linear convolution used by NequIP. When increasing $L _ { m a x }$ from 2 to 3, ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 26 + }, + { + "type": "table", + "img_path": "images/8cdc9e5e5aeb8f9a9d0d0fda9a15496439050f4e589c4ce359f31e05bde83777.jpg", + "table_caption": [ + "Table 12: Additional comparison to TorchMD-Net (Thölke & Fabritiis, 2022) on MD17 dataset. Energy and force are in units of meV and $\\mathrm { m e V } / \\mathring { \\mathrm { A } }$ . " + ], + "table_footnote": [], + "table_body": "
AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
TorchMD-NET5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.14.1
Equiformer (Lmax = 2)5.37.22.26.62.23.13.35.83.72.14.05.33.22.44.23.7
", + "bbox": [ + 133, + 101, + 864, + 156 + ], + "page_idx": 27 + }, + { + "type": "table", + "img_path": "images/8ae79d67e415505c80d6951f5e24e83e12a8b592bbc6959776c1d0a475bb88f3.jpg", + "table_caption": [ + "Table 13: Comparison of training time and numbers of parameters for MD17 dataset. " + ], + "table_footnote": [], + "table_body": "
MethodsNumber of parametersTraining time (secs/epoch)
NequIP(Lmax =3)(Batzner et al.,2022)2.97M48.7
Equiformer (Lmax =2)3.50M36.9
Equiformer (Lmax =3)5.50M98.0
", + "bbox": [ + 289, + 205, + 702, + 257 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Equiformer achieves better results than NequIP for most molecules. However, the training time is longer than NequIP since we use 2 tensor product operations in each equivariant graph attention instead of 1 tensor product in each linear convolution. ", + "bbox": [ + 174, + 303, + 825, + 345 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "F DETAILS OF EXPERIMENTS ON OC20 ", + "text_level": 1, + "bbox": [ + 174, + 367, + 519, + 383 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "F.1 DETAILED DESCRIPTION OF OC20 DATASET ", + "text_level": 1, + "bbox": [ + 174, + 398, + 522, + 412 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "The dataset consists of larger atomic systems, each composed of a molecule called adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom types than QM9 and MD17. The average number of atoms in a system is more than 70, and there are over 50 atom species. The goal is to understand interaction between adsorbates and catalysts through relaxation. An adsorbate is first placed on top of a catalyst to form initial structure (IS). The positions of atoms are updated with forces calculated by density function theory until the system is stable and becomes relaxed structure (RS). The energy of RS, or relaxed energy (RE), is correlated with catalyst activity and therefore a metric for understanding their interaction. We focus on the task of initial structure to relaxed energy (IS2RE), which predicts relaxed energy (RE) given an initial structure (IS). There are 460k, 100k and 100k structures in training, validation, and testing sets, respectively. ", + "bbox": [ + 174, + 424, + 825, + 564 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "F.2 TRAINING DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 582, + 349, + 595 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "IS2RE without Node-Level Auxiliary Task. We use hyper-parameters similar to those for QM9 dataset and summarize in Table 14. For ablation study in Sec. 5.4, we use a smaller learning rate $1 . 5 \\times 1 0 ^ { - 4 }$ for DP attention as this improves the performance. The detailed description of architectural hyper-parameters can be found in Sec. C.2. ", + "bbox": [ + 174, + 608, + 823, + 664 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "IS2RE with IS2RS Node-Level Auxiliary Task. We increase the number of Transformer blocks to 18 as deeper networks can benefit more from IS2RS node-level auxiliary task (Godwin et al., 2022). We follow the same hyper-parameters in Table 14 except that we increase maximum learning rate to $5 \\times 1 0 ^ { - 4 }$ and set $d _ { f e a t u r e }$ to $[ ( 5 1 2 , 0 )$ , (256, 1)]. Inspired by Graphormer (Shi et al., 2022), we add an extra equivariant graph attention module after the last layer normalization to predict relaxed structures and use a linearly decayed weight for loss associated with IS2RS, which starts at 15 and decays to 1. For Noisy Nodes (Godwin et al., 2022) data augmentation, we first interpolate between initial structure and relaxed structure and then add Gaussian noise as described by Noisy Nodes (Godwin et al., 2022). When Noisy Nodes data augmentation is used, we increase the number of epochs to 40. ", + "bbox": [ + 174, + 680, + 825, + 805 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "We use two A6000 GPUs, each with 48GB, to train models when IS2RS is not included during training. Training Equiformer and $E ( 3 )$ -Equiformer in Table 16 takes about 43.6 and 58.3 hours. Training Equiformer with linear messages (indicated by Index 2 in Table 7) and Equiformer with linear messages and dot product attention (indicated by Index 3 in Table 7) takes 30.4 hours and 33.1 hours, respectively. We use four A6000 GPUs to train Equiformer models when IS2RS node-level auxiliary task is adopted during training. Training Equiformer without Noisy Nodes data augmentation takes about 3 days and training with Noisy Nodes takes 6 days. We note that the proposed Equiformer in Table 5 achieves competitive results even with much less computation. Specifically, training “Equiformer $^ +$ Noisy Nodes” takes about 24 GPU-days when A6000 GPUs are used. The training time of “GNS $^ +$ Noisy Nodes” (Godwin et al., 2022) is 56 TPU-days. “Graphormer” (Shi et al., 2022) uses ensemble of 31 models and requires 372 GPU-days to train all models when A100 GPUs are used. ", + "bbox": [ + 174, + 811, + 825, + 924 + ], + "page_idx": 27 + }, + { + "type": "table", + "img_path": "images/c50d7c02fb63abd9dacfb09debf66eb69839a4091800debba15edf4bdaf4d099.jpg", + "table_caption": [ + "Table 14: Hyper-parameters for OC20 dataset under the setting of training without IS2RS auxiliary task. We denote $C _ { L }$ type- $L$ vectors as $( C _ { L } , L )$ and $C _ { ( L , p ) }$ type- $( L , p )$ vectors as $( C _ { ( L , p ) } , L , p )$ and use brackets to represent concatenations of vectors. " + ], + "table_footnote": [], + "table_body": "
Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs2
Maximum learning rate2×10-4
Batch size32
Number of epochs20
Weight decay1×10-3
Dropout rate0.2
Cutoff radius (A)5
Number of radial basis128
Hidden size of radial function64
Numberofhiddenlayers in radial function2
Equiformer
Numberof Transformer blocks Embedding dimension dembed6
Spherical harmonics embedding dimension dsh[(256,0),(128,1)] [(1,0),(1,1)]
Number of attention heads h8
Attention head dimension dhead[(32,0),(16,1)]
Hidden dimension in feed forward networks d f fn(768,0),(384,1)]
Output feature dimension d feature[(512,0)]
E(3)-Equiformer
Number of Transformer blocks Embedding dimension dembed6 [(256,0,e),(64,0,0),(64,1,e),(64,1,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0)]
Number of attention heads h8
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0)]
Hidden dimension in feed forward networks d ffn[(768,0,e),(192,0,0),(192,1,e),(192,1,0)]
Output feature dimension d feature[(512,0,e)]
", + "bbox": [ + 230, + 102, + 764, + 478 + ], + "page_idx": 28 + }, + { + "type": "table", + "img_path": "images/24e3e0655d9e071e6c2e2ebc61db502863d45640b4a3b5a62b3b751799d29ad9.jpg", + "table_caption": [], + "table_footnote": [ + "Table 15: Results on OC20 IS2RE validation set. $\\dagger$ denotes results reported by Liu et al. (2022). " + ], + "table_body": "
Energy MAE(eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
SchNet (Schut et al.,07)+0.64650.70740.64750.66260.66602.962.223.032.382.65
DimeNet++ (Gasteiger et al.,2020a)†0.56360.71270.56120.64920.62174.252.484.402.563.42
GemNet-T(Klicpera et al., 2021)†0.55610.73420.56590.69640.63824.512.244.372.383.38
SphereNet (Liu etal.,2022)0.56320.66820.55900.61900.60244.562.704.592.703.64
(S)EGNN (Brandstetter et al.,2022)0.54970.68510.55190.61020.59924.992.504.712.883.77
SEGNN (Brandstetter et al., 2022)0.53100.64320.53410.57770.57155.322.804.893.094.03
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93
", + "bbox": [ + 161, + 537, + 838, + 642 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 681, + 825, + 737 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "F.3 RESULTS ON IS2RE VALIDATION SET ", + "text_level": 1, + "bbox": [ + 176, + 755, + 475, + 770 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "For completeness, we report the results of Equiformer on the validation set in Table 15. ", + "bbox": [ + 176, + 781, + 740, + 796 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "F.4 COMPARISON BETWEEN $S E ( 3 )$ AND $E ( 3 )$ EQUIVARIANCE ", + "text_level": 1, + "bbox": [ + 174, + 813, + 614, + 829 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "We train two versions of Equiformers, one with $S E ( 3 )$ -equivariant features denoted as “Equiformer” and the other with $E ( 3 )$ -equivariant features denoted as $^ { \\bullet } E ( 3 )$ -Equiformer”, and we compare them in Table 16. Including inversion improves the MAE results on ID and OOD Cat sub-splits but degrades the performance on the other sub-splits. Overall, using $E ( 3 )$ -equivariant features results in slightly inferior performance. We surmise the reasons are as follows. First, inversion might not be the key bottleneck. Second, including inversion would break type-1 vectors into two parts, type- $( 1 , e )$ ", + "bbox": [ + 174, + 839, + 826, + 924 + ], + "page_idx": 28 + }, + { + "type": "table", + "img_path": "images/165d9349a923c7d33c9b34ce29bbdf9f1635c686c7e7363b2d5b33b1c9022a6e.jpg", + "table_caption": [ + "Table 16: Ablation study of $S E ( 3 ) / E ( 3 )$ equivariance on OC20 IS2RE validation set. “Equiformer” operates on $S E ( 3 )$ -equivariant features while “ $E ( 3 )$ -Equiformer” uses $E ( 3 )$ - equivariant features. " + ], + "table_footnote": [], + "table_body": "
Energy MAE (eV)↓EwT(%)↑Training time (minutes/epoch)Number of parameters
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93130.89.12M
E(3)-Equiformer0.50350.63850.50340.56580.55285.102.985.103.024.05174.98.77M
", + "bbox": [ + 147, + 102, + 849, + 151 + ], + "page_idx": 29 + }, + { + "type": "table", + "img_path": "images/f3e429ebd1580bb2eb60927c8ab79406c4b7d76c0f3b49f9fee49612e9d8dbaa.jpg", + "table_caption": [ + "Table 17: Comparison of training time and numbers of parameters for OC20 dataset. " + ], + "table_footnote": [], + "table_body": "
MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)4.21M79
Equiformer9.12M87
", + "bbox": [ + 303, + 213, + 687, + 256 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "and type- $( 1 , o )$ vectors. They are regarded as different types in equivariant linear layers and layer normalizations, and therefore, the directional information captured in these two types of vectors can only exchange in depth-wise tensor products. Third, we mainly tune hyper-parameters for Equiformer with $S E ( 3 )$ -equivariant features, and it is possible that using $E ( 3 )$ -equivariant features would favor different hyper-parameters. ", + "bbox": [ + 174, + 303, + 825, + 372 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "For Table 15, 3, 4, and 5, we compare “Equiformer” with other works since most of them do not include equivariance to inversion. ", + "bbox": [ + 173, + 378, + 823, + 407 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "F.5 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS ", + "text_level": 1, + "bbox": [ + 176, + 424, + 678, + 439 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022) and Equiformer when IS2RS auxiliary task is not adopted during training and summarize the results in Table 17. Equiformer achieves better results with comparable training time. Please refer to Sec. D.3 for a detailed discussion. ", + "bbox": [ + 174, + 450, + 825, + 507 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "The comparison of training time when IS2RS auxiliary task is adopted can be found in Table 5. ", + "bbox": [ + 174, + 513, + 794, + 529 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "F.6 ERROR DISTRIBUTIONS ", + "text_level": 1, + "bbox": [ + 176, + 545, + 379, + 560 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We plot the error distributions of different Equiformer models on different sub-splits of OC20 IS2RE validation set in Fig. 5. For each curve, we sort the absolute errors in ascending order for better visualization and have a few observations. First, for each sub-split, there are always easy examples, for which all models achieve significantly low errors, and hard examples, for which all models have high errors. Second, the performance gains brought by different models are non-uniform among different sub-splits. For example, using MLP attention and non-linear messages improves the errors on the ID sub-split but is not that helpful on the OOD Ads sub-split. Third, when IS2RS node-level auxiliary task is not included during training, using stronger models mainly improves errors that are beyond the threshold of $0 . 0 2 \\mathrm { e V } .$ which is used to calculate the metric of energy within threshold (EwT). For instance, on the OOD Both sub-split, using non-linear messages, which corresponds to red and purple curves, improves the absolute errors for the 15000th through 20000th examples. However, the improvement in MAE does not translate to that in EwT as the errors are still higher than the threshold of $0 . 0 2 \\mathrm { e V } .$ This explains why using non-linear messages in Table 7 improves MAE from 0.5657 to 0.5545 but results in almost the same EwT. ", + "bbox": [ + 174, + 571, + 825, + 766 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "G LIMITATIONS ", + "text_level": 1, + "bbox": [ + 174, + 786, + 320, + 803 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We discuss several limitations of the proposed Equiformer and equivariant graph attention below. ", + "bbox": [ + 173, + 818, + 807, + 833 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "First, Equiformer is based on irreducible representations (irreps) and therefore can inherit the limitations common to all equivariant networks based on irreps and the library $\\mathtt { e 3 n n }$ (Geiger et al., 2022). For example, using higher degrees $L$ can result in larger features and using tensor products can be compute-intensive. Part of the reasons that tensor products can be computationally expensive are that the kernels have not been heavily optimized and customized as other operations in common libraries like PyTorch (Paszke et al., 2019). But this is the issue related to software, not the design of networks. While tensor products of irreps naively do not scale well, if all possible interactions and paths are considered, some paths in tensor products can also be pruned for computational efficiency. We leave these potential efficiency gains to future work and in this work focus on general equivariant attention if all possible paths up to $L _ { m a x }$ in tensor products are allowed. ", + "bbox": [ + 174, + 839, + 825, + 922 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/524d9fdc028cf858def1d25ba94cc8531f2136ff6fc43278f88369d419cc789a.jpg", + "image_caption": [ + "Figure 5: Error distributions of different Equiformer models on different sub-splits of OC20 IS2RE validation set. " + ], + "image_footnote": [], + "bbox": [ + 173, + 78, + 820, + 849 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Second, the improvement of the proposed equivariant graph attention can depend on tasks and datasets. For QM9, MLP attention improves not significantly upon dot product attention as shown in Table 6. We surmise that this is because QM9 contains less atoms and less diverse atom types and therefore linear attention is enough. For OC20, MLP attention clearly improves upon dot product attention as shown in Table 7. Non-linear messages improve upon linear ones for the two datasets. ", + "bbox": [ + 174, + 166, + 825, + 236 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Third, equivariant graph attention requires more computation than typical graph convolution. It includes one softmax operation and thus requires one additional sum aggregation compared to typical message passing. For non-linear message passing, it increases the number of tensor products from one to two and requires more computation. We note that if there is a constraint on training budget, using stronger attention (i.e., MLP attention and non-linear messages) would not always be optimal because for some tasks or datasets, the improvement is not that significant and using stronger attention can slow down training. ", + "bbox": [ + 174, + 243, + 825, + 340 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Fourth, the proposed attention has complexity proportional to the products of numbers of channels and numbers of edges since the the attention is restricted to local neighborhoods. In the context of 3D atomistic graphs, the complexity is the same as that of messages and graph convolutions. However, in other domains like computer vision, the memory complexity of convolution is proportional to the number of pixels or nodes, not that of edges. Therefore, it would require further modifications in order to use the proposed attention in other domains. 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Using equivariant operations enables encoding equivariant information", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 314, + 470, + 327 + ], + "spans": [ + { + "bbox": [ + 141, + 314, + 470, + 327 + ], + "score": 1.0, + "content": "in channels of irreps features without complicating graph structures. With minimal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 325, + 470, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 325, + 470, + 337 + ], + "score": 1.0, + "content": "modifications to Transformers, this architecture has already achieved strong empir-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 335, + 470, + 349 + ], + "spans": [ + { + "bbox": [ + 141, + 335, + 470, + 349 + ], + "score": 1.0, + "content": "ical results. Second, we propose a novel attention mechanism called equivariant", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 347, + 469, + 359 + ], + "spans": [ + { + "bbox": [ + 141, + 347, + 469, + 359 + ], + "score": 1.0, + "content": "graph attention, which improves upon typical attention in Transformers through", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 358, + 470, + 371 + ], + "spans": [ + { + "bbox": [ + 141, + 358, + 470, + 371 + ], + "score": 1.0, + "content": "replacing dot product attention with multi-layer perceptron attention and including", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 369, + 469, + 381 + ], + "spans": [ + { + "bbox": [ + 141, + 369, + 469, + 381 + ], + "score": 1.0, + "content": "non-linear message passing. 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One factor", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "score": 1.0, + "content": "contributing to the success of neural networks is the ability to incorporate inductive biases that exploit", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 500, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 506, + 512 + ], + "score": 1.0, + "content": "the symmetry of data. 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Concretely, some properties like energy of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 555, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 505, + 566 + ], + "score": 1.0, + "content": "an atomistic system should be constant regardless of how we shift the system; others like force should", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "score": 1.0, + "content": "be rotated accordingly if we rotate the system. To incorporate these inductive biases, equivariant", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 588 + ], + "score": 1.0, + "content": "and invariant neural networks have been proposed. 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Particularly, as", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "of the submission of this work, Equiformer achieves the best IS2RE result when only IS2RE and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 358, + 496, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 312, + 372 + ], + "score": 1.0, + "content": "IS2RS data are used and improves training time by", + "type": "text" + }, + { + "bbox": [ + 312, + 358, + 334, + 369 + ], + "score": 0.87, + "content": "2 . 3 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 358, + 345, + 372 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 345, + 358, + 372, + 369 + ], + "score": 0.89, + "content": "1 5 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 358, + 496, + 372 + ], + "score": 1.0, + "content": "compared to previous models.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 108, + 371, + 217, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 369, + 218, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 369, + 218, + 386 + ], + "score": 1.0, + "content": "2 RELATED WORKS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 385, + 504, + 406 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 506, + 396 + ], + "score": 1.0, + "content": "We focus on equivariant neural networks here. 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Equivariant neural networks (Thomas et al., 2018; Kondor et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 416, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 430 + ], + "score": 1.0, + "content": "2018; Weiler et al., 2018; Fuchs et al., 2020; Miller et al., 2020; Townshend et al., 2020; Batzner", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "et al., 2022; Jing et al., 2021; Schütt et al., 2021; Satorras et al., 2021; Unke et al., 2021; Brandstetter", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "et al., 2022; Thölke & Fabritiis, 2022; Le et al., 2022; Musaelian et al., 2022) operate on geometric", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 451, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 177, + 462 + ], + "score": 1.0, + "content": "tensors like type-", + "type": "text" + }, + { + "bbox": [ + 177, + 451, + 185, + 461 + ], + "score": 0.74, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 451, + 506, + 462 + ], + "score": 1.0, + "content": "vectors to achieve equivariance. The central idea is to use functions of geom-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "etry built from spherical harmonics and irreps features to achieve 3D rotational and translational", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "equivariance as proposed in Tensor Field Network (TFN) (Thomas et al., 2018), which generalizes", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 484, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 505, + 495 + ], + "score": 1.0, + "content": "2D counterparts (Worrall et al., 2016; Cohen & Welling, 2016; Cohen et al., 2018) to 3D Euclidean", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "space (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018). 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Using equivariant operations enables", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 506, + 228 + ], + "score": 1.0, + "content": "encoding equivariant information in channels of irreps features without complicating graph structures.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "With minimal modifications to Transformers, this architecture has already achieved strong empirical", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "results (Index 3 in Table 6 and 7). Second, we propose a novel attention mechanism called equivariant", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "graph attention, which improves upon typical attention in Transformers through replacing dot product", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 272 + ], + "score": 1.0, + "content": "attention with multi-layer perceptron attention and including non-linear message passing. Combining", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "these two innovations, Equiformer (Index 1 in Table 6 and 7) achieves competitive results on", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 282, + 504, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 504, + 293 + ], + "score": 1.0, + "content": "QM9 (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014), MD17 (Chmiela et al., 2017; Schütt et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 506, + 304 + ], + "score": 1.0, + "content": "2017; Chmiela et al., 2018) and OC20 (Chanussot* et al., 2021) datasets. For QM9 and MD17,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 304, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 505, + 315 + ], + "score": 1.0, + "content": "Equiformer achieves overall better results across all tasks or all molecules compared to previous", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 315, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 506, + 326 + ], + "score": 1.0, + "content": "models like NequIP (Batzner et al., 2022) and TorchMD-NET (Thölke & Fabritiis, 2022). For OC20,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 325, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 506, + 338 + ], + "score": 1.0, + "content": "when trained with IS2RE data and optionally IS2RS data, Equiformer improves upon state-of-the-art", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "models such as SEGNN (Brandstetter et al., 2022) and Graphormer (Shi et al., 2022). Particularly, as", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "of the submission of this work, Equiformer achieves the best IS2RE result when only IS2RE and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 358, + 496, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 312, + 372 + ], + "score": 1.0, + "content": "IS2RS data are used and improves training time by", + "type": "text" + }, + { + "bbox": [ + 312, + 358, + 334, + 369 + ], + "score": 0.87, + "content": "2 . 3 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 358, + 345, + 372 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 345, + 358, + 372, + 369 + ], + "score": 0.89, + "content": "1 5 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 358, + 496, + 372 + ], + "score": 1.0, + "content": "compared to previous models.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 117, + 506, + 372 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 371, + 217, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 369, + 218, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 369, + 218, + 386 + ], + "score": 1.0, + "content": "2 RELATED WORKS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 385, + 504, + 406 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 506, + 396 + ], + "score": 1.0, + "content": "We focus on equivariant neural networks here. We provide a detailed comparison between other", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 394, + 492, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 492, + 408 + ], + "score": 1.0, + "content": "equivariant Transformers and Equiformer and discuss other related works in Sec. B in appendix.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 106, + 384, + 506, + 408 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 406, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 106, + 405, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 407, + 152, + 418 + ], + "score": 0.84, + "content": "S E ( 3 ) / E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 405, + 506, + 419 + ], + "score": 1.0, + "content": "-Equivariant GNNs. Equivariant neural networks (Thomas et al., 2018; Kondor et al.,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 416, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 506, + 430 + ], + "score": 1.0, + "content": "2018; Weiler et al., 2018; Fuchs et al., 2020; Miller et al., 2020; Townshend et al., 2020; Batzner", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "et al., 2022; Jing et al., 2021; Schütt et al., 2021; Satorras et al., 2021; Unke et al., 2021; Brandstetter", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "et al., 2022; Thölke & Fabritiis, 2022; Le et al., 2022; Musaelian et al., 2022) operate on geometric", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 451, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 451, + 177, + 462 + ], + "score": 1.0, + "content": "tensors like type-", + "type": "text" + }, + { + "bbox": [ + 177, + 451, + 185, + 461 + ], + "score": 0.74, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 451, + 506, + 462 + ], + "score": 1.0, + "content": "vectors to achieve equivariance. The central idea is to use functions of geom-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "etry built from spherical harmonics and irreps features to achieve 3D rotational and translational", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "equivariance as proposed in Tensor Field Network (TFN) (Thomas et al., 2018), which generalizes", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 484, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 505, + 495 + ], + "score": 1.0, + "content": "2D counterparts (Worrall et al., 2016; Cohen & Welling, 2016; Cohen et al., 2018) to 3D Euclidean", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "space (Thomas et al., 2018; Weiler et al., 2018; Kondor et al., 2018). Previous works differ in", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 506, + 518 + ], + "score": 1.0, + "content": "equivariant operations used in their networks. TFN (Thomas et al., 2018) and NequIP (Batzner", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "et al., 2022) use graph convolution with linear messages, with the latter utilizing extra equivariant", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 540 + ], + "score": 1.0, + "content": "gate activations (Weiler et al., 2018). SEGNN (Brandstetter et al., 2022) introduces non-linear", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 538, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 550 + ], + "score": 1.0, + "content": "messages (Gilmer et al., 2017; Sanchez-Gonzalez et al., 2020) for irreps features, and the non-linear", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "score": 1.0, + "content": "messages use the same gate activation and improve upon linear messages. 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Equivariant", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 533, + 503, + 548 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 503, + 548 + ], + "score": 1.0, + "content": "information propagates to other irreps features through equivariant operations like tensor products.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 489, + 506, + 548 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 552, + 212, + 563 + ], + "lines": [ + { + "bbox": [ + 105, + 550, + 212, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 212, + 565 + ], + "score": 1.0, + "content": "3.3 TENSOR PRODUCT", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 565, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 280, + 578 + ], + "score": 1.0, + "content": "Tensor products can interact different type-", + "type": "text" + }, + { + "bbox": [ + 280, + 566, + 288, + 575 + ], + "score": 0.81, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 564, + 449, + 578 + ], + "score": 1.0, + "content": "vectors. We discuss tensor products for", + "type": "text" + }, + { + "bbox": [ + 450, + 567, + 477, + 577 + ], + "score": 0.91, + "content": "S O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 564, + 505, + 578 + ], + "score": 1.0, + "content": "below", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 160, + 589 + ], + "score": 1.0, + "content": "and those for", + "type": "text" + }, + { + "bbox": [ + 160, + 576, + 182, + 588 + ], + "score": 0.91, + "content": "O ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 576, + 351, + 589 + ], + "score": 1.0, + "content": "in Sec. A.4. The tensor product denoted as", + "type": "text" + }, + { + "bbox": [ + 352, + 578, + 361, + 587 + ], + "score": 0.81, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "uses Clebsch-Gordan coefficients to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 586, + 477, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 164, + 602 + ], + "score": 1.0, + "content": "combine type-", + "type": "text" + }, + { + "bbox": [ + 164, + 589, + 176, + 600 + ], + "score": 0.88, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 586, + 205, + 602 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 205, + 587, + 227, + 600 + ], + "score": 0.92, + "content": "f ^ { ( L _ { 1 } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 586, + 267, + 602 + ], + "score": 1.0, + "content": "and type-", + "type": "text" + }, + { + "bbox": [ + 267, + 589, + 279, + 600 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 586, + 308, + 602 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 308, + 588, + 330, + 600 + ], + "score": 0.91, + "content": "g ^ { ( L _ { 2 } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 586, + 407, + 602 + ], + "score": 1.0, + "content": "and produces type-", + "type": "text" + }, + { + "bbox": [ + 407, + 589, + 419, + 600 + ], + "score": 0.88, + "content": "L _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 586, + 448, + 602 + ], + "score": 1.0, + "content": "vector", + "type": "text" + }, + { + "bbox": [ + 448, + 589, + 471, + 599 + ], + "score": 0.9, + "content": "h ^ { ( L _ { 3 } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 586, + 477, + 602 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 564, + 505, + 602 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 154, + 604, + 456, + 639 + ], + "lines": [ + { + "bbox": [ + 154, + 604, + 456, + 639 + ], + "spans": [ + { + "bbox": [ + 154, + 604, + 456, + 639 + ], + "score": 0.94, + "content": "h _ { m _ { 3 } } ^ { ( L _ { 3 } ) } = ( f ^ { ( L _ { 1 } ) } \\otimes g ^ { ( L _ { 2 } ) } ) _ { m _ { 3 } } = \\sum _ { m _ { 1 } = - L _ { 1 } } ^ { L _ { 1 } } \\sum _ { m _ { 2 } = - L _ { 2 } } ^ { L _ { 2 } } C _ { ( L _ { 1 } , m _ { 1 } ) ( L _ { 2 } , m _ { 2 } ) } ^ { ( L _ { 3 } , m _ { 3 } ) } f _ { m _ { 1 } } ^ { ( L _ { 1 } ) } g _ { m _ { 2 } } ^ { ( L _ { 2 } ) }", + "type": "interline_equation", + "image_path": "bc4c4e8d02d01d8580cd5a299f2879d83b91ff9c71825e8c4d300f8fa57db254.jpg" + } + ] + } + ], + "index": 44, + "virtual_lines": [ + { + "bbox": [ + 154, + 604, + 456, + 615.6666666666666 + ], + "spans": [], + "index": 43 + }, + { + "bbox": [ + 154, + 615.6666666666666, + 456, + 627.3333333333333 + ], + "spans": [], + "index": 44 + }, + { + "bbox": [ + 154, + 627.3333333333333, + 456, + 638.9999999999999 + ], + "spans": [], + "index": 45 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 134, + 657 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 646, + 149, + 655 + ], + "score": 0.85, + "content": "m _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 643, + 281, + 657 + ], + "score": 1.0, + "content": "denotes order and refers to the", + "type": "text" + }, + { + "bbox": [ + 281, + 646, + 295, + 656 + ], + "score": 0.87, + "content": "m _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 643, + 356, + 657 + ], + "score": 1.0, + "content": "-th element of", + "type": "text" + }, + { + "bbox": [ + 356, + 643, + 379, + 656 + ], + "score": 0.91, + "content": "f ^ { ( L _ { 1 } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 643, + 505, + 657 + ], + "score": 1.0, + "content": ". Clebsch-Gordan coefficients", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 108, + 655, + 508, + 674 + ], + "spans": [ + { + "bbox": [ + 108, + 655, + 508, + 674 + ], + "score": 1.0, + "content": "C(L3,m3)(L1,m1)(L2,m2) are non-zero only when |L1 − L2| ≤ L3 ≤ |L1 + L2| and thus restrict output", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 388, + 683 + ], + "score": 1.0, + "content": "vectors to be of certain types. 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Note that parallelizing", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 482, + 409, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 409, + 495 + ], + "score": 1.0, + "content": "attention functions and concatenating can be implemented with “Reshape”.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 107, + 501, + 244, + 512 + ], + "lines": [ + { + "bbox": [ + 106, + 500, + 245, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 245, + 513 + ], + "score": 1.0, + "content": "4.3 OVERALL ARCHITECTURE", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 366, + 527 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 368, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 368, + 531 + ], + "score": 1.0, + "content": "For completeness, we discuss other modules in Equiformer here.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 532, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 546 + ], + "score": 1.0, + "content": "Embedding. 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The DTP layer has the same form as", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "that in Eq. 3. We scale the aggregated features by dividing with the squared root of average degrees", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 598, + 446, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 446, + 610 + ], + "score": 1.0, + "content": "in training sets so that standard deviation of aggregated features would be close to 1.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 106, + 614, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 614, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 339, + 629 + ], + "score": 1.0, + "content": "Radial Basis and Radial Function. Relative distances", + "type": "text" + }, + { + "bbox": [ + 340, + 615, + 363, + 628 + ], + "score": 0.92, + "content": "\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 614, + 506, + 629 + ], + "score": 1.0, + "content": "parametrize weights in some DTP", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 625, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 253, + 639 + ], + "score": 1.0, + "content": "layers. To reflect subtle changes in", + "type": "text" + }, + { + "bbox": [ + 254, + 626, + 277, + 639 + ], + "score": 0.91, + "content": "\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 625, + 505, + 639 + ], + "score": 1.0, + "content": ", we represent distances with radial basis like Gaussian", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "radial basis (Schütt et al., 2017) and radial Bessel basis (Gasteiger et al., 2020b;a). We transform", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "radial basis with a learnable radial function to generate weights for those DTP layers. 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The DTP layer has the same form as", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 601 + ], + "score": 1.0, + "content": "that in Eq. 3. We scale the aggregated features by dividing with the squared root of average degrees", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 598, + 446, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 446, + 610 + ], + "score": 1.0, + "content": "in training sets so that standard deviation of aggregated features would be close to 1.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 531, + 506, + 610 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 614, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 614, + 506, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 339, + 629 + ], + "score": 1.0, + "content": "Radial Basis and Radial Function. Relative distances", + "type": "text" + }, + { + "bbox": [ + 340, + 615, + 363, + 628 + ], + "score": 0.92, + "content": "\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 614, + 506, + 629 + ], + "score": 1.0, + "content": "parametrize weights in some DTP", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 625, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 253, + 639 + ], + "score": 1.0, + "content": "layers. To reflect subtle changes in", + "type": "text" + }, + { + "bbox": [ + 254, + 626, + 277, + 639 + ], + "score": 0.91, + "content": "\\lvert \\lvert \\vec { r } _ { i j } \\rvert \\rvert", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 625, + 505, + 639 + ], + "score": 1.0, + "content": ", we represent distances with radial basis like Gaussian", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "radial basis (Schütt et al., 2017) and radial Bessel basis (Gasteiger et al., 2020b;a). We transform", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "radial basis with a learnable radial function to generate weights for those DTP layers. The function", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 659, + 507, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 507, + 672 + ], + "score": 1.0, + "content": "consists of a two-layer MLP, with each linear layer followed by LN and SiLU, and a final linear layer.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 614, + 507, + 672 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 675, + 504, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "Feed Forward Network. 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We", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 715, + 505, + 727 + ], + "spans": [ + { + "bbox": [ + 105, + 715, + 505, + 727 + ], + "score": 1.0, + "content": "perform sum aggregation over all nodes to predict scalar quantities like energy. 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MethodsTask Unitsα a△ε meVεHOMO meVεLUMO meVμ DCv cal/mol KG meVH meVR aU meVU meVZPVE meV
NMP(Gilmer et al., 2017)t.092694338.030.0401917.18020201.50
SchNet (Schutt et al.,2017).235634134.033.0331414.07319141.70
Cormorant (Anderson et al., 2019)†.085613438.038.0262021.96121222.03
LieConv (Finzi et al.,020)t.084493025.032.0382224.80019192.28
DimeNet++ (Gasteiger et al., 2020a).044332520.030.02387.331661.21
TFN (Thomas et al., 2018)†.223584038.064.101------
SE(3)-Transformer(Fuchs etal.,2020)†.142533533.051.054------
EGNN (Satorras et al.,2021)†.071482925.029.0311212.10612111.55
PaiNN (Schutt et al.,2021).045462820.012.0247.355.98.0665.835.851.28
TorchMD-NET(Tholke & Fabritiis,2022).059362018.011.0267.626.16.0336.386.151.84
SphereNet (Liu et al.,2022).046322318.026.02186.292761.12
SEGNN (Brandstetter et al.,2022)†.060422421.023.0311516.66013151.62
EQGAT (Le et al.,2022).053322016.011.0242324.38225252.00
Equiformer.046301514.011.0237.636.63.2516.746.591.26
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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
SchNet (Schutt et al.,2017)16.058.53.513.43.516.95.628.66.925.28.736.95.224.76.124.3
DimeNet (Gasteiger et al.,2020b)8.821.63.48.12.810.04.516.65.39.35.816.24.49.45.013.1
PaiNN (Schuitt et al., 2021)6.914.7--2.79.73.913.85.03.34.98.54.14.14.56.0
TorchMD-NET(Tholke &Fabritis,2022)5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.1 4.54.1
NequIP(Lmax =3)(Batzner etal.,022)5.78.0--2.23.13.35.64.91.74.63.94.02.03.3
Equiformer (Lmar =2)5.37.26.623.35.83.74.54.13.84.33.3
Equiformer(Lmax =3)5.36.68.133.25.44.4204.33.93.724.33.4
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Energy and force are in units of meV and meV/Å.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + } + ], + "index": 6.0 + }, + { + "type": "title", + "bbox": [ + 107, + 311, + 194, + 324 + ], + "lines": [ + { + "bbox": [ + 104, + 309, + 196, + 326 + ], + "spans": [ + { + "bbox": [ + 104, + 309, + 196, + 326 + ], + "score": 1.0, + "content": "5 EXPERIMENT", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 327, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 507, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 507, + 340 + ], + "score": 1.0, + "content": "We benchmark Equiformer on QM9 (Sec. 5.1), MD17 (Sec. 5.2) and OC20 (Sec. 5.3) datasets.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "Moreover, ablation studies (Sec. 5.4) are conducted to demonstrate that Equiformer with dot prodcut", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 505, + 363 + ], + "score": 1.0, + "content": "attention and linear message passing has already achieved strong empirical results on QM9 and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "OC20 datasets and verify that the proposed equivariant graph attention improves upon typical dot", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "product attention in Transformer as well as dot product attention in other equivariant Transformers.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 383, + 424, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 424, + 395 + ], + "score": 1.0, + "content": "Additional results of including inversion can be found in Sec. D.2 and Sec. F.4.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 107, + 400, + 155, + 411 + ], + "lines": [ + { + "bbox": [ + 104, + 398, + 157, + 415 + ], + "spans": [ + { + "bbox": [ + 104, + 398, + 157, + 415 + ], + "score": 1.0, + "content": "5.1 QM9", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 412, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "Dataset. The QM9 dataset (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014) (CC BY-NC SA", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 422, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 198, + 436 + ], + "score": 1.0, + "content": "4.0 license) consists of", + "type": "text" + }, + { + "bbox": [ + 198, + 423, + 219, + 434 + ], + "score": 0.28, + "content": "1 3 4 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 422, + 505, + 436 + ], + "score": 1.0, + "content": "small molecules, and the goal is to predict their quantum properties. The", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "data partition we use has 110k, 10k, and 11k molecules in training, validation and testing sets. We", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 446, + 455, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 455, + 457 + ], + "score": 1.0, + "content": "minimize mean absolute error (MAE) between prediction and normalized ground truth.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 460, + 504, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 458, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 473 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. D.1 in appendix for details on architecture, hyper-parameters", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 471, + 180, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 180, + 483 + ], + "score": 1.0, + "content": "and training time.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 106, + 486, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "Results. We summarize the comparison to previous models in Table 1. Equiformer achieves overall", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "better results across 12 regression tasks compared to each individual model. The comparison to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 506, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 522 + ], + "score": 1.0, + "content": "SEGNN, which uses irreps features as Equiformer, demonstrates the effectiveness of combining", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "non-lienar message passing with MLP attention. Additionally, Equiformer achieves better results", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "for most tasks when compared to other equivariant Transformers, which are SE(3)-Transformer,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 540, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 553 + ], + "score": 1.0, + "content": "TorchMD-NET and EQGAT. This demonstrates a better adaption of Transformers to 3D graphs and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 551, + 464, + 564 + ], + "score": 1.0, + "content": "the effectiveness of the proposed equivariant graph attention. We note that for the tasks of", + "type": "text" + }, + { + "bbox": [ + 464, + 553, + 471, + 564 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 551, + 489, + 564 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 489, + 551, + 502, + 562 + ], + "score": 0.87, + "content": "R ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 551, + 506, + 564 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "PaiNN and TorchMD-NET use different architectures, which take into account the property of the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 573, + 500, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 500, + 586 + ], + "score": 1.0, + "content": "task. In contrast, we use the same architecture for all tasks. We compare training time in Sec. D.3.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 107, + 591, + 160, + 601 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 162, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 162, + 604 + ], + "score": 1.0, + "content": "5.2 MD17", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "Dataset. The MD17 dataset (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) (CC", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "BY-NC) consists of molecular dynamics simulations of small organic molecules, and the goal is to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 625, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 506, + 637 + ], + "score": 1.0, + "content": "predict their energy and forces. We use 950 and 50 different configurations for training and validation", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 635, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 649 + ], + "score": 1.0, + "content": "sets and the rest for the testing set. Forces are derived as the negative gradient of energy with respect", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 646, + 465, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 465, + 659 + ], + "score": 1.0, + "content": "to atomic positions. We minimize MAE between prediction and normalized ground truth.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 662, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. E.1 in appendix for details on architecture, hyper-parameters", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 673, + 180, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 180, + 685 + ], + "score": 1.0, + "content": "and training time.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 508, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 265, + 702 + ], + "score": 1.0, + "content": "Results. We train Equiformer with", + "type": "text" + }, + { + "bbox": [ + 265, + 688, + 315, + 699 + ], + "score": 0.91, + "content": "L _ { m a x } \\ = \\ 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 686, + 508, + 702 + ], + "score": 1.0, + "content": "and 3 and summarize the results in Table 2.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "Equiformer achieves overall better results across 8 molecules compared to each individual model.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "Compared to TorchMD-NET, which is also an equivariant Transformer, the difference lies in the pro-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 721, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 734 + ], + "score": 1.0, + "content": "posed equivariant graph attention, which is more expressive and can support vectors of higher degree", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 115, + 80, + 493, + 201 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 115, + 80, + 493, + 201 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 80, + 493, + 201 + ], + "spans": [ + { + "bbox": [ + 115, + 80, + 493, + 201 + ], + "score": 0.974, + "html": "
MethodsTask Unitsα a△ε meVεHOMO meVεLUMO meVμ DCv cal/mol KG meVH meVR aU meVU meVZPVE meV
NMP(Gilmer et al., 2017)t.092694338.030.0401917.18020201.50
SchNet (Schutt et al.,2017).235634134.033.0331414.07319141.70
Cormorant (Anderson et al., 2019)†.085613438.038.0262021.96121222.03
LieConv (Finzi et al.,020)t.084493025.032.0382224.80019192.28
DimeNet++ (Gasteiger et al., 2020a).044332520.030.02387.331661.21
TFN (Thomas et al., 2018)†.223584038.064.101------
SE(3)-Transformer(Fuchs etal.,2020)†.142533533.051.054------
EGNN (Satorras et al.,2021)†.071482925.029.0311212.10612111.55
PaiNN (Schutt et al.,2021).045462820.012.0247.355.98.0665.835.851.28
TorchMD-NET(Tholke & Fabritiis,2022).059362018.011.0267.626.16.0336.386.151.84
SphereNet (Liu et al.,2022).046322318.026.02186.292761.12
SEGNN (Brandstetter et al.,2022)†.060422421.023.0311516.66013151.62
EQGAT (Le et al.,2022).053322016.011.0242324.38225252.00
Equiformer.046301514.011.0237.636.63.2516.746.591.26
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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
SchNet (Schutt et al.,2017)16.058.53.513.43.516.95.628.66.925.28.736.95.224.76.124.3
DimeNet (Gasteiger et al.,2020b)8.821.63.48.12.810.04.516.65.39.35.816.24.49.45.013.1
PaiNN (Schuitt et al., 2021)6.914.7--2.79.73.913.85.03.34.98.54.14.14.56.0
TorchMD-NET(Tholke &Fabritis,2022)5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.1 4.54.1
NequIP(Lmax =3)(Batzner etal.,022)5.78.0--2.23.13.35.64.91.74.63.94.02.03.3
Equiformer (Lmar =2)5.37.26.623.35.83.74.54.13.84.33.3
Equiformer(Lmax =3)5.36.68.133.25.44.4204.33.93.724.33.4
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Energy and force are in units of meV and meV/Å.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + } + ], + "index": 6.0 + }, + { + "type": "title", + "bbox": [ + 107, + 311, + 194, + 324 + ], + "lines": [ + { + "bbox": [ + 104, + 309, + 196, + 326 + ], + "spans": [ + { + "bbox": [ + 104, + 309, + 196, + 326 + ], + "score": 1.0, + "content": "5 EXPERIMENT", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 327, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 507, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 507, + 340 + ], + "score": 1.0, + "content": "We benchmark Equiformer on QM9 (Sec. 5.1), MD17 (Sec. 5.2) and OC20 (Sec. 5.3) datasets.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "Moreover, ablation studies (Sec. 5.4) are conducted to demonstrate that Equiformer with dot prodcut", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 505, + 363 + ], + "score": 1.0, + "content": "attention and linear message passing has already achieved strong empirical results on QM9 and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "OC20 datasets and verify that the proposed equivariant graph attention improves upon typical dot", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "product attention in Transformer as well as dot product attention in other equivariant Transformers.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 383, + 424, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 424, + 395 + ], + "score": 1.0, + "content": "Additional results of including inversion can be found in Sec. D.2 and Sec. F.4.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 327, + 507, + 395 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 400, + 155, + 411 + ], + "lines": [ + { + "bbox": [ + 104, + 398, + 157, + 415 + ], + "spans": [ + { + "bbox": [ + 104, + 398, + 157, + 415 + ], + "score": 1.0, + "content": "5.1 QM9", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 412, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 424 + ], + "score": 1.0, + "content": "Dataset. The QM9 dataset (Ruddigkeit et al., 2012; Ramakrishnan et al., 2014) (CC BY-NC SA", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 422, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 198, + 436 + ], + "score": 1.0, + "content": "4.0 license) consists of", + "type": "text" + }, + { + "bbox": [ + 198, + 423, + 219, + 434 + ], + "score": 0.28, + "content": "1 3 4 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 422, + 505, + 436 + ], + "score": 1.0, + "content": "small molecules, and the goal is to predict their quantum properties. The", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "data partition we use has 110k, 10k, and 11k molecules in training, validation and testing sets. We", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 446, + 455, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 455, + 457 + ], + "score": 1.0, + "content": "minimize mean absolute error (MAE) between prediction and normalized ground truth.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 412, + 505, + 457 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 460, + 504, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 458, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 473 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. D.1 in appendix for details on architecture, hyper-parameters", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 471, + 180, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 180, + 483 + ], + "score": 1.0, + "content": "and training time.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 458, + 505, + 483 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 486, + 505, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "Results. We summarize the comparison to previous models in Table 1. Equiformer achieves overall", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "better results across 12 regression tasks compared to each individual model. The comparison to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 506, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 522 + ], + "score": 1.0, + "content": "SEGNN, which uses irreps features as Equiformer, demonstrates the effectiveness of combining", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "non-lienar message passing with MLP attention. Additionally, Equiformer achieves better results", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "for most tasks when compared to other equivariant Transformers, which are SE(3)-Transformer,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 540, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 553 + ], + "score": 1.0, + "content": "TorchMD-NET and EQGAT. This demonstrates a better adaption of Transformers to 3D graphs and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 551, + 464, + 564 + ], + "score": 1.0, + "content": "the effectiveness of the proposed equivariant graph attention. We note that for the tasks of", + "type": "text" + }, + { + "bbox": [ + 464, + 553, + 471, + 564 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 551, + 489, + 564 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 489, + 551, + 502, + 562 + ], + "score": 0.87, + "content": "R ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 551, + 506, + 564 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "PaiNN and TorchMD-NET use different architectures, which take into account the property of the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 573, + 500, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 500, + 586 + ], + "score": 1.0, + "content": "task. In contrast, we use the same architecture for all tasks. We compare training time in Sec. D.3.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 104, + 486, + 506, + 586 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 591, + 160, + 601 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 162, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 162, + 604 + ], + "score": 1.0, + "content": "5.2 MD17", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "Dataset. The MD17 dataset (Chmiela et al., 2017; Schütt et al., 2017; Chmiela et al., 2018) (CC", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "BY-NC) consists of molecular dynamics simulations of small organic molecules, and the goal is to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 625, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 506, + 637 + ], + "score": 1.0, + "content": "predict their energy and forces. We use 950 and 50 different configurations for training and validation", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 635, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 649 + ], + "score": 1.0, + "content": "sets and the rest for the testing set. Forces are derived as the negative gradient of energy with respect", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 646, + 465, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 465, + 659 + ], + "score": 1.0, + "content": "to atomic positions. We minimize MAE between prediction and normalized ground truth.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 603, + 506, + 659 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 662, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. E.1 in appendix for details on architecture, hyper-parameters", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 673, + 180, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 180, + 685 + ], + "score": 1.0, + "content": "and training time.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 660, + 506, + 685 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 686, + 508, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 265, + 702 + ], + "score": 1.0, + "content": "Results. We train Equiformer with", + "type": "text" + }, + { + "bbox": [ + 265, + 688, + 315, + 699 + ], + "score": 0.91, + "content": "L _ { m a x } \\ = \\ 2", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 686, + 508, + 702 + ], + "score": 1.0, + "content": "and 3 and summarize the results in Table 2.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "Equiformer achieves overall better results across 8 molecules compared to each individual model.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "Compared to TorchMD-NET, which is also an equivariant Transformer, the difference lies in the pro-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 721, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 734 + ], + "score": 1.0, + "content": "posed equivariant graph attention, which is more expressive and can support vectors of higher degree", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 686, + 508, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 112, + 80, + 496, + 161 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 112, + 80, + 496, + 161 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 80, + 496, + 161 + ], + "spans": [ + { + "bbox": [ + 112, + 80, + 496, + 161 + ], + "score": 0.928, + "html": "
Energy MAE (eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
CGCNN (Xie & Grossman,2018)0.61490.91550.62190.85110.75093.401.933.102.002.61
SchNet (Schut et al., 2017)0.63870.73420.66160.70370.68462.962.332.942.212.61
DimeNet++(Gasteiger etal.,2020a)0.56210.72520.57560.66130.63114.252.074.102.413.21
PaiNN (Schutt et al.,2021)0.5750.7830.6040.7430.67633.461.973.462.282.79
SpinConv (Shuaibi et al.,2021)0.55830.72300.56870.67380.63104.082.263.822.333.12
SphereNet (Liu etal.,2022)0.56250.70330.57080.63780.61864.472.294.092.413.32
SEGNN (Brandstetter et al., 2022)0.53270.69210.53690.67900.61015.372.464.912.633.84
Equiformer0.50370.68810.52130.63010.58585.142.414.672.693.73
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Energy MAE (eV)↓EwT(%) ↑
MethodsIDOOD AdsOOD CatOODBothAverageIDOOD AdsOOD CatOOD BothAverage
GNS (Godwin et al.,2022)0.540.650.550.590.5825-----
GNS + Noisy Nodes (Godwin et al., 2022)0.470.510.480.460.4800=----
Graphormer (Shi et al., 2022)0.43290.58500.44410.52990.4980----
Equiformer0.42220.54200.42310.47540.46577.233.777.134.105.56
Equiformer + Noisy Nodes0.41560.49760.41650.43440.44107.474.647.194.846.04
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Energy MAE (eV)↓EwT(%)↑Training time
MethodsIDOOD AdsOOD CatOOD BothAverageDOOD AdsOOD CatOOD BothAverage(GPU-days)
GNS + Noisy Nodes (Godwin et al.,2022)0.42190.56780.43660.46510.47289.124.258.014.646.556 (TPU)
Graphormer (Shi et al.,22)†0.39760.57190.41660.50290.47228.973.458.183.796.1372(A100)
Equiformer+Noisy Nodes0.41710.54790.42480.47410.46607.713.707.154.075.6624 (A6000)
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In contrast, we use", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "the same single Equiformer model in Table 4, which is trained only on the training set. Note that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 338, + 362, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 362, + 350 + ], + "score": 1.0, + "content": "Equiformer achieves better results with much less computation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 505, + 463 + ], + "lines": [ + { + "bbox": [ + 107, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 107, + 354, + 115, + 363 + ], + "score": 0.7, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 352, + 166, + 366 + ], + "score": 1.0, + "content": "(i.e., we use", + "type": "text" + }, + { + "bbox": [ + 166, + 353, + 209, + 364 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 352, + 457, + 366 + ], + "score": 1.0, + "content": "and 3) instead of restricting to type-0 and type-1 vectors (i.e.,", + "type": "text" + }, + { + "bbox": [ + 457, + 354, + 500, + 364 + ], + "score": 0.9, + "content": "L _ { m a x } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 352, + 506, + 366 + ], + "score": 1.0, + "content": ").", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 362, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 333, + 378 + ], + "score": 1.0, + "content": "For the last three molecules, although Equiformer with", + "type": "text" + }, + { + "bbox": [ + 333, + 364, + 377, + 375 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 362, + 506, + 378 + ], + "score": 1.0, + "content": "achieves lower force MAE but", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "higher energy MAE, we can adjust the weights of energy loss and force loss so that Equiformer", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "score": 1.0, + "content": "achieves lower MAE for both energy and forces as shown in Table 12 in appendix. Compared to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 396, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 396, + 281, + 411 + ], + "score": 1.0, + "content": "NequIP, which also uses irreps features and", + "type": "text" + }, + { + "bbox": [ + 281, + 397, + 323, + 408 + ], + "score": 0.93, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 396, + 395, + 411 + ], + "score": 1.0, + "content": ", Equiformer with", + "type": "text" + }, + { + "bbox": [ + 396, + 397, + 438, + 408 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 396, + 506, + 411 + ], + "score": 1.0, + "content": "achieves overall", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 407, + 502, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 267, + 422 + ], + "score": 1.0, + "content": "lower MAE although including higher", + "type": "text" + }, + { + "bbox": [ + 267, + 408, + 291, + 419 + ], + "score": 0.91, + "content": "L _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 407, + 457, + 422 + ], + "score": 1.0, + "content": "can improve performance. When using", + "type": "text" + }, + { + "bbox": [ + 458, + 408, + 502, + 419 + ], + "score": 0.91, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "Equiformer achieves lower MAE results for most molecules. This suggests that the proposed attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "can improve upon linear messages even when the size of training sets becomes small. We compare", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 439, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 104, + 439, + 506, + 455 + ], + "score": 1.0, + "content": "the training time of NequIP and Equiformer in Sec. E.3. Additionally, for Equiformer, increasing", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 452, + 507, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 131, + 463 + ], + "score": 0.9, + "content": "L _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 452, + 507, + 466 + ], + "score": 1.0, + "content": "from 2 to 3 improves MAE for most molecules except benzene, which results from overfitting.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 107, + 468, + 158, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 160, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 160, + 482 + ], + "score": 1.0, + "content": "5.3 OC20", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 505, + 590 + ], + "lines": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "score": 1.0, + "content": "Dataset. The Open Catalyst 2020 (OC20) dataset (Chanussot* et al., 2021) (Creative Commons", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "Attribution 4.0 License) consists of larger atomic systems, each composed of a molecule called", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "types than QM9 and MD17. We focus on the task of initial structure to relaxed energy (IS2RE),", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "which is to predict the energy of a relaxed structure (RS) given its initial structure (IS). Performance", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 533, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 104, + 533, + 506, + 549 + ], + "score": 1.0, + "content": "is measured in MAE and energy within threshold (EwT), the percentage in which predicted energy", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 145, + 559 + ], + "score": 1.0, + "content": "is within", + "type": "text" + }, + { + "bbox": [ + 145, + 546, + 180, + 556 + ], + "score": 0.67, + "content": "0 . 0 2 \\mathrm { e V }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 546, + 506, + 559 + ], + "score": 1.0, + "content": "of ground truth energy. In validation and testing sets, there are four sub-splits", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "containing in-distribution adsorbates and catalysts (ID), out-of-distribution adsorbates (OOD-Ads),", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 568, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 579 + ], + "score": 1.0, + "content": "out-of-distribution catalysts (OOD-Cat), and out-of-distribution adsorbates and catalysts (OOD-Both).", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 579, + 379, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 379, + 591 + ], + "score": 1.0, + "content": "Please refer to Sec. F.1 for the detailed description of OC20 dataset.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 145, + 605 + ], + "score": 1.0, + "content": "Setting.", + "type": "text" + }, + { + "bbox": [ + 146, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "We consider two training settings based on whether a node-level auxiliary task (Godwin", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 604, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 616 + ], + "score": 1.0, + "content": "et al., 2022) is adopted. In the first setting, we minimize MAE between predicted energy and ground", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "truth energy without any node-level auxiliary task. In the second setting, we incorporate the task of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 626, + 405, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 405, + 638 + ], + "score": 1.0, + "content": "initial structure to relaxed structure (IS2RS) as a node-level auxiliary task.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 107, + 640, + 503, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. F.2 in appendix for details on Equiformer architecture,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 651, + 251, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 251, + 664 + ], + "score": 1.0, + "content": "hyper-parameters and training time.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "IS2RE Results without Node-Level Auxiliary Task. We summarize the results on validation and", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "testing sets under the first setting in Table 15 in appendix and Table 3. Compared with state-of-the-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "art models like SEGNN and SphereNet, Equiformer consistently achieves the lowest MAE for all", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "the four sub-splits in validation and testing sets. Note that EwT considers only the percentage of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "predictions close enough to ground truth and the distribution of errors, and therefore improvement in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 732 + ], + "score": 1.0, + "content": "average errors (MAE) would not necessarily reflect that in error distributions (EwT). A more detailed", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 300, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 11, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 112, + 80, + 496, + 161 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 112, + 80, + 496, + 161 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 80, + 496, + 161 + ], + "spans": [ + { + "bbox": [ + 112, + 80, + 496, + 161 + ], + "score": 0.928, + "html": "
Energy MAE (eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
CGCNN (Xie & Grossman,2018)0.61490.91550.62190.85110.75093.401.933.102.002.61
SchNet (Schut et al., 2017)0.63870.73420.66160.70370.68462.962.332.942.212.61
DimeNet++(Gasteiger etal.,2020a)0.56210.72520.57560.66130.63114.252.074.102.413.21
PaiNN (Schutt et al.,2021)0.5750.7830.6040.7430.67633.461.973.462.282.79
SpinConv (Shuaibi et al.,2021)0.55830.72300.56870.67380.63104.082.263.822.333.12
SphereNet (Liu etal.,2022)0.56250.70330.57080.63780.61864.472.294.092.413.32
SEGNN (Brandstetter et al., 2022)0.53270.69210.53690.67900.61015.372.464.912.633.84
Equiformer0.50370.68810.52130.63010.58585.142.414.672.693.73
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Energy MAE (eV)↓EwT(%) ↑
MethodsIDOOD AdsOOD CatOODBothAverageIDOOD AdsOOD CatOOD BothAverage
GNS (Godwin et al.,2022)0.540.650.550.590.5825-----
GNS + Noisy Nodes (Godwin et al., 2022)0.470.510.480.460.4800=----
Graphormer (Shi et al., 2022)0.43290.58500.44410.52990.4980----
Equiformer0.42220.54200.42310.47540.46577.233.777.134.105.56
Equiformer + Noisy Nodes0.41560.49760.41650.43440.44107.474.647.194.846.04
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Energy MAE (eV)↓EwT(%)↑Training time
MethodsIDOOD AdsOOD CatOOD BothAverageDOOD AdsOOD CatOOD BothAverage(GPU-days)
GNS + Noisy Nodes (Godwin et al.,2022)0.42190.56780.43660.46510.47289.124.258.014.646.556 (TPU)
Graphormer (Shi et al.,22)†0.39760.57190.41660.50290.47228.973.458.183.796.1372(A100)
Equiformer+Noisy Nodes0.41710.54790.42480.47410.46607.713.707.154.075.6624 (A6000)
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In contrast, we use", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "the same single Equiformer model in Table 4, which is trained only on the training set. Note that", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 338, + 362, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 362, + 350 + ], + "score": 1.0, + "content": "Equiformer achieves better results with much less computation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 303, + 506, + 350 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 505, + 463 + ], + "lines": [ + { + "bbox": [ + 107, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 107, + 354, + 115, + 363 + ], + "score": 0.7, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 352, + 166, + 366 + ], + "score": 1.0, + "content": "(i.e., we use", + "type": "text" + }, + { + "bbox": [ + 166, + 353, + 209, + 364 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 352, + 457, + 366 + ], + "score": 1.0, + "content": "and 3) instead of restricting to type-0 and type-1 vectors (i.e.,", + "type": "text" + }, + { + "bbox": [ + 457, + 354, + 500, + 364 + ], + "score": 0.9, + "content": "L _ { m a x } = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 352, + 506, + 366 + ], + "score": 1.0, + "content": ").", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 362, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 104, + 362, + 333, + 378 + ], + "score": 1.0, + "content": "For the last three molecules, although Equiformer with", + "type": "text" + }, + { + "bbox": [ + 333, + 364, + 377, + 375 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 362, + 506, + 378 + ], + "score": 1.0, + "content": "achieves lower force MAE but", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "higher energy MAE, we can adjust the weights of energy loss and force loss so that Equiformer", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 398 + ], + "score": 1.0, + "content": "achieves lower MAE for both energy and forces as shown in Table 12 in appendix. Compared to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 396, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 104, + 396, + 281, + 411 + ], + "score": 1.0, + "content": "NequIP, which also uses irreps features and", + "type": "text" + }, + { + "bbox": [ + 281, + 397, + 323, + 408 + ], + "score": 0.93, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 396, + 395, + 411 + ], + "score": 1.0, + "content": ", Equiformer with", + "type": "text" + }, + { + "bbox": [ + 396, + 397, + 438, + 408 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 396, + 506, + 411 + ], + "score": 1.0, + "content": "achieves overall", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 407, + 502, + 422 + ], + "spans": [ + { + "bbox": [ + 104, + 407, + 267, + 422 + ], + "score": 1.0, + "content": "lower MAE although including higher", + "type": "text" + }, + { + "bbox": [ + 267, + 408, + 291, + 419 + ], + "score": 0.91, + "content": "L _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 407, + 457, + 422 + ], + "score": 1.0, + "content": "can improve performance. When using", + "type": "text" + }, + { + "bbox": [ + 458, + 408, + 502, + 419 + ], + "score": 0.91, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "Equiformer achieves lower MAE results for most molecules. This suggests that the proposed attention", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "can improve upon linear messages even when the size of training sets becomes small. We compare", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 439, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 104, + 439, + 506, + 455 + ], + "score": 1.0, + "content": "the training time of NequIP and Equiformer in Sec. E.3. Additionally, for Equiformer, increasing", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 452, + 507, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 131, + 463 + ], + "score": 0.9, + "content": "L _ { m a x }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 452, + 507, + 466 + ], + "score": 1.0, + "content": "from 2 to 3 improves MAE for most molecules except benzene, which results from overfitting.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5, + "bbox_fs": [ + 104, + 352, + 507, + 466 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 468, + 158, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 160, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 160, + 482 + ], + "score": 1.0, + "content": "5.3 OC20", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 505, + 590 + ], + "lines": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "score": 1.0, + "content": "Dataset. The Open Catalyst 2020 (OC20) dataset (Chanussot* et al., 2021) (Creative Commons", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "Attribution 4.0 License) consists of larger atomic systems, each composed of a molecule called", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "adsorbate placed on a slab called catalyst. Each input contains more atoms and more diverse atom", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 526 + ], + "score": 1.0, + "content": "types than QM9 and MD17. We focus on the task of initial structure to relaxed energy (IS2RE),", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "which is to predict the energy of a relaxed structure (RS) given its initial structure (IS). Performance", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 533, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 104, + 533, + 506, + 549 + ], + "score": 1.0, + "content": "is measured in MAE and energy within threshold (EwT), the percentage in which predicted energy", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 546, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 145, + 559 + ], + "score": 1.0, + "content": "is within", + "type": "text" + }, + { + "bbox": [ + 145, + 546, + 180, + 556 + ], + "score": 0.67, + "content": "0 . 0 2 \\mathrm { e V }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 546, + 506, + 559 + ], + "score": 1.0, + "content": "of ground truth energy. In validation and testing sets, there are four sub-splits", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "containing in-distribution adsorbates and catalysts (ID), out-of-distribution adsorbates (OOD-Ads),", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 568, + 506, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 579 + ], + "score": 1.0, + "content": "out-of-distribution catalysts (OOD-Cat), and out-of-distribution adsorbates and catalysts (OOD-Both).", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 579, + 379, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 379, + 591 + ], + "score": 1.0, + "content": "Please refer to Sec. F.1 for the detailed description of OC20 dataset.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 479, + 506, + 591 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 593, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 505, + 605 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 145, + 605 + ], + "score": 1.0, + "content": "Setting.", + "type": "text" + }, + { + "bbox": [ + 146, + 594, + 505, + 605 + ], + "score": 1.0, + "content": "We consider two training settings based on whether a node-level auxiliary task (Godwin", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 604, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 616 + ], + "score": 1.0, + "content": "et al., 2022) is adopted. In the first setting, we minimize MAE between predicted energy and ground", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "truth energy without any node-level auxiliary task. In the second setting, we incorporate the task of", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 626, + 405, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 405, + 638 + ], + "score": 1.0, + "content": "initial structure to relaxed structure (IS2RS) as a node-level auxiliary task.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5, + "bbox_fs": [ + 105, + 593, + 506, + 638 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 640, + 503, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 654 + ], + "score": 1.0, + "content": "Training Details. Please refer to Sec. F.2 in appendix for details on Equiformer architecture,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 651, + 251, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 251, + 664 + ], + "score": 1.0, + "content": "hyper-parameters and training time.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 639, + 505, + 664 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "IS2RE Results without Node-Level Auxiliary Task. We summarize the results on validation and", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "testing sets under the first setting in Table 15 in appendix and Table 3. Compared with state-of-the-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "art models like SEGNN and SphereNet, Equiformer consistently achieves the lowest MAE for all", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "the four sub-splits in validation and testing sets. Note that EwT considers only the percentage of", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "predictions close enough to ground truth and the distribution of errors, and therefore improvement in", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 732 + ], + "score": 1.0, + "content": "average errors (MAE) would not necessarily reflect that in error distributions (EwT). A more detailed", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 209, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 223 + ], + "score": 1.0, + "content": "discussion can be found in Sec. F.6 in appendix. We also note that models are trained by minimizing", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "MAE, and therefore comparing MAE could mitigate the discrepancy between training objectives", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 232, + 507, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 507, + 245 + ], + "score": 1.0, + "content": "and evaluation metrics and that OC20 leaderboard ranks the relative performance according to MAE.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 243, + 439, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 439, + 256 + ], + "score": 1.0, + "content": "Additionally, we compare the training time of SEGNN and Equiformer in Sec. F.5.", + "type": "text", + "cross_page": true + } + ], + "index": 11 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 665, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 119, + 80, + 489, + 132 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 119, + 80, + 489, + 132 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 119, + 80, + 489, + 132 + ], + "spans": [ + { + "bbox": [ + 119, + 80, + 489, + 132 + ], + "score": 0.93, + "html": "
IndexMethodsTask α△ε meVεHOMO meVεLUMO片 CvTraining timeNumber of parameters
Non-linear message passingMLP attentionUnit aD cal/mol K
1·attention.04630meV 14.011.023(minutes/epoch) 12.13.53M
2.0513215 1616.013.0257.23.01M
3.053321716.013.0257.83.35M
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IndexMethodsEnergy MAE(eV)↓EwT(%)↑Number of
Non-linear message passingMLP attentionDot product attentionIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverageTraining time (minutes/epoch)
1230.50880.62710.50510.55450.54894.882.934.922.983.93130.8parameters 9.12M
·0.51680.63080.50880.56570.55554.592.824.793.023.8191.27.84M
0.53860.63820.52970.56920.56894.372.604.362.863.5599.38.72M
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F.6 in appendix. We also note that models are trained by minimizing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 221, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 234 + ], + "score": 1.0, + "content": "MAE, and therefore comparing MAE could mitigate the discrepancy between training objectives", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 232, + 507, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 507, + 245 + ], + "score": 1.0, + "content": "and evaluation metrics and that OC20 leaderboard ranks the relative performance according to MAE.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 243, + 439, + 256 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 439, + 256 + ], + "score": 1.0, + "content": "Additionally, we compare the training time of SEGNN and Equiformer in Sec. F.5.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 106, + 257, + 505, + 344 + ], + "lines": [ + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 505, + 268 + ], + "score": 1.0, + "content": "IS2RE Results with IS2RS Node-Level Auxiliary Task. We report the results on validation and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 268, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 279 + ], + "score": 1.0, + "content": "testing sets in Table 4 and Table 5. As of the date of the submission of this work, Equiformer achieves", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 292 + ], + "score": 1.0, + "content": "the best results on IS2RE task when only IS2RE and IS2RS data are used. Notably, the result in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 290, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 302 + ], + "score": 1.0, + "content": "Table 5 is achieved with much less computation. We note that under this setting, greater depths and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "thus more computation translate to better performance (Godwin et al., 2022) and that Equiformer", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "demonstrates incorporating equivariant features and the proposed equivariant graph attention can", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 229, + 335 + ], + "score": 1.0, + "content": "improve training efficiency by", + "type": "text" + }, + { + "bbox": [ + 230, + 322, + 252, + 333 + ], + "score": 0.86, + "content": "2 . 3 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 322, + 263, + 335 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 263, + 322, + 290, + 333 + ], + "score": 0.86, + "content": "1 5 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "compared to invariant message passing networks and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 333, + 201, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 201, + 345 + ], + "score": 1.0, + "content": "invariant Transformers.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 107, + 347, + 209, + 357 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 210, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 210, + 358 + ], + "score": 1.0, + "content": "5.4 ABLATION STUDY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 359, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "score": 1.0, + "content": "We conduct ablation studies to show that Equiformer with dot product attention and linear message", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "passing has already achieved strong empirical results and demonstrate the improvement brought by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "score": 1.0, + "content": "MLP attention and non-linear messages in the proposed equivariant graph attention. Dot product", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 390, + 502, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 397, + 406 + ], + "score": 1.0, + "content": "(DP) attention only differs from MLP attention in how attention weights", + "type": "text" + }, + { + "bbox": [ + 397, + 394, + 411, + 404 + ], + "score": 0.88, + "content": "a _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 390, + 490, + 406 + ], + "score": 1.0, + "content": "are generated from", + "type": "text" + }, + { + "bbox": [ + 490, + 392, + 502, + 405 + ], + "score": 0.89, + "content": "f _ { i j }", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "score": 1.0, + "content": "Please refer to Sec. C.3 in appendix for further details. For experiments on QM9 and OC20, unless", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 426, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 426, + 427 + ], + "score": 1.0, + "content": "otherwise stated, we follow the hyper-parameters used in previous experiments.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 428, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 506, + 440 + ], + "score": 1.0, + "content": "Result on QM9. The comparison is summarized in Table 6. Compared with models in Table 1,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "score": 1.0, + "content": "Equiformer with dot product attention and linear message passing (Index 3) achieves competitve", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "score": 1.0, + "content": "results. Non-linear messages improve upon linear messages when MLP attention is used while", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "non-linear messages increase the number of tensor product operations in each block from 1 to 2 and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "score": 1.0, + "content": "thus inevitably increase training time. On the other hand, MLP attention achieves similar results to", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "DP attention. We conjecture that DP attention with linear operations is expressive enough to capture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 495, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 506, + 506 + ], + "score": 1.0, + "content": "common attention patterns as the numbers of nighboring nodes and atom species are much smaller", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 342, + 516 + ], + "score": 1.0, + "content": "than those in OC20. However, MLP attention is roughly", + "type": "text" + }, + { + "bbox": [ + 342, + 505, + 357, + 516 + ], + "score": 0.87, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "faster as it directly generates scalar", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 248, + 529 + ], + "score": 1.0, + "content": "features and attention weights from", + "type": "text" + }, + { + "bbox": [ + 249, + 516, + 262, + 528 + ], + "score": 0.89, + "content": "f _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "instead of producing additional key and query irreps features", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 527, + 194, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 194, + 540 + ], + "score": 1.0, + "content": "for attention weights.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 554 + ], + "score": 1.0, + "content": "Result on OC20. We consider the setting of training without auxiliary task and summarize the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "comparison in Table 7. Compared with models in Table 15, Equiformer with dot product attention", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "score": 1.0, + "content": "and linear message passing (Index 3) has already outperformed all previous models. Non-linear", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "messages consistently improve upon linear messages. In contrast to the results on QM9, MLP", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 354, + 597 + ], + "score": 1.0, + "content": "attention achieves better performance than DP attention and is", + "type": "text" + }, + { + "bbox": [ + 354, + 585, + 369, + 595 + ], + "score": 0.87, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "faster. We surmise this is because", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "score": 1.0, + "content": "OC20 contains larger atomistic graphs with more diverse atom species and therefore requires more", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "expressive attention mechanisms. Note that Equiformer can potentially improve upon previous", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "score": 1.0, + "content": "equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) since they use", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 629, + 374, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 374, + 641 + ], + "score": 1.0, + "content": "less expressive attention mechanisms similar to Index 3 in Table 7.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41 + }, + { + "type": "title", + "bbox": [ + 107, + 642, + 196, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 198, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 198, + 658 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "In this work, we propose Equiformer, a graph neural network (GNN) combining the strengths", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "of Transformers and equivariant features based on irreducible representations (irreps). With irreps", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "features, we build upon existing generic GNNs and Transformer networks by incorporating equivariant", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "operations like tensor products. We further propose equivariant graph attention, which incorporates", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "multi-layer perceptron attention and non-linear messages. Experiments on QM9, MD17 and OC20", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "demonstrate the effectiveness of Equiformer and ablation studies show the improvement of the", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 721, + 411, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 411, + 734 + ], + "score": 1.0, + "content": "proposed equivariant graph attention over typical attention in Transformers.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 50 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 119, + 80, + 489, + 132 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 119, + 80, + 489, + 132 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 119, + 80, + 489, + 132 + ], + "spans": [ + { + "bbox": [ + 119, + 80, + 489, + 132 + ], + "score": 0.93, + "html": "
IndexMethodsTask α△ε meVεHOMO meVεLUMO片 CvTraining timeNumber of parameters
Non-linear message passingMLP attentionUnit aD cal/mol K
1·attention.04630meV 14.011.023(minutes/epoch) 12.13.53M
2.0513215 1616.013.0257.23.01M
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IndexMethodsEnergy MAE(eV)↓EwT(%)↑Number of
Non-linear message passingMLP attentionDot product attentionIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverageTraining time (minutes/epoch)
1230.50880.62710.50510.55450.54894.882.934.922.983.93130.8parameters 9.12M
·0.51680.63080.50880.56570.55554.592.824.793.023.8191.27.84M
0.53860.63820.52970.56920.56894.372.604.362.863.5599.38.72M
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We report the results on validation and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 268, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 279 + ], + "score": 1.0, + "content": "testing sets in Table 4 and Table 5. As of the date of the submission of this work, Equiformer achieves", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 277, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 292 + ], + "score": 1.0, + "content": "the best results on IS2RE task when only IS2RE and IS2RS data are used. Notably, the result in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 290, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 302 + ], + "score": 1.0, + "content": "Table 5 is achieved with much less computation. We note that under this setting, greater depths and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "thus more computation translate to better performance (Godwin et al., 2022) and that Equiformer", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 324 + ], + "score": 1.0, + "content": "demonstrates incorporating equivariant features and the proposed equivariant graph attention can", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 229, + 335 + ], + "score": 1.0, + "content": "improve training efficiency by", + "type": "text" + }, + { + "bbox": [ + 230, + 322, + 252, + 333 + ], + "score": 0.86, + "content": "2 . 3 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 322, + 263, + 335 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 263, + 322, + 290, + 333 + ], + "score": 0.86, + "content": "1 5 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "compared to invariant message passing networks and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 333, + 201, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 201, + 345 + ], + "score": 1.0, + "content": "invariant Transformers.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 257, + 506, + 345 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 347, + 209, + 357 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 210, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 210, + 358 + ], + "score": 1.0, + "content": "5.4 ABLATION STUDY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 359, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 372 + ], + "score": 1.0, + "content": "We conduct ablation studies to show that Equiformer with dot product attention and linear message", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "passing has already achieved strong empirical results and demonstrate the improvement brought by", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "score": 1.0, + "content": "MLP attention and non-linear messages in the proposed equivariant graph attention. Dot product", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 390, + 502, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 397, + 406 + ], + "score": 1.0, + "content": "(DP) attention only differs from MLP attention in how attention weights", + "type": "text" + }, + { + "bbox": [ + 397, + 394, + 411, + 404 + ], + "score": 0.88, + "content": "a _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 390, + 490, + 406 + ], + "score": 1.0, + "content": "are generated from", + "type": "text" + }, + { + "bbox": [ + 490, + 392, + 502, + 405 + ], + "score": 0.89, + "content": "f _ { i j }", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 416 + ], + "score": 1.0, + "content": "Please refer to Sec. C.3 in appendix for further details. For experiments on QM9 and OC20, unless", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 426, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 426, + 427 + ], + "score": 1.0, + "content": "otherwise stated, we follow the hyper-parameters used in previous experiments.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 358, + 506, + 427 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 428, + 505, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 506, + 440 + ], + "score": 1.0, + "content": "Result on QM9. The comparison is summarized in Table 6. Compared with models in Table 1,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 506, + 452 + ], + "score": 1.0, + "content": "Equiformer with dot product attention and linear message passing (Index 3) achieves competitve", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 505, + 463 + ], + "score": 1.0, + "content": "results. Non-linear messages improve upon linear messages when MLP attention is used while", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "non-linear messages increase the number of tensor product operations in each block from 1 to 2 and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "score": 1.0, + "content": "thus inevitably increase training time. On the other hand, MLP attention achieves similar results to", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "DP attention. We conjecture that DP attention with linear operations is expressive enough to capture", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 495, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 506, + 506 + ], + "score": 1.0, + "content": "common attention patterns as the numbers of nighboring nodes and atom species are much smaller", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 342, + 516 + ], + "score": 1.0, + "content": "than those in OC20. However, MLP attention is roughly", + "type": "text" + }, + { + "bbox": [ + 342, + 505, + 357, + 516 + ], + "score": 0.87, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "faster as it directly generates scalar", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 248, + 529 + ], + "score": 1.0, + "content": "features and attention weights from", + "type": "text" + }, + { + "bbox": [ + 249, + 516, + 262, + 528 + ], + "score": 0.89, + "content": "f _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "instead of producing additional key and query irreps features", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 527, + 194, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 194, + 540 + ], + "score": 1.0, + "content": "for attention weights.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 428, + 506, + 540 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 554 + ], + "score": 1.0, + "content": "Result on OC20. We consider the setting of training without auxiliary task and summarize the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 564 + ], + "score": 1.0, + "content": "comparison in Table 7. Compared with models in Table 15, Equiformer with dot product attention", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 575 + ], + "score": 1.0, + "content": "and linear message passing (Index 3) has already outperformed all previous models. Non-linear", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "messages consistently improve upon linear messages. In contrast to the results on QM9, MLP", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 354, + 597 + ], + "score": 1.0, + "content": "attention achieves better performance than DP attention and is", + "type": "text" + }, + { + "bbox": [ + 354, + 585, + 369, + 595 + ], + "score": 0.87, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "faster. We surmise this is because", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 609 + ], + "score": 1.0, + "content": "OC20 contains larger atomistic graphs with more diverse atom species and therefore requires more", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "expressive attention mechanisms. Note that Equiformer can potentially improve upon previous", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "score": 1.0, + "content": "equivariant Transformers (Fuchs et al., 2020; Thölke & Fabritiis, 2022; Le et al., 2022) since they use", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 629, + 374, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 374, + 641 + ], + "score": 1.0, + "content": "less expressive attention mechanisms similar to Index 3 in Table 7.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 540, + 506, + 641 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 642, + 196, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 198, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 198, + 658 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "In this work, we propose Equiformer, a graph neural network (GNN) combining the strengths", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "of Transformers and equivariant features based on irreducible representations (irreps). With irreps", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "features, we build upon existing generic GNNs and Transformer networks by incorporating equivariant", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "operations like tensor products. We further propose equivariant graph attention, which incorporates", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "multi-layer perceptron attention and non-linear messages. Experiments on QM9, MD17 and OC20", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "demonstrate the effectiveness of Equiformer and ablation studies show the improvement of the", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 721, + 411, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 411, + 734 + ], + "score": 1.0, + "content": "proposed equivariant graph attention over typical attention in Transformers.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 50, + "bbox_fs": [ + 105, + 655, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 229, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 79, + 231, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 231, + 96 + ], + "score": 1.0, + "content": "7 ETHICS STATEMENT", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 172 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "Equiformer achieves more accurate approximations of quantum properties calculation. We believe", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 129 + ], + "score": 1.0, + "content": "there is much more to be gained by harnessing these abilities for productive investigation of molecules", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 141 + ], + "score": 1.0, + "content": "and materials relevant to application such as energy, electronics, and pharmaceuticals, than to be lost", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 139, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 151 + ], + "score": 1.0, + "content": "by applying these methods for adversarial purposes like creating hazardous chemicals. Additionally,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 163 + ], + "score": 1.0, + "content": "there are still substantial hurdles to go from the identification of a useful or harmful molecule to its", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 204, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 204, + 174 + ], + "score": 1.0, + "content": "large-scale deployment.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 177, + 504, + 200 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 191 + ], + "score": 1.0, + "content": "Moreover, we discuss several limitations of Equiformer and the proposed equivariant graph attention", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 189, + 198, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 198, + 201 + ], + "score": 1.0, + "content": "in Sec. G in appendix.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "title", + "bbox": [ + 108, + 216, + 286, + 229 + ], + "lines": [ + { + "bbox": [ + 105, + 215, + 288, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 288, + 231 + ], + "score": 1.0, + "content": "8 REPRODUCIBILITY STATEMENT", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 104, + 241, + 504, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "We include details on architectures, hyper-parameters and training time in Sec. D.1 (QM9), Sec. E.1", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 252, + 227, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 227, + 265 + ], + "score": 1.0, + "content": "(MD17) and Sec. 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We also thank the", + "type": "text" + }, + { + "bbox": [ + 423, + 345, + 449, + 355 + ], + "score": 0.72, + "content": "\\mathtt { e 3 n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 344, + 506, + 356 + ], + "score": 1.0, + "content": "(Geiger et al.,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "2022) developers and community for the library and detailed documentation. 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Equiformer simultaneously achieves the best results for MD17, QM9 and OC20 datasets, in-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 141, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "dicating that the Transformer architecture is generally effective in the literature of equivariant", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 581, + 310, + 593 + ], + "spans": [ + { + "bbox": [ + 141, + 581, + 310, + 593 + ], + "score": 1.0, + "content": "neural networks and 3D atomistic graphs.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 128, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 128, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "3. 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There are two main ways to represent", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "atomistic graphs (Townshend et al., 2021), which are chemical bond graphs, sometimes denoted as 2D", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 311, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 325 + ], + "score": 1.0, + "content": "graphs, and 3D spatial graphs. Chemical bond graphs use edges to represent covalent bonds without", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "considering 3D geometry. Due to their similarity to graph structures in other applications, generic", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 333, + 505, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 505, + 346 + ], + "score": 1.0, + "content": "GNNs (Hamilton et al., 2017; Gilmer et al., 2017; Kipf & Welling, 2017; Xu et al., 2019; Velickovi ˇ c´", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "et al., 2018; Brody et al., 2022) can be directly applied to predict their properties (Ruddigkeit et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 356, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 367 + ], + "score": 1.0, + "content": "2012; Ramakrishnan et al., 2014; Ramsundar et al., 2019; Hu et al., 2020; 2021). On the other hand,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 366, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 379 + ], + "score": 1.0, + "content": "3D spatial graphs consider positions of atoms in 3D spaces and therefore 3D geometry. Although", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 378, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 506, + 389 + ], + "score": 1.0, + "content": "3D graphs can faithfully represent atomistic systems, one challenge of moving from chemical bond", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 387, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 104, + 387, + 506, + 402 + ], + "score": 1.0, + "content": "graphs to 3D spatial graphs is to remain invariant or equivariant to geometric transformation acting", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 399, + 504, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 504, + 411 + ], + "score": 1.0, + "content": "on atom positions. Therefore, invariant neural networks and equivariant neural networks have been", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "score": 1.0, + "content": "proposed for 3D atomistic graphs, with the former leveraging invariant information like distances and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 422, + 395, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 352, + 434 + ], + "score": 1.0, + "content": "angles and the latter operating on geometric tensors like type-", + "type": "text" + }, + { + "bbox": [ + 353, + 422, + 360, + 431 + ], + "score": 0.64, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 422, + 395, + 434 + ], + "score": 1.0, + "content": "vectors.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 278, + 506, + 434 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 447, + 416, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 446, + 418, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 418, + 460 + ], + "score": 1.0, + "content": "B.2 DETAILED COMPARISON BETWEEN EQUIVARIANT TRANSFORMERS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 468, + 504, + 490 + ], + "lines": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 506, + 479 + ], + "score": 1.0, + "content": "First, we compare the impact of previous equivariant Transformers (Fuchs et al., 2020; Thölke &", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 477, + 352, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 352, + 491 + ], + "score": 1.0, + "content": "Fabritiis, 2022; Le et al., 2022) in the following four aspects:", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 467, + 506, + 491 + ] + }, + { + "type": "list", + "bbox": [ + 129, + 500, + 505, + 667 + ], + "lines": [ + { + "bbox": [ + 129, + 499, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 129, + 499, + 506, + 511 + ], + "score": 1.0, + "content": "1. Previous equivariant Transformers do not perform well across datasets. For instance, SE(3)-", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 511, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 141, + 511, + 505, + 522 + ], + "score": 1.0, + "content": "Transformer (Fuchs et al., 2020) is not as performant as other equivariant networks on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 142, + 522, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 142, + 522, + 505, + 533 + ], + "score": 1.0, + "content": "QM9 as shown in Table 1. TorchMD-NET (Thölke & Fabritiis, 2022) does not achieve", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 533, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 141, + 533, + 505, + 545 + ], + "score": 1.0, + "content": "comparable results to NequIP (Batzner et al., 2022) on MD17 as shown in Table 2 although", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 544, + 290, + 555 + ], + "spans": [ + { + "bbox": [ + 141, + 544, + 290, + 555 + ], + "score": 1.0, + "content": "it is competitive on QM9 in Table 1.", + "type": "text" + } + ], + "index": 33, + "is_list_end_line": true + }, + { + "bbox": [ + 130, + 559, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 130, + 559, + 506, + 571 + ], + "score": 1.0, + "content": "2. Equiformer simultaneously achieves the best results for MD17, QM9 and OC20 datasets, in-", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 141, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "dicating that the Transformer architecture is generally effective in the literature of equivariant", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 581, + 310, + 593 + ], + "spans": [ + { + "bbox": [ + 141, + 581, + 310, + 593 + ], + "score": 1.0, + "content": "neural networks and 3D atomistic graphs.", + "type": "text" + } + ], + "index": 36, + "is_list_end_line": true + }, + { + "bbox": [ + 128, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 128, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "3. Extensive ablation studies have been conducted to justify a better attention mechanism in", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 608, + 200, + 619 + ], + "spans": [ + { + "bbox": [ + 142, + 608, + 200, + 619 + ], + "score": 1.0, + "content": "this literature.", + "type": "text" + } + ], + "index": 38, + "is_list_end_line": true + }, + { + "bbox": [ + 128, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 128, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "4. To the best of our knowledge, we are the first to apply equivariant Transformers to large and", + "type": "text" + } + ], + "index": 39, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 141, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "complicated datasets like OC20 and demonstrate that equivariant Transformers can achieve", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 141, + 645, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 141, + 645, + 505, + 656 + ], + "score": 1.0, + "content": "competitive results to large models like GNS (Godwin et al., 2022) and Graphormer (Shi", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 141, + 656, + 467, + 668 + ], + "spans": [ + { + "bbox": [ + 141, + 656, + 245, + 668 + ], + "score": 1.0, + "content": "et al., 2022) while saving", + "type": "text" + }, + { + "bbox": [ + 245, + 656, + 267, + 666 + ], + "score": 0.88, + "content": "2 . 3 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 656, + 279, + 668 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 279, + 656, + 305, + 666 + ], + "score": 0.87, + "content": "1 5 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 656, + 467, + 668 + ], + "score": 1.0, + "content": "training time as summarized in Table 5.", + "type": "text" + } + ], + "index": 42, + "is_list_end_line": true + } + ], + "index": 35.5, + "bbox_fs": [ + 128, + 499, + 506, + 668 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Second, we compare the technical differences of architectures of equivariant Transformers. The", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "proposed Equiformer consists of equivariant graph attention and an equivariant Transformer archi-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "tecture. The latter is obtained by simply replacing orginal operations in Transformers with their", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "equivariant counterparts and including tensor product operations and corresponds to “Equiformer", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 507, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 507, + 733 + ], + "score": 1.0, + "content": "with dot product attention and linear message passing” as indicated by Index 3 in Table 6 and 7.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 677, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 504, + 126 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 95 + ], + "score": 1.0, + "content": "Although with minimal modifications to original Transformers, we note that this architecture has not", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "been explored in previous equivariant Transformers and achieves competitive results on QM9 and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "OC20 datasets. Below we discuss the advantages of the architecture, Equiformer with dot product", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 405, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 405, + 128 + ], + "score": 1.0, + "content": "attention and linear message passing, over other equivariant Transformers:", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 131, + 136, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 130, + 136, + 506, + 149 + ], + "spans": [ + { + "bbox": [ + 130, + 136, + 506, + 149 + ], + "score": 1.0, + "content": "1. Simpler. We simply replace original operations with their equivariant counterparts", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 142, + 148, + 505, + 159 + ], + "spans": [ + { + "bbox": [ + 142, + 148, + 505, + 159 + ], + "score": 1.0, + "content": "and include tensor products without making further modifications. In contrast, SE(3)-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 158, + 507, + 171 + ], + "spans": [ + { + "bbox": [ + 141, + 158, + 507, + 171 + ], + "score": 1.0, + "content": "Transformer (Fuchs et al., 2020) merges normalization and activation to form norm nonlin-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 170, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 142, + 170, + 505, + 181 + ], + "score": 1.0, + "content": "earities, which does not exist in original Transformers. We empirically find that the norm", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 180, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 141, + 180, + 505, + 193 + ], + "score": 1.0, + "content": "nonlinearities (Fuchs et al., 2020) leads to higher errors compared to the equivariant layer", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 192, + 240, + 203 + ], + "spans": [ + { + "bbox": [ + 141, + 192, + 240, + 203 + ], + "score": 1.0, + "content": "norm used by our work.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 131, + 207, + 505, + 273 + ], + "lines": [ + { + "bbox": [ + 129, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 129, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "2. More general. SE(3)-Transformer (Fuchs et al., 2020) and our proposed architecture can", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 141, + 217, + 263, + 230 + ], + "score": 1.0, + "content": "support vectors of any degree", + "type": "text" + }, + { + "bbox": [ + 263, + 218, + 271, + 228 + ], + "score": 0.6, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "while other equivariant Transformers (Thölke & Fabritiis,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 228, + 504, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 228, + 288, + 241 + ], + "score": 1.0, + "content": "2022; Le et al., 2022) are limited to", + "type": "text" + }, + { + "bbox": [ + 288, + 229, + 314, + 239 + ], + "score": 0.9, + "content": "L = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 228, + 463, + 241 + ], + "score": 1.0, + "content": "and 1. It has been shown that higher", + "type": "text" + }, + { + "bbox": [ + 464, + 230, + 472, + 239 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 228, + 496, + 241 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 496, + 230, + 504, + 239 + ], + "score": 0.64, + "content": "L", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 141, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "up to 2 and 3) can improve the performance of networks on QM9 (Brandstetter et al., 2022)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 142, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 142, + 250, + 400, + 263 + ], + "score": 1.0, + "content": "and MD17 (Batzner et al., 2022). Thus, the incapability to use", + "type": "text" + }, + { + "bbox": [ + 400, + 252, + 408, + 261 + ], + "score": 0.71, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "higher than 1 can limit", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 142, + 262, + 218, + 274 + ], + "spans": [ + { + "bbox": [ + 142, + 262, + 218, + 274 + ], + "score": 1.0, + "content": "their performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 132, + 277, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 129, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 129, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "3. More efficient tensor products. Compared to SE(3)-Transformer (Fuchs et al., 2020), we", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 289, + 507, + 301 + ], + "spans": [ + { + "bbox": [ + 142, + 289, + 507, + 301 + ], + "score": 1.0, + "content": "use more efficient depth-wise tensor products instead of fully connected tensor products.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 142, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "Since the proposed architecture and SE(3)-Transformer (Fuchs et al., 2020) use relative", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 142, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "distances to parametrize the weights of tensor products, depth-wise tensor products enalbe", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 322, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 506, + 334 + ], + "score": 1.0, + "content": "using more channels without incurring out-of-memory errors. Specifically, for QM9, SE(3)-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 470, + 345 + ], + "score": 1.0, + "content": "Transformer (Fuchs et al., 2020) only uses 16 channels for vectors of each degree", + "type": "text" + }, + { + "bbox": [ + 471, + 333, + 479, + 342 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "while", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "the proposed architecture can use 128, 64, and 32 channels for vectors of degree 0, 1, and 2.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 354, + 504, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 504, + 367 + ], + "score": 1.0, + "content": "Using a very small number of channels can potentially lead to insufficient model capacity.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 430 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "We note that the novelty of the proposed architecture, Equiformer with dot product attention and linear", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "message passing, lies in how we choose the right operations as well as internal representations (i.e.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 192, + 410 + ], + "score": 1.0, + "content": "vectors of any degree", + "type": "text" + }, + { + "bbox": [ + 192, + 398, + 200, + 407 + ], + "score": 0.61, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 397, + 506, + 410 + ], + "score": 1.0, + "content": ") and combine them in an effective manner that achieves the three advantages", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 408, + 504, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 504, + 421 + ], + "score": 1.0, + "content": "mentioned above. We further improve this simple architecture with our proposed equivariant graph", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 418, + 409, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 409, + 433 + ], + "score": 1.0, + "content": "attention, which consists of MLP attention and non-linear message passing.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 444, + 212, + 456 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 214, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 214, + 459 + ], + "score": 1.0, + "content": "B.3 INVARIANT GNNS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "Previous works (Schütt et al., 2017; Xie & Grossman, 2018; Unke & Meuwly, 2019; Gasteiger", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "et al., 2020b;a; Qiao et al., 2020; Liu et al., 2022; Shuaibi et al., 2021; Klicpera et al., 2021) extract", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 501 + ], + "score": 1.0, + "content": "invariant information from 3D atomistic graphs and operate on the resulting invariant graphs. They", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 499, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 505, + 510 + ], + "score": 1.0, + "content": "mainly differ in leveraging different geometric information such as distances, bond angles (3 atom", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "features) or dihedral angles (4 atom features). SchNet (Schütt et al., 2017) uses relative distances", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 521, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 506, + 532 + ], + "score": 1.0, + "content": "and proposes continuous-filter convolutional layers to learn local interaction between atom pairs.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "DimeNet series (Gasteiger et al., 2020b;a) incorporate bond angles by using triplet representations of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 543, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 554 + ], + "score": 1.0, + "content": "atoms. SphereNet (Liu et al., 2022) and GemNet (Klicpera et al., 2021; Gasteiger et al., 2022) further", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 554, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 565 + ], + "score": 1.0, + "content": "extend to consider dihedral angles for better performance. In order to consider directional information", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 565, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 506, + 577 + ], + "score": 1.0, + "content": "contained in angles, they rely on triplet or quadruplet representations of atoms. In addition to being", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "memory-intensive (Sriram et al., 2022), they also change graph structures by introducing higher-order", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 587, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 598 + ], + "score": 1.0, + "content": "interaction terms (Chen et al., 2019), which would require non-trivial modifications to generic GNNs", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "in order to apply them to 3D graphs. In contrast, the proposed Equiformer uses equivariant irreps", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 609, + 505, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 620 + ], + "score": 1.0, + "content": "features to consider directional information without complicating graph structures and therefore can", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 619, + 284, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 284, + 632 + ], + "score": 1.0, + "content": "directly inherit the design of generic GNNs.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 37 + }, + { + "type": "title", + "bbox": [ + 109, + 645, + 272, + 655 + ], + "lines": [ + { + "bbox": [ + 106, + 644, + 274, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 274, + 658 + ], + "score": 1.0, + "content": "B.4 ATTENTION AND TRANSFORMER", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Graph Attention. Graph attention networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022)", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "use multi-layer perceptrons (MLP) to calculate attention weights in a similar manner to message", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 688, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 699 + ], + "score": 1.0, + "content": "passing networks. Subsequent works using graph attention mechanisms follow either GAT-like MLP", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "attention (Busbridge et al., 2019; Kim & Oh, 2021) or Transformer-like dot product attention (Zhang", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "et al., 2018a; Gao & Ji, 2019; Shi et al., 2020; Dwivedi & Bresson, 2020; Kim & Oh, 2021; Kreuzer", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "et al., 2021). In particular, Kim et al. (Kim & Oh, 2021) compares these two types of attention", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 48.5 + } + ], + "page_idx": 20, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 108, + 82, + 504, + 126 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 506, + 95 + ], + "score": 1.0, + "content": "Although with minimal modifications to original Transformers, we note that this architecture has not", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "been explored in previous equivariant Transformers and achieves competitive results on QM9 and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "OC20 datasets. Below we discuss the advantages of the architecture, Equiformer with dot product", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 405, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 405, + 128 + ], + "score": 1.0, + "content": "attention and linear message passing, over other equivariant Transformers:", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 83, + 506, + 128 + ] + }, + { + "type": "text", + "bbox": [ + 131, + 136, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 130, + 136, + 506, + 149 + ], + "spans": [ + { + "bbox": [ + 130, + 136, + 506, + 149 + ], + "score": 1.0, + "content": "1. Simpler. We simply replace original operations with their equivariant counterparts", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 142, + 148, + 505, + 159 + ], + "spans": [ + { + "bbox": [ + 142, + 148, + 505, + 159 + ], + "score": 1.0, + "content": "and include tensor products without making further modifications. In contrast, SE(3)-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 158, + 507, + 171 + ], + "spans": [ + { + "bbox": [ + 141, + 158, + 507, + 171 + ], + "score": 1.0, + "content": "Transformer (Fuchs et al., 2020) merges normalization and activation to form norm nonlin-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 170, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 142, + 170, + 505, + 181 + ], + "score": 1.0, + "content": "earities, which does not exist in original Transformers. We empirically find that the norm", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 180, + 505, + 193 + ], + "spans": [ + { + "bbox": [ + 141, + 180, + 505, + 193 + ], + "score": 1.0, + "content": "nonlinearities (Fuchs et al., 2020) leads to higher errors compared to the equivariant layer", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 192, + 240, + 203 + ], + "spans": [ + { + "bbox": [ + 141, + 192, + 240, + 203 + ], + "score": 1.0, + "content": "norm used by our work.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6.5, + "bbox_fs": [ + 130, + 136, + 507, + 203 + ] + }, + { + "type": "text", + "bbox": [ + 131, + 207, + 505, + 273 + ], + "lines": [ + { + "bbox": [ + 129, + 206, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 129, + 206, + 505, + 219 + ], + "score": 1.0, + "content": "2. More general. SE(3)-Transformer (Fuchs et al., 2020) and our proposed architecture can", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 141, + 217, + 263, + 230 + ], + "score": 1.0, + "content": "support vectors of any degree", + "type": "text" + }, + { + "bbox": [ + 263, + 218, + 271, + 228 + ], + "score": 0.6, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "while other equivariant Transformers (Thölke & Fabritiis,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 228, + 504, + 241 + ], + "spans": [ + { + "bbox": [ + 141, + 228, + 288, + 241 + ], + "score": 1.0, + "content": "2022; Le et al., 2022) are limited to", + "type": "text" + }, + { + "bbox": [ + 288, + 229, + 314, + 239 + ], + "score": 0.9, + "content": "L = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 228, + 463, + 241 + ], + "score": 1.0, + "content": "and 1. It has been shown that higher", + "type": "text" + }, + { + "bbox": [ + 464, + 230, + 472, + 239 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 228, + 496, + 241 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 496, + 230, + 504, + 239 + ], + "score": 0.64, + "content": "L", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 239, + 505, + 252 + ], + "spans": [ + { + "bbox": [ + 141, + 239, + 505, + 252 + ], + "score": 1.0, + "content": "up to 2 and 3) can improve the performance of networks on QM9 (Brandstetter et al., 2022)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 142, + 250, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 142, + 250, + 400, + 263 + ], + "score": 1.0, + "content": "and MD17 (Batzner et al., 2022). Thus, the incapability to use", + "type": "text" + }, + { + "bbox": [ + 400, + 252, + 408, + 261 + ], + "score": 0.71, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 250, + 505, + 263 + ], + "score": 1.0, + "content": "higher than 1 can limit", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 142, + 262, + 218, + 274 + ], + "spans": [ + { + "bbox": [ + 142, + 262, + 218, + 274 + ], + "score": 1.0, + "content": "their performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5, + "bbox_fs": [ + 129, + 206, + 506, + 274 + ] + }, + { + "type": "text", + "bbox": [ + 132, + 277, + 505, + 366 + ], + "lines": [ + { + "bbox": [ + 129, + 277, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 129, + 277, + 505, + 290 + ], + "score": 1.0, + "content": "3. More efficient tensor products. Compared to SE(3)-Transformer (Fuchs et al., 2020), we", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 289, + 507, + 301 + ], + "spans": [ + { + "bbox": [ + 142, + 289, + 507, + 301 + ], + "score": 1.0, + "content": "use more efficient depth-wise tensor products instead of fully connected tensor products.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 142, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 142, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "Since the proposed architecture and SE(3)-Transformer (Fuchs et al., 2020) use relative", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 311, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 142, + 311, + 505, + 322 + ], + "score": 1.0, + "content": "distances to parametrize the weights of tensor products, depth-wise tensor products enalbe", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 322, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 506, + 334 + ], + "score": 1.0, + "content": "using more channels without incurring out-of-memory errors. Specifically, for QM9, SE(3)-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 470, + 345 + ], + "score": 1.0, + "content": "Transformer (Fuchs et al., 2020) only uses 16 channels for vectors of each degree", + "type": "text" + }, + { + "bbox": [ + 471, + 333, + 479, + 342 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "while", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "the proposed architecture can use 128, 64, and 32 channels for vectors of degree 0, 1, and 2.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 354, + 504, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 504, + 367 + ], + "score": 1.0, + "content": "Using a very small number of channels can potentially lead to insufficient model capacity.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5, + "bbox_fs": [ + 129, + 277, + 507, + 367 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 430 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "We note that the novelty of the proposed architecture, Equiformer with dot product attention and linear", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "message passing, lies in how we choose the right operations as well as internal representations (i.e.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 192, + 410 + ], + "score": 1.0, + "content": "vectors of any degree", + "type": "text" + }, + { + "bbox": [ + 192, + 398, + 200, + 407 + ], + "score": 0.61, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 397, + 506, + 410 + ], + "score": 1.0, + "content": ") and combine them in an effective manner that achieves the three advantages", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 408, + 504, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 504, + 421 + ], + "score": 1.0, + "content": "mentioned above. We further improve this simple architecture with our proposed equivariant graph", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 418, + 409, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 409, + 433 + ], + "score": 1.0, + "content": "attention, which consists of MLP attention and non-linear message passing.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 375, + 506, + 433 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 444, + 212, + 456 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 214, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 214, + 459 + ], + "score": 1.0, + "content": "B.3 INVARIANT GNNS", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "Previous works (Schütt et al., 2017; Xie & Grossman, 2018; Unke & Meuwly, 2019; Gasteiger", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "et al., 2020b;a; Qiao et al., 2020; Liu et al., 2022; Shuaibi et al., 2021; Klicpera et al., 2021) extract", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 501 + ], + "score": 1.0, + "content": "invariant information from 3D atomistic graphs and operate on the resulting invariant graphs. They", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 499, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 505, + 510 + ], + "score": 1.0, + "content": "mainly differ in leveraging different geometric information such as distances, bond angles (3 atom", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "features) or dihedral angles (4 atom features). SchNet (Schütt et al., 2017) uses relative distances", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 521, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 506, + 532 + ], + "score": 1.0, + "content": "and proposes continuous-filter convolutional layers to learn local interaction between atom pairs.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "DimeNet series (Gasteiger et al., 2020b;a) incorporate bond angles by using triplet representations of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 543, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 506, + 554 + ], + "score": 1.0, + "content": "atoms. SphereNet (Liu et al., 2022) and GemNet (Klicpera et al., 2021; Gasteiger et al., 2022) further", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 554, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 565 + ], + "score": 1.0, + "content": "extend to consider dihedral angles for better performance. In order to consider directional information", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 565, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 506, + 577 + ], + "score": 1.0, + "content": "contained in angles, they rely on triplet or quadruplet representations of atoms. In addition to being", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "memory-intensive (Sriram et al., 2022), they also change graph structures by introducing higher-order", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 587, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 598 + ], + "score": 1.0, + "content": "interaction terms (Chen et al., 2019), which would require non-trivial modifications to generic GNNs", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "in order to apply them to 3D graphs. In contrast, the proposed Equiformer uses equivariant irreps", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 609, + 505, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 620 + ], + "score": 1.0, + "content": "features to consider directional information without complicating graph structures and therefore can", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 619, + 284, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 284, + 632 + ], + "score": 1.0, + "content": "directly inherit the design of generic GNNs.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 465, + 506, + 632 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 645, + 272, + 655 + ], + "lines": [ + { + "bbox": [ + 106, + 644, + 274, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 274, + 658 + ], + "score": 1.0, + "content": "B.4 ATTENTION AND TRANSFORMER", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "Graph Attention. Graph attention networks (GAT) (Velickovi ˇ c et al. ´ , 2018; Brody et al., 2022)", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "use multi-layer perceptrons (MLP) to calculate attention weights in a similar manner to message", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 688, + 506, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 699 + ], + "score": 1.0, + "content": "passing networks. Subsequent works using graph attention mechanisms follow either GAT-like MLP", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "attention (Busbridge et al., 2019; Kim & Oh, 2021) or Transformer-like dot product attention (Zhang", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "et al., 2018a; Gao & Ji, 2019; Shi et al., 2020; Dwivedi & Bresson, 2020; Kim & Oh, 2021; Kreuzer", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "et al., 2021). In particular, Kim et al. 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We follow the visual-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 217, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 220, + 228 + ], + "score": 1.0, + "content": "ization of tensor products in", + "type": "text" + }, + { + "bbox": [ + 221, + 218, + 246, + 227 + ], + "score": 0.79, + "content": "\\mathsf { e } 3 \\mathsf { n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 217, + 505, + 228 + ], + "score": 1.0, + "content": "(Geiger et al., 2022) and separate paths into three parts based on", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 228, + 505, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 228, + 505, + 240 + ], + "score": 1.0, + "content": "the types of output vectors. We note that one vector in the output irreps feature depends only on one", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 239, + 246, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 246, + 251 + ], + "score": 1.0, + "content": "vector in each input irreps feature.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 273, + 502, + 296 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 287 + ], + "score": 1.0, + "content": "mechanisms empirically under a self-supervised setting. Brody et al. 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A different line of research focuses on adapting standard Transformer net-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 321, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 505, + 333 + ], + "score": 1.0, + "content": "works to graph problems (Dwivedi & Bresson, 2020; Rong et al., 2020; Kreuzer et al., 2021; Ying", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 331, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 343 + ], + "score": 1.0, + "content": "et al., 2021; Shi et al., 2022). They adopt dot product attention in Transformers (Vaswani et al., 2017)", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "and propose different approaches to incorporate graph-related inductive biases into their networks.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "GROVE (Rong et al., 2020) includes additional message passing layers or graph convolutional layers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 364, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 505, + 376 + ], + "score": 1.0, + "content": "to incorporate local graph structures when calculating attention weights. 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To incorporate 3D-related", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "inductive biases, we adopt an equivariant version of Transformers with irreps features and propose", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 431, + 242, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 242, + 442 + ], + "score": 1.0, + "content": "novel equivariant graph attention.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 309, + 506, + 442 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 459, + 273, + 472 + ], + "lines": [ + { + "bbox": [ + 106, + 459, + 275, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 275, + 474 + ], + "score": 1.0, + "content": "C DETAILS OF ARCHITECTURE", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 107, + 485, + 345, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 484, + 347, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 347, + 498 + ], + "score": 1.0, + "content": "C.1 EQUIVARIANT OPERATION USED IN EQUIFORMER", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 506, + 504, + 529 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "We illustrate the equivariant operations used in Equiformer in Fig. 2 and provide an alternative", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 517, + 319, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 517, + 319, + 530 + ], + "score": 1.0, + "content": "visualization of depth-wise tensor products in Fig. 3.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 106, + 506, + 505, + 530 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 534, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "Besides, we analyze how each equivariant operation remains equivariant and satisfies that", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 544, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 107, + 545, + 218, + 557 + ], + "score": 0.9, + "content": "f ( D _ { X } ( g ) x ) = \\bar { D _ { Y } } ( g ) f ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 544, + 249, + 558 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 250, + 546, + 257, + 557 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 544, + 445, + 558 + ], + "score": 1.0, + "content": "is a function mapping between vector spaces", + "type": "text" + }, + { + "bbox": [ + 445, + 546, + 455, + 555 + ], + "score": 0.83, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 544, + 474, + 558 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 474, + 546, + 483, + 555 + ], + "score": 0.8, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 544, + 505, + 558 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 107, + 556, + 424, + 569 + ], + "spans": [ + { + "bbox": [ + 107, + 557, + 136, + 569 + ], + "score": 0.93, + "content": "D _ { X } ( g )", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 556, + 154, + 569 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 155, + 557, + 183, + 569 + ], + "score": 0.9, + "content": "D _ { Y } ( g )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 556, + 364, + 569 + ], + "score": 1.0, + "content": "are transformation matrices parametrized by", + "type": "text" + }, + { + "bbox": [ + 364, + 559, + 371, + 568 + ], + "score": 0.81, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 556, + 381, + 569 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 382, + 557, + 392, + 567 + ], + "score": 0.83, + "content": "X", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 556, + 410, + 569 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 410, + 557, + 419, + 567 + ], + "score": 0.8, + "content": "Y", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 556, + 424, + 569 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 534, + 506, + 569 + ] + }, + { + "type": "text", + "bbox": [ + 129, + 578, + 507, + 733 + ], + "lines": [ + { + "bbox": [ + 129, + 577, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 129, + 577, + 264, + 591 + ], + "score": 1.0, + "content": "1. 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The output dimension of depth-wise tensor products (DTP) are determined by that of input", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 685, + 506, + 697 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 327, + 697 + ], + "score": 1.0, + "content": "irreps features. 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The architecture is adapted from SE(3)-Transformer (Fuchs et al., 2020). The difference", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 415, + 301 + ], + "score": 1.0, + "content": "from multi-layer perceptron attention lies in how we obtain attention weights", + "type": "text" + }, + { + "bbox": [ + 416, + 290, + 429, + 301 + ], + "score": 0.87, + "content": "a _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 288, + 452, + 301 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 452, + 289, + 465, + 300 + ], + "score": 0.88, + "content": "f _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 288, + 505, + 301 + ], + "score": 1.0, + "content": ". 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} ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 559, + 310, + 586 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 310, + 565, + 333, + 577 + ], + "score": 0.92, + "content": "( 0 , e )", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 559, + 510, + 586 + ], + "score": 1.0, + "content": "vectors to obtain non-linear weights and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 141, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 141, + 578, + 291, + 591 + ], + "score": 1.0, + "content": "multiply each pseudo-scalar or type-", + "type": "text" + }, + { + "bbox": [ + 291, + 578, + 316, + 591 + ], + "score": 0.92, + "content": "( L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "vector with corresponding non-linear weights.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 140, + 588, + 503, + 604 + ], + "spans": [ + { + "bbox": [ + 140, + 588, + 370, + 604 + ], + "score": 1.0, + "content": "After the gate activation, the number of channels for type-", + "type": "text" + }, + { + "bbox": [ + 371, + 590, + 393, + 601 + ], + "score": 0.92, + "content": "( 0 , e )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 588, + 478, + 604 + ], + "score": 1.0, + "content": "vectors is reduced to", + "type": "text" + }, + { + "bbox": [ + 478, + 590, + 503, + 603 + ], + "score": 0.92, + "content": "C _ { ( 0 , e ) }", + "type": "inline_equation" + } + ], + "index": 37 + } + ], + "index": 29, + "bbox_fs": [ + 129, + 395, + 510, + 604 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 619, + 339, + 630 + ], + "lines": [ + { + "bbox": [ + 106, + 618, + 340, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 340, + 631 + ], + "score": 1.0, + "content": "C.5 DISCUSSION ON COMPUTATIONAL COMPLEXITY", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 105, + 640, + 469, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 470, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 470, + 654 + ], + "score": 1.0, + "content": "We discuss the computational complexity of the proposed equivariant graph attention here.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 639, + 470, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 657, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 658, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 505, + 670 + ], + "score": 1.0, + "content": "First, we compare dot product attention with MLP attention when linear messages are used for value", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 668, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 107, + 670, + 119, + 681 + ], + "score": 0.81, + "content": "v _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 668, + 460, + 682 + 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Dot product attention requires taking the dot product of two irreps features, query", + "type": "text" + }, + { + "bbox": [ + 461, + 671, + 470, + 680 + ], + "score": 0.84, + "content": "q _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 668, + 506, + 682 + ], + "score": 1.0, + "content": "and key", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 680, + 507, + 693 + ], + "spans": [ + { + "bbox": [ + 107, + 681, + 119, + 692 + ], + "score": 0.87, + "content": "k _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 680, + 253, + 693 + ], + "score": 1.0, + "content": ", for attention weights, and both", + "type": "text" + }, + { + "bbox": [ + 253, + 681, + 262, + 691 + ], + "score": 0.83, + "content": "q _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 680, + 281, + 693 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 281, + 680, + 295, + 692 + ], + "score": 0.89, + "content": "k _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 680, + 438, + 693 + ], + "score": 1.0, + "content": "have the same dimension as value", + "type": "text" + }, + { + "bbox": [ + 439, + 681, + 452, + 692 + ], + "score": 0.88, + "content": "v _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 680, + 507, + 693 + ], + "score": 1.0, + "content": ". In contrast,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 693, + 506, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 266, + 707 + ], + "score": 1.0, + "content": "MLP attention uses only scalar features", + "type": "text" + }, + { + "bbox": [ + 258, + 693, + 291, + 707 + ], + "score": 1.0, + "content": "f (0)ij", + "type": "text" + }, + { + "bbox": [ + 284, + 693, + 506, + 707 + ], + "score": 1.0, + "content": "for attention weights. The dimension of scalar features", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 707, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 107, + 707, + 124, + 723 + ], + "score": 0.91, + "content": "f _ { i j } ^ { ( 0 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 707, + 279, + 724 + ], + "score": 1.0, + "content": "is the same as that of the scalar part of", + "type": "text" + }, + { + "bbox": [ + 279, + 711, + 292, + 722 + ], + "score": 0.85, + "content": "v _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 707, + 507, + 724 + ], + "score": 1.0, + "content": ". Therefore, MLP attention generates less and smaller", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 435, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 435, + 733 + ], + "score": 1.0, + "content": "intermediate features for attention weights and is faster than dot product attention.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 658, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 113, + 81, + 496, + 379 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 113, + 81, + 496, + 379 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 81, + 496, + 379 + ], + "spans": [ + { + "bbox": [ + 113, + 81, + 496, + 379 + ], + "score": 0.98, + "html": "
Hyper-parametersValue or description
OptimizerAdamW
Learning rate scheduling Warmup epochsCosine learning rate with linear warmup 5
Maximum learning rate1.5 × 10-4,5 × 10-4
Batch size64,128
Number of epochs300,600
Weight decay0,5×10-3
Dropout rate0.0,0.1, 0.2
Cutoff radius (A)5
Number of radial bases128 for Gaussian radial basis,8 for radial bessel basis
Hidden sizes of radial functions64
Number of hidden layers in radial functions2
Number of Transformer blocks Embedding dimension dembedEquiformer 6 [(128,0),(64,1),(32,2)]
Spherical harmonics embedding dimension dsh Numberof attention heads h Attention head dimension dhead[(1,0),(1,1),(1,2)] 4 [(32,0),(16,1),(8,2)]
Hidden dimension in feed forward networks dffn Output feature dimension d feature(384,0),(192,1),(96,2)] [(512,0)]
E(3)-Equiformer
6
Number of Transformer blocks
Embedding dimension dembed
[(128,0,e),(32,0,0),(32,1,e),(32,1,0),(16,2,e),(16,2,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0),(1,2,e)]
Number of attention heads h4
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0),(4,2,e),(4,2,0)]
Hidden dimension in feed forward networks df fn
(384,0,e),(96,0,0),(96,1,e),(96,1,0),(48,2,e),(48,2,0)]
Output feature dimension dfeature[(512,0,e)]
", + "type": "table", + "image_path": "03578d6670ec62325bd270b8703e94123f4e5a7faf6fef8c8d3a5bac027459ea.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 113, + 81, + 496, + 180.33333333333331 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 113, + 180.33333333333331, + 496, + 279.66666666666663 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 113, + 279.66666666666663, + 496, + 378.99999999999994 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 107, + 381, + 502, + 406 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 377, + 504, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 377, + 340, + 398 + ], + "score": 1.0, + "content": "Table 8: Hyper-parameters for QM9 dataset. We denote", + "type": "text" + }, + { + "bbox": [ + 340, + 381, + 354, + 393 + ], + "score": 0.87, + "content": "C _ { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 377, + 376, + 398 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 376, + 382, + 384, + 391 + ], + "score": 0.75, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 377, + 427, + 398 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 427, + 381, + 460, + 393 + ], + "score": 0.91, + "content": "( C _ { L } , L )", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 377, + 478, + 398 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 382, + 504, + 394 + ], + "score": 0.89, + "content": "C _ { ( L , p ) }", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 392, + 476, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 127, + 407 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 127, + 393, + 152, + 405 + ], + "score": 0.92, + "content": "( L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 392, + 196, + 407 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 196, + 393, + 250, + 406 + ], + "score": 0.93, + "content": "( C _ { ( L , p ) } , L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 392, + 476, + 407 + ], + "score": 1.0, + "content": "and use brackets to represent concatenations of vectors.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 433, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "Second, compared to linear messages, using non-linear messages increases the number of tensor", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "product operations from 1 to 2. Since tensor products are compute-intensive, this inevitably increases", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 456, + 218, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 218, + 467 + ], + "score": 1.0, + "content": "training and inference time.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 471, + 487, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 470, + 488, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 488, + 485 + ], + "score": 1.0, + "content": "Please refer to Sec. D.1 and Sec. F.2 for the exact numbers of training time on QM9 and OC20.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 107, + 506, + 315, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 316, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 316, + 522 + ], + "score": 1.0, + "content": "D DETAILS OF EXPERIMENTS ON QM9", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 217, + 548 + ], + "lines": [ + { + "bbox": [ + 106, + 536, + 218, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 218, + 549 + ], + "score": 1.0, + "content": "D.1 TRAINING DETAILS", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 604 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 493, + 572 + ], + "score": 1.0, + "content": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For the task of", + "type": "text" + }, + { + "bbox": [ + 493, + 561, + 502, + 570 + ], + "score": 0.79, + "content": "U", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 560, + 506, + 572 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 132, + 583 + ], + "score": 0.27, + "content": "U _ { 0 } , G", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 571, + 152, + 583 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 153, + 572, + 163, + 581 + ], + "score": 0.78, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 571, + 505, + 583 + ], + "score": 1.0, + "content": ", where single-atom reference values are available, we subtract those reference values", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 581, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 595 + ], + "score": 1.0, + "content": "from ground truth. For other tasks, we normalize ground truth by subtracting mean and dividing by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 594, + 184, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 184, + 604 + ], + "score": 1.0, + "content": "standard deviation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 506, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 269, + 623 + ], + "score": 1.0, + "content": "We train Equiformer with 6 blocks with", + "type": "text" + }, + { + "bbox": [ + 269, + 610, + 312, + 621 + ], + "score": 0.91, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 609, + 506, + 623 + ], + "score": 1.0, + "content": ". We choose Gaussian radial basis (Schütt et al.,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 621, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 505, + 632 + ], + "score": 1.0, + "content": "2017; Shuaibi et al., 2021; Klicpera et al., 2021; Shi et al., 2022) for the first six tasks in Table 1", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "and radial Bessel basis (Gasteiger et al., 2020b;a) for the others. 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Table 8 summarizes", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "the hyper-parameters for the QM9 dataset. The detailed description of architectural hyper-parameters", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 719, + 209, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 209, + 732 + ], + "score": 1.0, + "content": "can be found in Sec. 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Hyper-parametersValue or description
OptimizerAdamW
Learning rate scheduling Warmup epochsCosine learning rate with linear warmup 5
Maximum learning rate1.5 × 10-4,5 × 10-4
Batch size64,128
Number of epochs300,600
Weight decay0,5×10-3
Dropout rate0.0,0.1, 0.2
Cutoff radius (A)5
Number of radial bases128 for Gaussian radial basis,8 for radial bessel basis
Hidden sizes of radial functions64
Number of hidden layers in radial functions2
Number of Transformer blocks Embedding dimension dembedEquiformer 6 [(128,0),(64,1),(32,2)]
Spherical harmonics embedding dimension dsh Numberof attention heads h Attention head dimension dhead[(1,0),(1,1),(1,2)] 4 [(32,0),(16,1),(8,2)]
Hidden dimension in feed forward networks dffn Output feature dimension d feature(384,0),(192,1),(96,2)] [(512,0)]
E(3)-Equiformer
6
Number of Transformer blocks
Embedding dimension dembed
[(128,0,e),(32,0,0),(32,1,e),(32,1,0),(16,2,e),(16,2,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0),(1,2,e)]
Number of attention heads h4
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0),(4,2,e),(4,2,0)]
Hidden dimension in feed forward networks df fn
(384,0,e),(96,0,0),(96,1,e),(96,1,0),(48,2,e),(48,2,0)]
Output feature dimension dfeature[(512,0,e)]
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We denote", + "type": "text" + }, + { + "bbox": [ + 340, + 381, + 354, + 393 + ], + "score": 0.87, + "content": "C _ { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 377, + 376, + 398 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 376, + 382, + 384, + 391 + ], + "score": 0.75, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 377, + 427, + 398 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 427, + 381, + 460, + 393 + ], + "score": 0.91, + "content": "( C _ { L } , L )", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 377, + 478, + 398 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 382, + 504, + 394 + ], + "score": 0.89, + "content": "C _ { ( L , p ) }", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 392, + 476, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 127, + 407 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 127, + 393, + 152, + 405 + ], + "score": 0.92, + "content": "( L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 392, + 196, + 407 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 196, + 393, + 250, + 406 + ], + "score": 0.93, + "content": "( C _ { ( L , p ) } , L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 392, + 476, + 407 + ], + "score": 1.0, + "content": "and use brackets to represent concatenations of vectors.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 433, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "Second, compared to linear messages, using non-linear messages increases the number of tensor", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 457 + ], + "score": 1.0, + "content": "product operations from 1 to 2. Since tensor products are compute-intensive, this inevitably increases", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 456, + 218, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 218, + 467 + ], + "score": 1.0, + "content": "training and inference time.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 432, + 506, + 467 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 471, + 487, + 483 + ], + "lines": [ + { + "bbox": [ + 105, + 470, + 488, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 488, + 485 + ], + "score": 1.0, + "content": "Please refer to Sec. D.1 and Sec. F.2 for the exact numbers of training time on QM9 and OC20.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 470, + 488, + 485 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 506, + 315, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 316, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 316, + 522 + ], + "score": 1.0, + "content": "D DETAILS OF EXPERIMENTS ON QM9", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 108, + 536, + 217, + 548 + ], + "lines": [ + { + "bbox": [ + 106, + 536, + 218, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 218, + 549 + ], + "score": 1.0, + "content": "D.1 TRAINING DETAILS", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 604 + ], + "lines": [ + { + "bbox": [ + 106, + 560, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 493, + 572 + ], + "score": 1.0, + "content": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For the task of", + "type": "text" + }, + { + "bbox": [ + 493, + 561, + 502, + 570 + ], + "score": 0.79, + "content": "U", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 560, + 506, + 572 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 132, + 583 + ], + "score": 0.27, + "content": "U _ { 0 } , G", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 571, + 152, + 583 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 153, + 572, + 163, + 581 + ], + "score": 0.78, + "content": "H", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 571, + 505, + 583 + ], + "score": 1.0, + "content": ", where single-atom reference values are available, we subtract those reference values", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 581, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 595 + ], + "score": 1.0, + "content": "from ground truth. For other tasks, we normalize ground truth by subtracting mean and dividing by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 594, + 184, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 184, + 604 + ], + "score": 1.0, + "content": "standard deviation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 560, + 506, + 604 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 506, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 269, + 623 + ], + "score": 1.0, + "content": "We train Equiformer with 6 blocks with", + "type": "text" + }, + { + "bbox": [ + 269, + 610, + 312, + 621 + ], + "score": 0.91, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 609, + 506, + 623 + ], + "score": 1.0, + "content": ". We choose Gaussian radial basis (Schütt et al.,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 621, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 505, + 632 + ], + "score": 1.0, + "content": "2017; Shuaibi et al., 2021; Klicpera et al., 2021; Shi et al., 2022) for the first six tasks in Table 1", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 631, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 644 + ], + "score": 1.0, + "content": "and radial Bessel basis (Gasteiger et al., 2020b;a) for the others. 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MethodsTask Unitsα 品△ meVεHOMO meVεLUMO meVμ DCv cal/mol KTraining time (minutes/epoch)Number of parameters
Equiformer.046301514.011.02312.13.53M
E(3)-Equiformer.045301514.012.02316.33.28M
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Including", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 295, + 268, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 268, + 308 + ], + "score": 1.0, + "content": "inversion achieves similar performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 326, + 417, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 419, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 419, + 340 + ], + "score": 1.0, + "content": "D.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 108, + 348, + 505, + 381 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 507, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 507, + 361 + ], + "score": 1.0, + "content": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022),", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 359, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 506, + 371 + ], + "score": 1.0, + "content": "TorchMD-NET (Thölke & Fabritiis, 2022) and Equiformer and summarize the results in Table 10.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 369, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 504, + 383 + ], + "score": 1.0, + "content": "Training Equiformer for 300 epochs and for 600 epochs takes 61 and 122 GPU-hours, respectively.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 387, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 318, + 399 + ], + "score": 1.0, + "content": "Compared to SEGNN, which is written with the same", + "type": "text" + }, + { + "bbox": [ + 319, + 388, + 344, + 398 + ], + "score": 0.54, + "content": "\\mathsf { e } 3 \\mathsf { n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "library (Geiger et al., 2022), Equiformer", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "score": 1.0, + "content": "with MLP attention and non-linear message is faster. Although Equiformer has more channels and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "more parameters, the training time is comparable. The reasons are as follows. Equiformer uses more", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "score": 1.0, + "content": "efficient depth-wise tensor products (DTP), where one output channel depends on only one input", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "score": 1.0, + "content": "channel. 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Moreover, Equiformer incorporates tensors of higher degrees (e.g.,", + "type": "text" + }, + { + "bbox": [ + 456, + 514, + 500, + 525 + ], + "score": 0.9, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 524, + 340, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 340, + 538 + ], + "score": 1.0, + "content": "which improves performance but slows down the training.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 555, + 320, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 321, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 321, + 569 + ], + "score": 1.0, + "content": "E DETAILS OF EXPERIMENTS ON MD17", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 108, + 582, + 216, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 580, + 218, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 218, + 595 + ], + "score": 1.0, + "content": "E.1 TRAINING DETAILS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 604, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 603, + 507, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 507, + 617 + ], + "score": 1.0, + "content": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For energy prediction,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "we normalize ground truth by subtracting mean and dividing by standard deviation. For force", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 491, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 491, + 640 + ], + "score": 1.0, + "content": "prediction, we normalize ground truth by dividing by standard deviation of ground truth energy.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 642, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 262, + 656 + ], + "score": 1.0, + "content": "We train Equiformer with 6 blocks with", + "type": "text" + }, + { + "bbox": [ + 263, + 644, + 305, + 654 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 642, + 505, + 656 + ], + "score": 1.0, + "content": "and 3. We choose the radial basis function used by", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 653, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 424, + 666 + ], + "score": 1.0, + "content": "PhysNet (Unke & Meuwly, 2019). We do not apply dropout to attention weights", + "type": "text" + }, + { + "bbox": [ + 424, + 655, + 437, + 666 + ], + "score": 0.87, + "content": "a _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 653, + 506, + 666 + ], + "score": 1.0, + "content": ". For Equiformer", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 126, + 678 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 126, + 666, + 169, + 677 + ], + "score": 0.91, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 664, + 248, + 678 + ], + "score": 1.0, + "content": ", the learning rate is", + "type": "text" + }, + { + "bbox": [ + 248, + 665, + 286, + 676 + ], + "score": 0.92, + "content": "1 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 664, + 362, + 678 + ], + "score": 1.0, + "content": "for benzene and is", + "type": "text" + }, + { + "bbox": [ + 362, + 665, + 401, + 676 + ], + "score": 0.91, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 664, + 505, + 678 + ], + "score": 1.0, + "content": "for others. The batch size", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 504, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 504, + 688 + ], + "score": 1.0, + "content": "is 8, and the number of epochs is 1500. The model has about 3.50M parameters. For Equiformer with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 686, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 149, + 699 + ], + "score": 0.92, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 686, + 228, + 700 + ], + "score": 1.0, + "content": ", the learning rate is", + "type": "text" + }, + { + "bbox": [ + 229, + 687, + 268, + 698 + ], + "score": 0.92, + "content": "1 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 686, + 343, + 700 + ], + "score": 1.0, + "content": "for benzene and is", + "type": "text" + }, + { + "bbox": [ + 344, + 687, + 383, + 698 + ], + "score": 0.92, + "content": "2 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 686, + 507, + 700 + ], + "score": 1.0, + "content": "for others. The batch size is 5,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "and the number of epochs is 2000. The model has about 5.50M parameters. Table 11 summarizes the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "hyper-parameters for the MD17 dataset. The detailed description of architectural hyper-parameters", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 721, + 209, + 731 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 209, + 731 + ], + "score": 1.0, + "content": "can be found in Sec. 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Training", + "type": "text" + }, + { + "bbox": [ + 282, + 93, + 304, + 106 + ], + "score": 0.88, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "-Equiformer in Table 9 for one epoch takes about", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 506, + 117 + ], + "score": 1.0, + "content": "16.3 minutes. The time of training Equiformer, Equiformer with linear messages (indicated by Index", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "2 in Table 6), and Equiformer with linear messages and dot product attention (indicated by Index 3 in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 434, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 434, + 140 + ], + "score": 1.0, + "content": "Table 6) for one epoch is 12.1 minutes, 7.2 minutes and 7.8 minutes, respectively.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 82, + 506, + 140 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 154, + 379, + 166 + ], + "lines": [ + { + "bbox": [ + 105, + 153, + 380, + 168 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 237, + 168 + ], + "score": 1.0, + "content": "D.2 COMPARISON BETWEEN", + "type": "text" + }, + { + "bbox": [ + 237, + 154, + 265, + 167 + ], + "score": 0.88, + "content": "S E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 153, + 288, + 168 + ], + "score": 1.0, + "content": "AND", + "type": "text" + }, + { + "bbox": [ + 288, + 154, + 309, + 167 + ], + "score": 0.87, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 153, + 380, + 168 + ], + "score": 1.0, + "content": "EQUIVARIANCE", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 176, + 506, + 221 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 507, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 295, + 188 + ], + "score": 1.0, + "content": "We train two versions of Equiformers, one with", + "type": "text" + }, + { + "bbox": [ + 295, + 176, + 324, + 188 + ], + "score": 0.91, + "content": "S E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 175, + 507, + 188 + ], + "score": 1.0, + "content": "-equivariant features denoted as “Equiformer”", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 187, + 506, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 181, + 200 + ], + "score": 1.0, + "content": "and the other with", + "type": "text" + }, + { + "bbox": [ + 181, + 187, + 203, + 199 + ], + "score": 0.89, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 187, + 335, + 200 + ], + "score": 1.0, + "content": "-equivariant features denoted as “", + "type": "text" + }, + { + "bbox": [ + 335, + 187, + 357, + 199 + ], + "score": 0.85, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 187, + 506, + 200 + ], + "score": 1.0, + "content": "-Equiformer”, and we compare them", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 210 + ], + "score": 1.0, + "content": "in Table 9. As for Table 1, we compare “Equiformer” with other works since most of them do not", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 209, + 243, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 243, + 221 + ], + "score": 1.0, + "content": "include equivariance to inversion.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 175, + 507, + 221 + ] + }, + { + "type": "table", + "bbox": [ + 155, + 234, + 453, + 272 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 155, + 234, + 453, + 272 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 156, + 234, + 450, + 272 + ], + "spans": [ + { + "bbox": [ + 156, + 234, + 450, + 272 + ], + "score": 0.968, + "html": "
MethodsTask Unitsα 品△ meVεHOMO meVεLUMO meVμ DCv cal/mol KTraining time (minutes/epoch)Number of parameters
Equiformer.046301514.011.02312.13.53M
E(3)-Equiformer.045301514.012.02316.33.28M
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Including", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 295, + 268, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 268, + 308 + ], + "score": 1.0, + "content": "inversion achieves similar performance.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "title", + "bbox": [ + 107, + 326, + 417, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 419, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 419, + 340 + ], + "score": 1.0, + "content": "D.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 108, + 348, + 505, + 381 + ], + "lines": [ + { + "bbox": [ + 106, + 347, + 507, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 507, + 361 + ], + "score": 1.0, + "content": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022),", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 359, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 506, + 371 + ], + "score": 1.0, + "content": "TorchMD-NET (Thölke & Fabritiis, 2022) and Equiformer and summarize the results in Table 10.", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 369, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 504, + 383 + ], + "score": 1.0, + "content": "Training Equiformer for 300 epochs and for 600 epochs takes 61 and 122 GPU-hours, respectively.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18, + "bbox_fs": [ + 106, + 347, + 507, + 383 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 387, + 505, + 464 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 318, + 399 + ], + "score": 1.0, + "content": "Compared to SEGNN, which is written with the same", + "type": "text" + }, + { + "bbox": [ + 319, + 388, + 344, + 398 + ], + "score": 0.54, + "content": "\\mathsf { e } 3 \\mathsf { n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "library (Geiger et al., 2022), Equiformer", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 411 + ], + "score": 1.0, + "content": "with MLP attention and non-linear message is faster. Although Equiformer has more channels and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "more parameters, the training time is comparable. The reasons are as follows. Equiformer uses more", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "score": 1.0, + "content": "efficient depth-wise tensor products (DTP), where one output channel depends on only one input", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 444 + ], + "score": 1.0, + "content": "channel. SEGNN uses more compute-intensive fully connected tensor products (FCTP), where one", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 441, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 456 + ], + "score": 1.0, + "content": "output channel depends on all input channels. Besides, SEGNN uses 4 FCTPs in each message", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 453, + 367, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 367, + 465 + ], + "score": 1.0, + "content": "passing block while Equiformer uses only 2 DTPs in each block.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 387, + 505, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 469, + 505, + 536 + ], + "lines": [ + { + "bbox": [ + 106, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "Compared to TorchMD-NET, which is trained for 3000 epochs, Equiformer achieves competitve", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "score": 1.0, + "content": "results after trained for 300 or 600 epochs. Equiformer takes more time for each epoch since", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "Equiformer uses more expressive non-linear messages, which compared to linear messages used in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 515 + ], + "score": 1.0, + "content": "other equivariant Transformers, doubles the number of tensor products and therefore almost doubles", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 456, + 527 + ], + "score": 1.0, + "content": "the training time. Moreover, Equiformer incorporates tensors of higher degrees (e.g.,", + "type": "text" + }, + { + "bbox": [ + 456, + 514, + 500, + 525 + ], + "score": 0.9, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 500, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "),", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 524, + 340, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 340, + 538 + ], + "score": 1.0, + "content": "which improves performance but slows down the training.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 469, + 506, + 538 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 555, + 320, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 321, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 321, + 569 + ], + "score": 1.0, + "content": "E DETAILS OF EXPERIMENTS ON MD17", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "title", + "bbox": [ + 108, + 582, + 216, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 580, + 218, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 218, + 595 + ], + "score": 1.0, + "content": "E.1 TRAINING DETAILS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 604, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 603, + 507, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 507, + 617 + ], + "score": 1.0, + "content": "We use the same data partition as TorchMD-NET (Thölke & Fabritiis, 2022). For energy prediction,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 615, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 505, + 627 + ], + "score": 1.0, + "content": "we normalize ground truth by subtracting mean and dividing by standard deviation. For force", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 625, + 491, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 491, + 640 + ], + "score": 1.0, + "content": "prediction, we normalize ground truth by dividing by standard deviation of ground truth energy.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 603, + 507, + 640 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 642, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 262, + 656 + ], + "score": 1.0, + "content": "We train Equiformer with 6 blocks with", + "type": "text" + }, + { + "bbox": [ + 263, + 644, + 305, + 654 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 642, + 505, + 656 + ], + "score": 1.0, + "content": "and 3. We choose the radial basis function used by", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 653, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 424, + 666 + ], + "score": 1.0, + "content": "PhysNet (Unke & Meuwly, 2019). We do not apply dropout to attention weights", + "type": "text" + }, + { + "bbox": [ + 424, + 655, + 437, + 666 + ], + "score": 0.87, + "content": "a _ { i j }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 653, + 506, + 666 + ], + "score": 1.0, + "content": ". For Equiformer", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 126, + 678 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 126, + 666, + 169, + 677 + ], + "score": 0.91, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 664, + 248, + 678 + ], + "score": 1.0, + "content": ", the learning rate is", + "type": "text" + }, + { + "bbox": [ + 248, + 665, + 286, + 676 + ], + "score": 0.92, + "content": "1 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 664, + 362, + 678 + ], + "score": 1.0, + "content": "for benzene and is", + "type": "text" + }, + { + "bbox": [ + 362, + 665, + 401, + 676 + ], + "score": 0.91, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 664, + 505, + 678 + ], + "score": 1.0, + "content": "for others. The batch size", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 504, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 504, + 688 + ], + "score": 1.0, + "content": "is 8, and the number of epochs is 1500. The model has about 3.50M parameters. For Equiformer with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 686, + 507, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 149, + 699 + ], + "score": 0.92, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 686, + 228, + 700 + ], + "score": 1.0, + "content": ", the learning rate is", + "type": "text" + }, + { + "bbox": [ + 229, + 687, + 268, + 698 + ], + "score": 0.92, + "content": "1 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 686, + 343, + 700 + ], + "score": 1.0, + "content": "for benzene and is", + "type": "text" + }, + { + "bbox": [ + 344, + 687, + 383, + 698 + ], + "score": 0.92, + "content": "2 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 686, + 507, + 700 + ], + "score": 1.0, + "content": "for others. The batch size is 5,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "and the number of epochs is 2000. The model has about 5.50M parameters. Table 11 summarizes the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "hyper-parameters for the MD17 dataset. The detailed description of architectural hyper-parameters", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 721, + 209, + 731 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 209, + 731 + ], + "score": 1.0, + "content": "can be found in Sec. 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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)1.03M81
TorchMD-NET(Tholke&Fabritis,2022)6.86M92
Equiformer3.53M61
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs10 1 × 10-4,2 × 10-4,5× 10-4
Maximum learning rate Batch size5,8
Number of epochs1500,2000
1×10-6
Weight decay Dropout rate0.0
Weight for energy loss Weight for force loss1 80
Cutoff radius (A)5
Number of radial bases32
Hidden sizes of radial functions64 2
Number of hidden layers in radial functions Equiformer (Lmax = 2)
Embedding dimension dembed Spherical harmonics embedding dimension d sh Number of attention heads h 4 Attention head dimension dhead Hidden dimension in feed forward networks d f fn[(128,0),(64,1),(32,2)] [(1,0),(1,1),(1,2)] [(32,0),(16,1),(8,2)] [(384,0),(192,1),(96,2)]
Output feature dimension dfeature Equiformer (Lmax = 3)
[(512,0)]
Number of Transformer blocks6
Embedding dimension dembed[(128,0),(64,1),(64,2),(32,3)]
Spherical harmonics embedding dimension d sh[(1,0),(1,1),(1,2),(1,3)]
Number of attention heads h4
Attention head dimension dhead[(32,0),(16,1),(16,2),(8,3)]
Hidden dimension in feed forward networks dffn(384,0),(192,1),(192,2),(96,3)]
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We denote", + "type": "text" + }, + { + "bbox": [ + 362, + 469, + 376, + 480 + ], + "score": 0.86, + "content": "C _ { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 467, + 399, + 481 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 400, + 469, + 407, + 479 + ], + "score": 0.76, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 467, + 453, + 481 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 453, + 469, + 486, + 481 + ], + "score": 0.92, + "content": "( C _ { L } , L )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 467, + 505, + 481 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 478, + 504, + 493 + ], + "spans": [ + { + "bbox": [ + 107, + 480, + 133, + 493 + ], + "score": 0.91, + "content": "C _ { ( L , p ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 478, + 155, + 493 + ], + "score": 1.0, + "content": "type-", + "type": "text" + }, + { + "bbox": [ + 156, + 480, + 180, + 492 + ], + "score": 0.92, + "content": "( L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 478, + 224, + 493 + ], + "score": 1.0, + "content": "vectors as", + "type": "text" + }, + { + "bbox": [ + 225, + 479, + 279, + 492 + ], + "score": 0.94, + "content": "( C _ { ( L , p ) } , L , p )", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 478, + 504, + 493 + ], + "score": 1.0, + "content": "and use brackets to represent concatenations of vectors.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 106, + 514, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "We use one A5000 GPU with 24GB to train different models for each molecule. Training Equiformer", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 524, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 127, + 539 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 526, + 171, + 537 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 524, + 391, + 539 + ], + "score": 1.0, + "content": "takes about 15.4 hours, and training Equiformer with", + "type": "text" + }, + { + "bbox": [ + 392, + 526, + 435, + 537 + ], + "score": 0.91, + "content": "L _ { m a x } = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 524, + 506, + 539 + ], + "score": 1.0, + "content": "takes about 54.4", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 536, + 135, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 135, + 549 + ], + "score": 1.0, + "content": "hours.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10 + }, + { + "type": "title", + "bbox": [ + 107, + 563, + 337, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 562, + 339, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 339, + 577 + ], + "score": 1.0, + "content": "E.2 ADDITIONAL COMPARISON TO TORCHMD-NET", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 584, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 106, + 585, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 506, + 596 + ], + "score": 1.0, + "content": "Since TorchMD-NET (Thölke & Fabritiis, 2022) is also an equivariant Transformer but uses dot prod-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "uct attention instead of the proposed equivariant graph attention, we provide additional comparisons", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "in Table 12. For each molecule, we adjust the ratio of the weight for force loss to the weight for", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 618, + 504, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 251, + 631 + ], + "score": 1.0, + "content": "energy loss so that Equiformer with", + "type": "text" + }, + { + "bbox": [ + 252, + 618, + 294, + 629 + ], + "score": 0.92, + "content": "L _ { m a x } = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 618, + 504, + 631 + ], + "score": 1.0, + "content": "can achieve lower MAE for both energy and forces.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 108, + 644, + 416, + 656 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 419, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 419, + 657 + ], + "score": 1.0, + "content": "E.3 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 666, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 505, + 678 + ], + "score": 1.0, + "content": "We compare training time and number of parameters between NequIP (Batzner et al., 2022) and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "Equiformer and summarize the results in Table 13. Since NequIP does not report the number of", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "epochs, we compare the time spent for each epoch and note that NequIP is trained for more than", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 698, + 504, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 230, + 713 + ], + "score": 1.0, + "content": "1000 epochs. 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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)1.03M81
TorchMD-NET(Tholke&Fabritis,2022)6.86M92
Equiformer3.53M61
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs10 1 × 10-4,2 × 10-4,5× 10-4
Maximum learning rate Batch size5,8
Number of epochs1500,2000
1×10-6
Weight decay Dropout rate0.0
Weight for energy loss Weight for force loss1 80
Cutoff radius (A)5
Number of radial bases32
Hidden sizes of radial functions64 2
Number of hidden layers in radial functions Equiformer (Lmax = 2)
Embedding dimension dembed Spherical harmonics embedding dimension d sh Number of attention heads h 4 Attention head dimension dhead Hidden dimension in feed forward networks d f fn[(128,0),(64,1),(32,2)] [(1,0),(1,1),(1,2)] [(32,0),(16,1),(8,2)] [(384,0),(192,1),(96,2)]
Output feature dimension dfeature Equiformer (Lmax = 3)
[(512,0)]
Number of Transformer blocks6
Embedding dimension dembed[(128,0),(64,1),(64,2),(32,3)]
Spherical harmonics embedding dimension d sh[(1,0),(1,1),(1,2),(1,3)]
Number of attention heads h4
Attention head dimension dhead[(32,0),(16,1),(16,2),(8,3)]
Hidden dimension in feed forward networks dffn(384,0),(192,1),(192,2),(96,3)]
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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
TorchMD-NET5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.14.1
Equiformer (Lmax = 2)5.37.22.26.62.23.13.35.83.72.14.05.33.22.44.23.7
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MethodsNumber of parametersTraining time (secs/epoch)
NequIP(Lmax =3)(Batzner et al.,2022)2.97M48.7
Equiformer (Lmax =2)3.50M36.9
Equiformer (Lmax =3)5.50M98.0
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The positions of atoms", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "are updated with forces calculated by density function theory until the system is stable and becomes", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "score": 1.0, + "content": "relaxed structure (RS). The energy of RS, or relaxed energy (RE), is correlated with catalyst activity", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 413, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 426 + ], + "score": 1.0, + "content": "and therefore a metric for understanding their interaction. We focus on the task of initial structure to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 424, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 438 + ], + "score": 1.0, + "content": "relaxed energy (IS2RE), which predicts relaxed energy (RE) given an initial structure (IS). There are", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 435, + 442, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 442, + 449 + ], + "score": 1.0, + "content": "460k, 100k and 100k structures in training, validation, and testing sets, respectively.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 461, + 214, + 472 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 217, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 217, + 474 + ], + "score": 1.0, + "content": "F.2 TRAINING DETAILS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 482, + 504, + 526 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "IS2RE without Node-Level Auxiliary Task. We use hyper-parameters similar to those for QM9", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 493, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 505 + ], + "score": 1.0, + "content": "dataset and summarize in Table 14. For ablation study in Sec. 5.4, we use a smaller learning rate", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 149, + 515 + ], + "score": 0.91, + "content": "1 . 5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "for DP attention as this improves the performance. The detailed description of architectural", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 515, + 281, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 281, + 526 + ], + "score": 1.0, + "content": "hyper-parameters can be found in Sec. C.2.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "IS2RE with IS2RS Node-Level Auxiliary Task. We increase the number of Transformer blocks to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "score": 1.0, + "content": "18 as deeper networks can benefit more from IS2RS node-level auxiliary task (Godwin et al., 2022).", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "We follow the same hyper-parameters in Table 14 except that we increase maximum learning rate to", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 570, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 143, + 583 + ], + "score": 0.91, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 570, + 173, + 587 + ], + "score": 1.0, + "content": "and set", + "type": "text" + }, + { + "bbox": [ + 173, + 573, + 208, + 584 + ], + "score": 0.89, + "content": "d _ { f e a t u r e }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 570, + 220, + 587 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 220, + 572, + 255, + 584 + ], + "score": 0.28, + "content": "[ ( 5 1 2 , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 570, + 506, + 587 + ], + "score": 1.0, + "content": ", (256, 1)]. Inspired by Graphormer (Shi et al., 2022), we add an", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "extra equivariant graph attention module after the last layer normalization to predict relaxed structures", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "and use a linearly decayed weight for loss associated with IS2RS, which starts at 15 and decays to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "1. For Noisy Nodes (Godwin et al., 2022) data augmentation, we first interpolate between initial", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "structure and relaxed structure and then add Gaussian noise as described by Noisy Nodes (Godwin", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "et al., 2022). When Noisy Nodes data augmentation is used, we increase the number of epochs to 40.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "score": 1.0, + "content": "We use two A6000 GPUs, each with 48GB, to train models when IS2RS is not included during", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 655, + 507, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 249, + 667 + ], + "score": 1.0, + "content": "training. Training Equiformer and", + "type": "text" + }, + { + "bbox": [ + 249, + 655, + 271, + 667 + ], + "score": 0.91, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 655, + 507, + 667 + ], + "score": 1.0, + "content": "-Equiformer in Table 16 takes about 43.6 and 58.3 hours.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "Training Equiformer with linear messages (indicated by Index 2 in Table 7) and Equiformer with linear", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "messages and dot product attention (indicated by Index 3 in Table 7) takes 30.4 hours and 33.1 hours,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "respectively. We use four A6000 GPUs to train Equiformer models when IS2RS node-level auxiliary", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "task is adopted during training. Training Equiformer without Noisy Nodes data augmentation takes", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "about 3 days and training with Noisy Nodes takes 6 days. We note that the proposed Equiformer", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "in Table 5 achieves competitive results even with much less computation. 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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
TorchMD-NET5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.14.1
Equiformer (Lmax = 2)5.37.22.26.62.23.13.35.83.72.14.05.33.22.44.23.7
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MethodsNumber of parametersTraining time (secs/epoch)
NequIP(Lmax =3)(Batzner et al.,2022)2.97M48.7
Equiformer (Lmax =2)3.50M36.9
Equiformer (Lmax =3)5.50M98.0
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The positions of atoms", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "are updated with forces calculated by density function theory until the system is stable and becomes", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 416 + ], + "score": 1.0, + "content": "relaxed structure (RS). The energy of RS, or relaxed energy (RE), is correlated with catalyst activity", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 413, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 426 + ], + "score": 1.0, + "content": "and therefore a metric for understanding their interaction. We focus on the task of initial structure to", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 424, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 438 + ], + "score": 1.0, + "content": "relaxed energy (IS2RE), which predicts relaxed energy (RE) given an initial structure (IS). There are", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 435, + 442, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 442, + 449 + ], + "score": 1.0, + "content": "460k, 100k and 100k structures in training, validation, and testing sets, respectively.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 337, + 506, + 449 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 461, + 214, + 472 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 217, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 217, + 474 + ], + "score": 1.0, + "content": "F.2 TRAINING DETAILS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 482, + 504, + 526 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 506, + 494 + ], + "score": 1.0, + "content": "IS2RE without Node-Level Auxiliary Task. We use hyper-parameters similar to those for QM9", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 493, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 505 + ], + "score": 1.0, + "content": "dataset and summarize in Table 14. For ablation study in Sec. 5.4, we use a smaller learning rate", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 149, + 515 + ], + "score": 0.91, + "content": "1 . 5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "for DP attention as this improves the performance. The detailed description of architectural", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 515, + 281, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 281, + 526 + ], + "score": 1.0, + "content": "hyper-parameters can be found in Sec. C.2.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 480, + 506, + 526 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 505, + 551 + ], + "score": 1.0, + "content": "IS2RE with IS2RS Node-Level Auxiliary Task. We increase the number of Transformer blocks to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 561 + ], + "score": 1.0, + "content": "18 as deeper networks can benefit more from IS2RS node-level auxiliary task (Godwin et al., 2022).", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "We follow the same hyper-parameters in Table 14 except that we increase maximum learning rate to", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 570, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 572, + 143, + 583 + ], + "score": 0.91, + "content": "5 \\times 1 0 ^ { - 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 570, + 173, + 587 + ], + "score": 1.0, + "content": "and set", + "type": "text" + }, + { + "bbox": [ + 173, + 573, + 208, + 584 + ], + "score": 0.89, + "content": "d _ { f e a t u r e }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 570, + 220, + 587 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 220, + 572, + 255, + 584 + ], + "score": 0.28, + "content": "[ ( 5 1 2 , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 570, + 506, + 587 + ], + "score": 1.0, + "content": ", (256, 1)]. Inspired by Graphormer (Shi et al., 2022), we add an", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "extra equivariant graph attention module after the last layer normalization to predict relaxed structures", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "and use a linearly decayed weight for loss associated with IS2RS, which starts at 15 and decays to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "1. For Noisy Nodes (Godwin et al., 2022) data augmentation, we first interpolate between initial", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 628 + ], + "score": 1.0, + "content": "structure and relaxed structure and then add Gaussian noise as described by Noisy Nodes (Godwin", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 640 + ], + "score": 1.0, + "content": "et al., 2022). When Noisy Nodes data augmentation is used, we increase the number of epochs to 40.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 540, + 506, + 640 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 657 + ], + "score": 1.0, + "content": "We use two A6000 GPUs, each with 48GB, to train models when IS2RS is not included during", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 655, + 507, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 249, + 667 + ], + "score": 1.0, + "content": "training. Training Equiformer and", + "type": "text" + }, + { + "bbox": [ + 249, + 655, + 271, + 667 + ], + "score": 0.91, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 655, + 507, + 667 + ], + "score": 1.0, + "content": "-Equiformer in Table 16 takes about 43.6 and 58.3 hours.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "Training Equiformer with linear messages (indicated by Index 2 in Table 7) and Equiformer with linear", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "messages and dot product attention (indicated by Index 3 in Table 7) takes 30.4 hours and 33.1 hours,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "respectively. We use four A6000 GPUs to train Equiformer models when IS2RS node-level auxiliary", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "task is adopted during training. Training Equiformer without Noisy Nodes data augmentation takes", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "about 3 days and training with Noisy Nodes takes 6 days. We note that the proposed Equiformer", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "in Table 5 achieves competitive results even with much less computation. Specifically, training", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 540, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 104, + 540, + 158, + 553 + ], + "score": 1.0, + "content": "“Equiformer", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 158, + 542, + 167, + 550 + ], + "score": 0.71, + "content": "^ +", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 167, + 540, + 506, + 553 + ], + "score": 1.0, + "content": "Noisy Nodes” takes about 24 GPU-days when A6000 GPUs are used. The training", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 162, + 563 + ], + "score": 1.0, + "content": "time of “GNS", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 162, + 553, + 171, + 561 + ], + "score": 0.62, + "content": "^ +", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 171, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "Noisy Nodes” (Godwin et al., 2022) is 56 TPU-days. “Graphormer” (Shi et al., 2022)", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 563, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 505, + 574 + ], + "score": 1.0, + "content": "uses ensemble of 31 models and requires 372 GPU-days to train all models when A100 GPUs are", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 573, + 130, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 573, + 130, + 585 + ], + "score": 1.0, + "content": "used.", + "type": "text", + "cross_page": true + } + ], + "index": 13 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 642, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 141, + 81, + 468, + 379 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 141, + 81, + 468, + 379 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 141, + 81, + 468, + 379 + ], + "spans": [ + { + "bbox": [ + 141, + 81, + 468, + 379 + ], + "score": 0.973, + "html": "
Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs2
Maximum learning rate2×10-4
Batch size32
Number of epochs20
Weight decay1×10-3
Dropout rate0.2
Cutoff radius (A)5
Number of radial basis128
Hidden size of radial function64
Numberofhiddenlayers in radial function2
Equiformer
Numberof Transformer blocks Embedding dimension dembed6
Spherical harmonics embedding dimension dsh[(256,0),(128,1)] [(1,0),(1,1)]
Number of attention heads h8
Attention head dimension dhead[(32,0),(16,1)]
Hidden dimension in feed forward networks d f fn(768,0),(384,1)]
Output feature dimension d feature[(512,0)]
E(3)-Equiformer
Number of Transformer blocks Embedding dimension dembed6 [(256,0,e),(64,0,0),(64,1,e),(64,1,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0)]
Number of attention heads h8
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0)]
Hidden dimension in feed forward networks d ffn[(768,0,e),(192,0,0),(192,1,e),(192,1,0)]
Output feature dimension d feature[(512,0,e)]
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Energy MAE(eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
SchNet (Schut et al.,07)+0.64650.70740.64750.66260.66602.962.223.032.382.65
DimeNet++ (Gasteiger et al.,2020a)†0.56360.71270.56120.64920.62174.252.484.402.563.42
GemNet-T(Klicpera et al., 2021)†0.55610.73420.56590.69640.63824.512.244.372.383.38
SphereNet (Liu etal.,2022)0.56320.66820.55900.61900.60244.562.704.592.703.64
(S)EGNN (Brandstetter et al.,2022)0.54970.68510.55190.61020.59924.992.504.712.883.77
SEGNN (Brandstetter et al., 2022)0.53100.64320.53410.57770.57155.322.804.893.094.03
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs2
Maximum learning rate2×10-4
Batch size32
Number of epochs20
Weight decay1×10-3
Dropout rate0.2
Cutoff radius (A)5
Number of radial basis128
Hidden size of radial function64
Numberofhiddenlayers in radial function2
Equiformer
Numberof Transformer blocks Embedding dimension dembed6
Spherical harmonics embedding dimension dsh[(256,0),(128,1)] [(1,0),(1,1)]
Number of attention heads h8
Attention head dimension dhead[(32,0),(16,1)]
Hidden dimension in feed forward networks d f fn(768,0),(384,1)]
Output feature dimension d feature[(512,0)]
E(3)-Equiformer
Number of Transformer blocks Embedding dimension dembed6 [(256,0,e),(64,0,0),(64,1,e),(64,1,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0)]
Number of attention heads h8
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0)]
Hidden dimension in feed forward networks d ffn[(768,0,e),(192,0,0),(192,1,e),(192,1,0)]
Output feature dimension d feature[(512,0,e)]
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Energy MAE(eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
SchNet (Schut et al.,07)+0.64650.70740.64750.66260.66602.962.223.032.382.65
DimeNet++ (Gasteiger et al.,2020a)†0.56360.71270.56120.64920.62174.252.484.402.563.42
GemNet-T(Klicpera et al., 2021)†0.55610.73420.56590.69640.63824.512.244.372.383.38
SphereNet (Liu etal.,2022)0.56320.66820.55900.61900.60244.562.704.592.703.64
(S)EGNN (Brandstetter et al.,2022)0.54970.68510.55190.61020.59924.992.504.712.883.77
SEGNN (Brandstetter et al., 2022)0.53100.64320.53410.57770.57155.322.804.893.094.03
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93
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Energy MAE (eV)↓EwT(%)↑Training time (minutes/epoch)Number of parameters
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93130.89.12M
E(3)-Equiformer0.50350.63850.50340.56580.55285.102.985.103.024.05174.98.77M
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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)4.21M79
Equiformer9.12M87
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They are regarded as different types in equivariant linear layers and layer", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 250, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 264 + ], + "score": 1.0, + "content": "normalizations, and therefore, the directional information captured in these two types of vectors can", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "only exchange in depth-wise tensor products. Third, we mainly tune hyper-parameters for Equiformer", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 272, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 126, + 286 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 273, + 155, + 285 + ], + "score": 0.91, + "content": "S E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 272, + 350, + 286 + ], + "score": 1.0, + "content": "-equivariant features, and it is possible that using", + "type": "text" + }, + { + "bbox": [ + 351, + 273, + 372, + 285 + ], + "score": 0.91, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 272, + 505, + 286 + ], + "score": 1.0, + "content": "-equivariant features would favor", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 283, + 218, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 218, + 298 + ], + "score": 1.0, + "content": "different hyper-parameters.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 300, + 504, + 323 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "score": 1.0, + "content": "For Table 15, 3, 4, and 5, we compare “Equiformer” with other works since most of them do not", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 312, + 243, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 243, + 324 + ], + "score": 1.0, + "content": "include equivariance to inversion.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 108, + 336, + 415, + 348 + ], + "lines": [ + { + "bbox": [ + 105, + 336, + 417, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 417, + 350 + ], + "score": 1.0, + "content": "F.5 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 357, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022) and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "Equiformer when IS2RS auxiliary task is not adopted during training and summarize the results in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "Table 17. Equiformer achieves better results with comparable training time. Please refer to Sec. D.3", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 390, + 208, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 208, + 402 + ], + "score": 1.0, + "content": "for a detailed discussion.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 486, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 489, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 489, + 420 + ], + "score": 1.0, + "content": "The comparison of training time when IS2RS auxiliary task is adopted can be found in Table 5.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 108, + 432, + 232, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 431, + 233, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 233, + 445 + ], + "score": 1.0, + "content": "F.6 ERROR DISTRIBUTIONS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 453, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "We plot the error distributions of different Equiformer models on different sub-splits of OC20 IS2RE", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 464, + 506, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 477 + ], + "score": 1.0, + "content": "validation set in Fig. 5. For each curve, we sort the absolute errors in ascending order for better", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "score": 1.0, + "content": "visualization and have a few observations. First, for each sub-split, there are always easy examples,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "for which all models achieve significantly low errors, and hard examples, for which all models have", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "high errors. Second, the performance gains brought by different models are non-uniform among", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "different sub-splits. For example, using MLP attention and non-linear messages improves the errors", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 518, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 532 + ], + "score": 1.0, + "content": "on the ID sub-split but is not that helpful on the OOD Ads sub-split. Third, when IS2RS node-level", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "auxiliary task is not included during training, using stronger models mainly improves errors that are", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 206, + 553 + ], + "score": 1.0, + "content": "beyond the threshold of", + "type": "text" + }, + { + "bbox": [ + 206, + 541, + 239, + 552 + ], + "score": 0.61, + "content": "0 . 0 2 \\mathrm { e V } .", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "which is used to calculate the metric of energy within threshold", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "(EwT). For instance, on the OOD Both sub-split, using non-linear messages, which corresponds", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "to red and purple curves, improves the absolute errors for the 15000th through 20000th examples.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "However, the improvement in MAE does not translate to that in EwT as the errors are still higher than", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 173, + 598 + ], + "score": 1.0, + "content": "the threshold of", + "type": "text" + }, + { + "bbox": [ + 173, + 585, + 207, + 595 + ], + "score": 0.55, + "content": "0 . 0 2 \\mathrm { e V } .", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 584, + 506, + 598 + ], + "score": 1.0, + "content": "This explains why using non-linear messages in Table 7 improves MAE", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 596, + 343, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 343, + 608 + ], + "score": 1.0, + "content": "from 0.5657 to 0.5545 but results in almost the same EwT.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 623, + 196, + 636 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 198, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 198, + 639 + ], + "score": 1.0, + "content": "G LIMITATIONS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 648, + 494, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 496, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 496, + 662 + ], + "score": 1.0, + "content": "We discuss several limitations of the proposed Equiformer and equivariant graph attention below.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 665, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "First, Equiformer is based on irreducible representations (irreps) and therefore can inherit the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 422, + 690 + ], + "score": 1.0, + "content": "limitations common to all equivariant networks based on irreps and the library", + "type": "text" + }, + { + "bbox": [ + 422, + 677, + 448, + 688 + ], + "score": 0.79, + "content": "\\mathtt { e 3 n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "(Geiger et al.,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 277, + 700 + ], + "score": 1.0, + "content": "2022). For example, using higher degrees", + "type": "text" + }, + { + "bbox": [ + 277, + 688, + 285, + 698 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "can result in larger features and using tensor products", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "can be compute-intensive. Part of the reasons that tensor products can be computationally expensive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "are that the kernels have not been heavily optimized and customized as other operations in common", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "libraries like PyTorch (Paszke et al., 2019). But this is the issue related to software, not the design of", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41.5 + } + ], + "page_idx": 29, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "score": 1.0, + "content": "30", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 90, + 81, + 520, + 120 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 90, + 81, + 520, + 120 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 90, + 81, + 520, + 120 + ], + "spans": [ + { + "bbox": [ + 90, + 81, + 520, + 120 + ], + "score": 0.96, + "html": "
Energy MAE (eV)↓EwT(%)↑Training time (minutes/epoch)Number of parameters
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93130.89.12M
E(3)-Equiformer0.50350.63850.50340.56580.55285.102.985.103.024.05174.98.77M
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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)4.21M79
Equiformer9.12M87
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They are regarded as different types in equivariant linear layers and layer", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 250, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 505, + 264 + ], + "score": 1.0, + "content": "normalizations, and therefore, the directional information captured in these two types of vectors can", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 262, + 506, + 275 + ], + "score": 1.0, + "content": "only exchange in depth-wise tensor products. Third, we mainly tune hyper-parameters for Equiformer", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 272, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 126, + 286 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 273, + 155, + 285 + ], + "score": 0.91, + "content": "S E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 272, + 350, + 286 + ], + "score": 1.0, + "content": "-equivariant features, and it is possible that using", + "type": "text" + }, + { + "bbox": [ + 351, + 273, + 372, + 285 + ], + "score": 0.91, + "content": "E ( 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 272, + 505, + 286 + ], + "score": 1.0, + "content": "-equivariant features would favor", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 283, + 218, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 218, + 298 + ], + "score": 1.0, + "content": "different hyper-parameters.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 240, + 506, + 298 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 300, + 504, + 323 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 314 + ], + "score": 1.0, + "content": "For Table 15, 3, 4, and 5, we compare “Equiformer” with other works since most of them do not", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 312, + 243, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 243, + 324 + ], + "score": 1.0, + "content": "include equivariance to inversion.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 300, + 506, + 324 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 336, + 415, + 348 + ], + "lines": [ + { + "bbox": [ + 105, + 336, + 417, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 417, + 350 + ], + "score": 1.0, + "content": "F.5 COMPARISON OF TRAINING TIME AND NUMBERS OF PARAMETERS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 357, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "We compare training time and numbers of parameters between SEGNN (Brandstetter et al., 2022) and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "Equiformer when IS2RS auxiliary task is not adopted during training and summarize the results in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "Table 17. Equiformer achieves better results with comparable training time. Please refer to Sec. D.3", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 390, + 208, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 208, + 402 + ], + "score": 1.0, + "content": "for a detailed discussion.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 357, + 506, + 402 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 486, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 489, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 489, + 420 + ], + "score": 1.0, + "content": "The comparison of training time when IS2RS auxiliary task is adopted can be found in Table 5.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 106, + 406, + 489, + 420 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 432, + 232, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 431, + 233, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 233, + 445 + ], + "score": 1.0, + "content": "F.6 ERROR DISTRIBUTIONS", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 453, + 505, + 607 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "We plot the error distributions of different Equiformer models on different sub-splits of OC20 IS2RE", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 464, + 506, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 477 + ], + "score": 1.0, + "content": "validation set in Fig. 5. For each curve, we sort the absolute errors in ascending order for better", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "score": 1.0, + "content": "visualization and have a few observations. First, for each sub-split, there are always easy examples,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "for which all models achieve significantly low errors, and hard examples, for which all models have", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "high errors. Second, the performance gains brought by different models are non-uniform among", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "different sub-splits. For example, using MLP attention and non-linear messages improves the errors", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 518, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 532 + ], + "score": 1.0, + "content": "on the ID sub-split but is not that helpful on the OOD Ads sub-split. Third, when IS2RS node-level", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "auxiliary task is not included during training, using stronger models mainly improves errors that are", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 206, + 553 + ], + "score": 1.0, + "content": "beyond the threshold of", + "type": "text" + }, + { + "bbox": [ + 206, + 541, + 239, + 552 + ], + "score": 0.61, + "content": "0 . 0 2 \\mathrm { e V } .", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "which is used to calculate the metric of energy within threshold", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "(EwT). For instance, on the OOD Both sub-split, using non-linear messages, which corresponds", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "to red and purple curves, improves the absolute errors for the 15000th through 20000th examples.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 505, + 586 + ], + "score": 1.0, + "content": "However, the improvement in MAE does not translate to that in EwT as the errors are still higher than", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 173, + 598 + ], + "score": 1.0, + "content": "the threshold of", + "type": "text" + }, + { + "bbox": [ + 173, + 585, + 207, + 595 + ], + "score": 0.55, + "content": "0 . 0 2 \\mathrm { e V } .", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 584, + 506, + 598 + ], + "score": 1.0, + "content": "This explains why using non-linear messages in Table 7 improves MAE", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 596, + 343, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 343, + 608 + ], + "score": 1.0, + "content": "from 0.5657 to 0.5545 but results in almost the same EwT.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 453, + 506, + 608 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 623, + 196, + 636 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 198, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 198, + 639 + ], + "score": 1.0, + "content": "G LIMITATIONS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 648, + 494, + 660 + ], + "lines": [ + { + "bbox": [ + 106, + 648, + 496, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 496, + 662 + ], + "score": 1.0, + "content": "We discuss several limitations of the proposed Equiformer and equivariant graph attention below.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38, + "bbox_fs": [ + 106, + 648, + 496, + 662 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 665, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "First, Equiformer is based on irreducible representations (irreps) and therefore can inherit the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 422, + 690 + ], + "score": 1.0, + "content": "limitations common to all equivariant networks based on irreps and the library", + "type": "text" + }, + { + "bbox": [ + 422, + 677, + 448, + 688 + ], + "score": 0.79, + "content": "\\mathtt { e 3 n n }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "(Geiger et al.,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 277, + 700 + ], + "score": 1.0, + "content": "2022). For example, using higher degrees", + "type": "text" + }, + { + "bbox": [ + 277, + 688, + 285, + 698 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "can result in larger features and using tensor products", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "can be compute-intensive. Part of the reasons that tensor products can be computationally expensive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "are that the kernels have not been heavily optimized and customized as other operations in common", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 506, + 733 + ], + "score": 1.0, + "content": "libraries like PyTorch (Paszke et al., 2019). But this is the issue related to software, not the design of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 505, + 95 + ], + "score": 1.0, + "content": "networks. While tensor products of irreps naively do not scale well, if all possible interactions and", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 507, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 507, + 107 + ], + "score": 1.0, + "content": "paths are considered, some paths in tensor products can also be pruned for computational efficiency.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "We leave these potential efficiency gains to future work and in this work focus on general equivariant", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 398, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 246, + 129 + ], + "score": 1.0, + "content": "attention if all possible paths up to", + "type": "text", + "cross_page": true + }, + 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Non-linear messages improve upon linear ones for the two datasets.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 193, + 505, + 270 + ], + "lines": [ + { + "bbox": [ + 105, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "Third, equivariant graph attention requires more computation than typical graph convolution. It", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "includes one softmax operation and thus requires one additional sum aggregation compared to typical", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 505, + 227 + ], + "score": 1.0, + "content": "message passing. 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For QM9, MLP attention improves not significantly upon dot product attention as shown in", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 153, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 505, + 167 + ], + "score": 1.0, + "content": "Table 6. We surmise that this is because QM9 contains less atoms and less diverse atom types and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "score": 1.0, + "content": "therefore linear attention is enough. For OC20, MLP attention clearly improves upon dot product", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 501, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 501, + 189 + ], + "score": 1.0, + "content": "attention as shown in Table 7. 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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
SchNet (Schutt et al.,2017)16.058.53.513.43.516.95.628.66.925.28.736.95.224.76.124.3
DimeNet (Gasteiger et al.,2020b)8.821.63.48.12.810.04.516.65.39.35.816.24.49.45.013.1
PaiNN (Schuitt et al., 2021)6.914.7--2.79.73.913.85.03.34.98.54.14.14.56.0
TorchMD-NET(Tholke &Fabritis,2022)5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.1 4.54.1
NequIP(Lmax =3)(Batzner etal.,022)5.78.0--2.23.13.35.64.91.74.63.94.02.03.3
Equiformer (Lmar =2)5.37.26.623.35.83.74.54.13.84.33.3
Equiformer(Lmax =3)5.36.68.133.25.44.4204.33.93.724.33.4
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MethodsTask Unitsα a△ε meVεHOMO meVεLUMO meVμ DCv cal/mol KG meVH meVR aU meVU meVZPVE meV
NMP(Gilmer et al., 2017)t.092694338.030.0401917.18020201.50
SchNet (Schutt et al.,2017).235634134.033.0331414.07319141.70
Cormorant (Anderson et al., 2019)†.085613438.038.0262021.96121222.03
LieConv (Finzi et al.,020)t.084493025.032.0382224.80019192.28
DimeNet++ (Gasteiger et al., 2020a).044332520.030.02387.331661.21
TFN (Thomas et al., 2018)†.223584038.064.101------
SE(3)-Transformer(Fuchs etal.,2020)†.142533533.051.054------
EGNN (Satorras et al.,2021)†.071482925.029.0311212.10612111.55
PaiNN (Schutt et al.,2021).045462820.012.0247.355.98.0665.835.851.28
TorchMD-NET(Tholke & Fabritiis,2022).059362018.011.0267.626.16.0336.386.151.84
SphereNet (Liu et al.,2022).046322318.026.02186.292761.12
SEGNN (Brandstetter et al.,2022)†.060422421.023.0311516.66013151.62
EQGAT (Le et al.,2022).053322016.011.0242324.38225252.00
Equiformer.046301514.011.0237.636.63.2516.746.591.26
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Energy MAE (eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
CGCNN (Xie & Grossman,2018)0.61490.91550.62190.85110.75093.401.933.102.002.61
SchNet (Schut et al., 2017)0.63870.73420.66160.70370.68462.962.332.942.212.61
DimeNet++(Gasteiger etal.,2020a)0.56210.72520.57560.66130.63114.252.074.102.413.21
PaiNN (Schutt et al.,2021)0.5750.7830.6040.7430.67633.461.973.462.282.79
SpinConv (Shuaibi et al.,2021)0.55830.72300.56870.67380.63104.082.263.822.333.12
SphereNet (Liu etal.,2022)0.56250.70330.57080.63780.61864.472.294.092.413.32
SEGNN (Brandstetter et al., 2022)0.53270.69210.53690.67900.61015.372.464.912.633.84
Equiformer0.50370.68810.52130.63010.58585.142.414.672.693.73
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Energy MAE (eV)↓EwT(%)↑Training time
MethodsIDOOD AdsOOD CatOOD BothAverageDOOD AdsOOD CatOOD BothAverage(GPU-days)
GNS + Noisy Nodes (Godwin et al.,2022)0.42190.56780.43660.46510.47289.124.258.014.646.556 (TPU)
Graphormer (Shi et al.,22)†0.39760.57190.41660.50290.47228.973.458.183.796.1372(A100)
Equiformer+Noisy Nodes0.41710.54790.42480.47410.46607.713.707.154.075.6624 (A6000)
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Energy MAE (eV)↓EwT(%) ↑
MethodsIDOOD AdsOOD CatOODBothAverageIDOOD AdsOOD CatOOD BothAverage
GNS (Godwin et al.,2022)0.540.650.550.590.5825-----
GNS + Noisy Nodes (Godwin et al., 2022)0.470.510.480.460.4800=----
Graphormer (Shi et al., 2022)0.43290.58500.44410.52990.4980----
Equiformer0.42220.54200.42310.47540.46577.233.777.134.105.56
Equiformer + Noisy Nodes0.41560.49760.41650.43440.44107.474.647.194.846.04
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IndexMethodsEnergy MAE(eV)↓EwT(%)↑Number of
Non-linear message passingMLP attentionDot product attentionIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverageTraining time (minutes/epoch)
1230.50880.62710.50510.55450.54894.882.934.922.983.93130.8parameters 9.12M
·0.51680.63080.50880.56570.55554.592.824.793.023.8191.27.84M
0.53860.63820.52970.56920.56894.372.604.362.863.5599.38.72M
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IndexMethodsTask α△ε meVεHOMO meVεLUMO片 CvTraining timeNumber of parameters
Non-linear message passingMLP attentionUnit aD cal/mol K
1·attention.04630meV 14.011.023(minutes/epoch) 12.13.53M
2.0513215 1616.013.0257.23.01M
3.053321716.013.0257.83.35M
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate scheduling Warmup epochsCosine learning rate with linear warmup 5
Maximum learning rate1.5 × 10-4,5 × 10-4
Batch size64,128
Number of epochs300,600
Weight decay0,5×10-3
Dropout rate0.0,0.1, 0.2
Cutoff radius (A)5
Number of radial bases128 for Gaussian radial basis,8 for radial bessel basis
Hidden sizes of radial functions64
Number of hidden layers in radial functions2
Number of Transformer blocks Embedding dimension dembedEquiformer 6 [(128,0),(64,1),(32,2)]
Spherical harmonics embedding dimension dsh Numberof attention heads h Attention head dimension dhead[(1,0),(1,1),(1,2)] 4 [(32,0),(16,1),(8,2)]
Hidden dimension in feed forward networks dffn Output feature dimension d feature(384,0),(192,1),(96,2)] [(512,0)]
E(3)-Equiformer
6
Number of Transformer blocks
Embedding dimension dembed
[(128,0,e),(32,0,0),(32,1,e),(32,1,0),(16,2,e),(16,2,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0),(1,2,e)]
Number of attention heads h4
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0),(4,2,e),(4,2,0)]
Hidden dimension in feed forward networks df fn
(384,0,e),(96,0,0),(96,1,e),(96,1,0),(48,2,e),(48,2,0)]
Output feature dimension dfeature[(512,0,e)]
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MethodsTask Unitsα 品△ meVεHOMO meVεLUMO meVμ DCv cal/mol KTraining time (minutes/epoch)Number of parameters
Equiformer.046301514.011.02312.13.53M
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs10 1 × 10-4,2 × 10-4,5× 10-4
Maximum learning rate Batch size5,8
Number of epochs1500,2000
1×10-6
Weight decay Dropout rate0.0
Weight for energy loss Weight for force loss1 80
Cutoff radius (A)5
Number of radial bases32
Hidden sizes of radial functions64 2
Number of hidden layers in radial functions Equiformer (Lmax = 2)
Embedding dimension dembed Spherical harmonics embedding dimension d sh Number of attention heads h 4 Attention head dimension dhead Hidden dimension in feed forward networks d f fn[(128,0),(64,1),(32,2)] [(1,0),(1,1),(1,2)] [(32,0),(16,1),(8,2)] [(384,0),(192,1),(96,2)]
Output feature dimension dfeature Equiformer (Lmax = 3)
[(512,0)]
Number of Transformer blocks6
Embedding dimension dembed[(128,0),(64,1),(64,2),(32,3)]
Spherical harmonics embedding dimension d sh[(1,0),(1,1),(1,2),(1,3)]
Number of attention heads h4
Attention head dimension dhead[(32,0),(16,1),(16,2),(8,3)]
Hidden dimension in feed forward networks dffn(384,0),(192,1),(192,2),(96,3)]
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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)1.03M81
TorchMD-NET(Tholke&Fabritis,2022)6.86M92
Equiformer3.53M61
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AspirinBenzeneEthanolMalonaldehydeNaphthaleneSalicylic acidTolueneUracil
Methodsenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforcesenergyforces
TorchMD-NET5.311.02.58.52.34.73.37.33.72.64.05.63.22.94.14.1
Equiformer (Lmax = 2)5.37.22.26.62.23.13.35.83.72.14.05.33.22.44.23.7
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MethodsNumber of parametersTraining time (secs/epoch)
NequIP(Lmax =3)(Batzner et al.,2022)2.97M48.7
Equiformer (Lmax =2)3.50M36.9
Equiformer (Lmax =3)5.50M98.0
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Energy MAE(eV)↓EwT(%)↑
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
SchNet (Schut et al.,07)+0.64650.70740.64750.66260.66602.962.223.032.382.65
DimeNet++ (Gasteiger et al.,2020a)†0.56360.71270.56120.64920.62174.252.484.402.563.42
GemNet-T(Klicpera et al., 2021)†0.55610.73420.56590.69640.63824.512.244.372.383.38
SphereNet (Liu etal.,2022)0.56320.66820.55900.61900.60244.562.704.592.703.64
(S)EGNN (Brandstetter et al.,2022)0.54970.68510.55190.61020.59924.992.504.712.883.77
SEGNN (Brandstetter et al., 2022)0.53100.64320.53410.57770.57155.322.804.893.094.03
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93
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Hyper-parametersValue or description
OptimizerAdamW
Learning rate schedulingCosine learning rate with linear warmup
Warmup epochs2
Maximum learning rate2×10-4
Batch size32
Number of epochs20
Weight decay1×10-3
Dropout rate0.2
Cutoff radius (A)5
Number of radial basis128
Hidden size of radial function64
Numberofhiddenlayers in radial function2
Equiformer
Numberof Transformer blocks Embedding dimension dembed6
Spherical harmonics embedding dimension dsh[(256,0),(128,1)] [(1,0),(1,1)]
Number of attention heads h8
Attention head dimension dhead[(32,0),(16,1)]
Hidden dimension in feed forward networks d f fn(768,0),(384,1)]
Output feature dimension d feature[(512,0)]
E(3)-Equiformer
Number of Transformer blocks Embedding dimension dembed6 [(256,0,e),(64,0,0),(64,1,e),(64,1,0)]
Spherical harmonics embedding dimension dsh[(1,0,e),(1,1,0)]
Number of attention heads h8
Attention head dimension dhead[(32,0,e),(8,0,0),(8,1,e),(8,1,0)]
Hidden dimension in feed forward networks d ffn[(768,0,e),(192,0,0),(192,1,e),(192,1,0)]
Output feature dimension d feature[(512,0,e)]
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Energy MAE (eV)↓EwT(%)↑Training time (minutes/epoch)Number of parameters
MethodsIDOOD AdsOOD CatOOD BothAverageIDOOD AdsOOD CatOOD BothAverage
Equiformer0.50880.62710.50510.55450.54894.882.934.922.983.93130.89.12M
E(3)-Equiformer0.50350.63850.50340.56580.55285.102.985.103.024.05174.98.77M
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MethodsNumber of parametersTraining time (GPU-hours)
SEGNN (Brandstetter et al., 2022)4.21M79
Equiformer9.12M87
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} + } +] \ No newline at end of file diff --git a/parse/dev/OgCcfc1m0TO/OgCcfc1m0TO.md b/parse/dev/OgCcfc1m0TO/OgCcfc1m0TO.md new file mode 100644 index 0000000000000000000000000000000000000000..5b55e95bab5a2d1c9ae7013297e230eaca757f91 --- /dev/null +++ b/parse/dev/OgCcfc1m0TO/OgCcfc1m0TO.md @@ -0,0 +1,267 @@ +# LEARNING TO PROMPT FOR VISION-LANGUAGE MODELS + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Vision-language pre-training has recently emerged as a promising alternative for representation learning. It shifts from the tradition of using images and discrete labels for learning a fixed set of weights, seen as visual concepts, to aligning images and raw text for two separate encoders. Such a paradigm benefits from a broader source of supervision and allows zero-shot transfer to downstream tasks since visual concepts can be diametrically generated from natural language, known as prompt. In this paper, we identify that a major challenge of deploying such models in practice is prompt engineering. This is because designing a proper prompt, especially for context words surrounding a class name, requires domain expertise and typically takes a significant amount of time for words tuning since a slight change in wording could have a huge impact on performance. Moreover, different downstream tasks require specific designs, further hampering the efficiency of deployment. To overcome this challenge, we propose a simple approach named context optimization $( C o O p )$ . The main idea is to model context in prompts using continuous representations and perform end-to-end learning from data while keeping the pre-trained parameters fixed. In this way, the design of task-relevant prompts can be fully automated. Experiments on 11 datasets show that CoOp effectively turns pre-trained vision-language models into data-efficient visual learners, requiring as few as one or two shots to beat hand-crafted prompts with a decent margin and able to gain significant improvements when using more shots (e.g., at 16 shots the average gain is around $17 \%$ with the highest reaching over $5 0 \%$ ). CoOp also exhibits strong robustness to distribution shift. + +# 1 INTRODUCTION + +The traditional approach for visual representation learning is to train vision models to predict for a fixed set of object categories using discrete labels (He et al., 2016; Dosovitskiy et al., 2021). However, this approach limits visual recognition systems to closed-set visual concepts defined during training, making them unable to handle new categories once deployed in target environments, since additional data are required for learning a new classifier. Recently, vision-language pre-training such as CLIP (Radford et al., 2021) and ALIGN (Jia et al., 2021) has emerged as a promising alternative. The main idea is to align images and raw text using two separate encoders—one for each modality. Through large-scale pre-training, vision-language models are allowed to learn open-set visual concepts and can readily be transferred to downstream tasks. In particular, for each new classification task, one can synthesize the classification weights by feeding natural language describing classes of interest to the text encoder, and compare them with image features produced by the image encoder. + +We observe that for pre-trained vision-language models, the text input, known as prompt, plays a key role in downstream datasets. However, identifying the right prompt is a non-trivial task, which often takes a significant amount of time for words tuning—since a slight change in wording could make a huge difference in performance. For instance, for Caltech101 (Figure 1(a), 2nd vs. 3rd prompt), adding “a” before the class token brings more than $5 \%$ increase in accuracy. Moreover, prompt engineering also requires expertise about the task and ideally the language model’s underlying mechanism. This is exemplified in Figure 1(b-d) where adding task-relevant context can lead to significant improvements, i.e., “flower” for Flowers102, “texture” for DTD and “satellite” for EuroSAT. Tuning the sentence structure could bring further improvements, e.g., putting “a type of flower” after the class token for Flowers102, keeping only “texture” in the context for DTD, and adding “centered” before “satellite photo” for EuroSAT. However, even with extensive tuning, the resulting prompts are by no means guaranteed to be optimal for these downstream tasks. + +![](images/6eeee6523dc87811b455ff6d6a2200c6220898cd79558bf59e027edd9bbd6a1d.jpg) +Figure 1: Prompt engineering vs. context optimization $\bf ( C o O p )$ . The latter uses only 16 shots for learning in these examples. + +Inspired by recent prompt learning research in NLP (Shin et al., 2020; Jiang et al., 2020; Zhong et al., 2021), we propose context optimization $( C o O p ) ^ { 1 }$ to automate prompt engineering to allow more efficient and task-specific transfer for pre-trained vision-language models. Specifically, we model a prompt’s context using continuous representations which are essentially initialized with random vectors with the same dimension as word embeddings (see Figure 2). The context could be shared among all classes or designed to be class-specific. During training, we simply minimize the prediction error using the cross-entropy loss with respect to the learnable context vectors, while keeping the pre-trained parameters fixed. The gradients can be back-propagated all the way through the text encoder, distilling the rich knowledge encoded in the parameters for learning task-relevant context. + +To demonstrate the effectiveness of $\mathrm { C o O p }$ , we benchmark on 11 datasets, which cover a diverse set of visual recognition tasks including classification on generic objects, scenes, actions and fine-grained categories, as well as specialized tasks like recognizing textures and satellite imagery. The results show that CoOp can effectively turn pre-trained vision-language models into data-efficient visual learners, requiring as few as one or two shots to beat hand-crafted prompts with a decent margin. The performance can also be further boosted by using more shots, e.g., at 16 shots the margin over hand-crafted prompts averages at around $17 \%$ and reaches over $50 \%$ for the highest. CoOp also outperforms the linear probe alternative known as a strong few-shot learning baseline (Tian et al., 2020), and crucially, demonstrates much stronger robustness to distribution shift. Extensive analysis is also conducted to offer a comprehensive picture on how to apply $\mathrm { C o O p }$ in practice. The source code for reproducing the experiments will be released to facilitate future research. + +# 2 METHODOLOGY + +# 2.1 VISION-LANGUAGE PRE-TRAINING + +We briefly introduce vision-language pre-training with a particular focus on CLIP (Radford et al., 2021). Our approach is applicable to broader CLIP-like vision-language models. + +Models CLIP consists of two encoders, one for images and the other for text. The image encoder aims to map high-dimensional images into a low-dimensional embedding space. The architecture of the image encoder can take the form of a CNN like ResNet-50 (He et al., 2016) or a ViT (Dosovitskiy et al., 2021). On the other hand, the text encoder is built on top of a Transformer (Vaswani et al., 2017) and aims to generate text representations from natural language. + +![](images/d2e38be7e5da6fc4ee2ef679849eed58bd900feae21b53f307ebcaa459be26d1.jpg) +Figure 2: Overview of context optimization $( \mathrm { C o O p } )$ . + +Specifically, given a sequence of words (tokens), such as “a photo of a dog.”, CLIP first converts each one of the token (including punctuation) into a lower-cased byte pair encoding (BPE) representation (Sennrich et al., 2016), which is essentially a unique numeric ID. The vocabulary size in CLIP is 49,152. To facilitate minibatch processing, each text sequence is encompassed with the [SOS] and [EOS] tokens and capped at a fixed length of 77. After that, the IDs are mapped to 512-D word embedding vectors, which are then passed on to the Transformer. Finally, the features at the [EOS] token position are layer normalized and further processed by a linear projection layer. + +Training CLIP is trained to align the two embedding spaces learned for images and text respectively. Specifically, the learning objective is formulated as a contrastive loss. Given a batch of image-text pairs, CLIP maximizes the cosine similarity for matched pairs while minimizes the cosine similarity for all other unmatched pairs. To learn diverse visual concepts that are more transferable to downstream tasks, CLIP’s team collects a large training dataset consisting of 400 million image-text pairs. + +Zero-Shot Inference Since CLIP is pre-trained to predict whether an image matches a textual description, it naturally fits zero-shot recognition. This is achieved by comparing image features with the classification weights synthesized by the text encoder, which takes as input textual descriptions specifying classes of interest. Formally, let $f$ be image features extracted by the image encoder for an image $_ { \textbf { \em x } }$ and $\{ { w } _ { i } \} _ { i = 1 } ^ { K }$ a set of weight vectors generated by the text encoder. $K$ denotes the number of classes and each ${ \pmb w } _ { i }$ is derived from a prompt that could have the form of “a photo of a [CLASS].” where the class token is replaced by the specific class name, such as “cat”, “dog” or “car”. The prediction probability is then computed as + +$$ +p ( y = i | \pmb { x } ) = \frac { \exp ( < \pmb { w } _ { i } , \pmb { f } > / \tau ) } { \sum _ { j = 1 } ^ { K } \exp ( < \pmb { w } _ { j } , \pmb { f } > / \tau ) } , +$$ + +where $\tau$ is a temperature parameter learned by CLIP and $< \cdot , \cdot >$ denotes cosine similarity. + +# 2.2 CONTEXT OPTIMIZATION + +We propose context optimization $\left( \mathbf { C o O p } \right)$ , which avoids manual prompt tuning by modeling context words with continuous vectors that are end-to-end learned from data. An overview is shown in Figure 2. Specifically, the prompt given to the text encoder $g ( \cdot )$ is designed with the following form, + +$$ +{ \pmb t = [ \mathsf { V } ] _ { 1 } [ \mathsf { V } ] _ { 2 } \ldots [ \mathsf { V } ] _ { M } [ \mathsf { C L A S S } ] , } +$$ + +where each $[ \mathsf { V } ] _ { m } \ ( m \in \{ 1 , \dots , M \} )$ is a vector with the same dimension as word embeddings (i.e., 512 for CLIP), and $M$ is a hyperparameter specifying the number of context tokens. Note that the + +context here is shared among all classes, which is called unified context and different from classspecific context that is introduced later. + +By forwarding a prompt $\pmb { t }$ to the text encoder $g ( \cdot )$ , we can obtain a classification weight vector representing a visual concept. The prediction probability is computed as + +$$ +p ( \boldsymbol { y } = i | \boldsymbol { x } ) = \frac { \exp ( < g ( t _ { i } ) , f > / \tau ) } { \sum _ { j = 1 } ^ { K } \exp ( < g ( t _ { j } ) , f > / \tau ) } , +$$ + +where the class token within each prompt $\mathbf { \Delta } _ { t _ { i } }$ is replaced by the corresponding word embedding vector(s) of the $i$ -th class name. + +Training is performed to minimize the standard classification loss based on the cross-entropy, and the gradients can be back-propagated all the way through the text encoder $g ( \cdot )$ , making use of the rich knowledge encoded in the parameters to optimize the context. The design of continuous representations also allows full exploration in the word embedding space, which facilitates the learning of task-relevant context. + +Other Variants Other than placing the class token at the end of a sequence as in Equation (2), we can also put it in the middle like + +$$ +\mathbf { \partial } t = [ \mathbf { V } ] _ { 1 } \ldots [ \mathbf { V } ] _ { \frac { M } { 2 } } [ \mathbf { C L A S S } ] [ \mathbf { V } ] _ { \frac { M } { 2 } + 1 } \ldots [ \mathbf { V } ] _ { M } , +$$ + +which increases flexibility for learning—theoretically, the prompt is allowed to either fill the latter cells with supplementary descriptions or cut off the sentence earlier by using a termination signal such as full stop. + +Another option is to design class-specific context (CSC) where context vectors are independent to each class, i.e., $[ \mathbf { V } ] _ { 1 } ^ { i } [ \mathbf { V } ] _ { 2 } ^ { i } \dot { \mathbf { \Omega } } . . . [ \mathbf { V } ] _ { M } ^ { i } \dot { \neq } [ \mathbf { V } ] _ { 1 } ^ { j } [ \mathbf { V } ] _ { 2 } ^ { j } \dot { \mathbf { \Omega } } . . . [ \mathbf { V } ] _ { M } ^ { j }$ for $i \neq j$ and $i , j \in \{ 1 , \dots , K \}$ . As an alternative to unified context, we find that CSC is particularly useful for some fine-grained classification tasks. + +# 3 EXPERIMENTS + +# 3.1 FEW-SHOT LEARNING + +Datasets We select 11 publicly available image classification datasets used in CLIP: ImageNet (Deng et al., 2009), Caltech101 (Fei-Fei et al., 2004), OxfordPets (Parkhi et al., 2012), StanfordCars (Krause et al., 2013), Flowers102 (Nilsback & Zisserman, 2008), Food101 (Bossard et al., 2014), FGVCAircraft (Maji et al., 2013), SUN397 (Xiao et al., 2010), DTD (Cimpoi et al., 2014), EuroSAT (Helber et al., 2019) and UCF101 (Soomro et al., 2012) (see Appendix A for their statistics). These datasets constitute a comprehensive benchmark, which covers a diverse set of vision tasks including classification on generic objects, scenes, actions and fine-grained categories, as well as specialized tasks like recognizing textures and satellite imagery. We follow the few-shot evaluation protocol adopted in CLIP (Radford et al., 2021), using 1, 2, 4, 8 and 16 shots for training respectively and deploying models in the full test sets. The average results over three runs are reported for comparison. + +Training Details CoOp has four versions: positioning the class token in the end or middle; unified context vs. CSC. Unless otherwise stated, ResNet-50 (He et al., 2016) is used as the image encoder’s backbone and the number of context tokens $M$ is set to 16. Investigations on other design choices are discussed in Section 3.3. All models are built on top of the open-sourced CLIP.2 CoOp’s context vectors are randomly initialized by drawing from a zero-mean Gaussian distribution with standard deviation equal to 0.02. Training is done with SGD and an initial learning rate of 0.002, which is decayed by the cosine annealing rule. The maximum epoch is set to 200 for 16/8 shots, 100 for 4/2 shots, and 50 for 1 shot (except for ImageNet where the maximum epoch is fixed to 50). To mitigate explosive gradients observed in the early training iterations, we use the warmup trick by fixing the learning rate to $1 e - 5$ during the first epoch. + +![](images/ac5b5e3af8e643f6365c510dc971b79d4470f7d68c1a365e0582f84185a398b8.jpg) +Figure 3: Main results of few-shot learning on the 11 datasets. Overall, $\mathrm { C o O p }$ effectively turns CLIP into a strong few-shot learner (solid lines), achieving significant improvements over zero-shot CLIP (stars) and performing favorably against the linear probe alternative (dashed lines). $M$ denotes the context length. “end” or “mid” means putting the class token in the end or middle. CSC means class-specific context. + +Baseline Methods We compare CoOp with two baseline methods. The first is zero-shot CLIP, which is based on hand-crafted prompts. We follow the guideline of prompt engineering introduced by Radford et al. (2021). For generic objects and scenes, “a photo of a [CLASS].” is adopted. For fine-grained categories, task-relevant context is added like “a type of pet” for OxfordPets and “a type of food” for Food101. When it comes to specialized tasks such as recognizing textures in DTD, the prompt is customized as “[CLASS] texture.” where the class names are adjectives like “bubbly” and “dotted”. See Appendix A for the details. The second baseline is linear probe CLIP. As suggested by Radford et al. (2021) and a recent study on few-shot learning (Tian et al., 2020), training a linear classifier on top of high-quality pre-trained models’ features (like CLIP) can easily achieve performance that is on a par with that of state-of-the-art few-shot learning methods, which are often much more sophisticated. We follow the same training method used by Radford et al. (2021) to train linear probe CLIP. + +Comparison with Hand-Crafted Prompts Figure 3 summarizes the results. Our default model is $\mathrm { C L I P { + } C o O p }$ with the class token positioned in the end. The two different ways of positioning the class token achieve similar performance as their curves highly overlap. From the average performance displayed in the top-left corner, we observe that $\mathrm { C L I P { + } C o O p }$ is a strong few-shot learner, requiring only two shots on average to obtain a decent margin over zero-shot CLIP. Given 16 shots for training, the average gap brought by $\mathrm { C o O p }$ can be further increased to around $17 \%$ . + +Figure 4 ranks the absolute improvements obtained by $\mathrm { C o O p }$ at 16 shots over hand-crafted prompts. Huge improvements are observed on specialized tasks namely EuroSAT and DTD where the increase in performance reaches over $50 \%$ and $20 \%$ respectively. The jumps in performance are also significant (those more than $10 \%$ ) on most fine-grained datasets including Flowers102, StanfordCars and FGVCAircraft, as well as on scene and action recognition datasets (SUN397 & UCF101). Since ImageNet is a challenging dataset that contains 1,000 classes, the $5 . 0 5 \%$ improvement is also noteworthy. In contrast, the increases on the two fine-grained datasets, OxfordPets and Food101, are less appealing. By digging into $\mathrm { C L I P { + } C o O p }$ ’s curves on these two datasets in Figure 3, we find there is a loss of momentum in performance improvements even with more shots used, seemingly an overfitting problem. A potential solution is to impose higher regularizations like increasing the weight decay. Nonetheless, the overall results are strong enough to serve as evidence of CoOp’s capability of learning task-relevant prompts in a data-efficient way. + +Comparison with Linear Probe CLIP In terms of the overall performance (Figure 3, topleft), $\mathrm { C L I P { + } C o O p }$ demonstrates clear advantages over linear probe CLIP. The latter requires 4 shots on average to match the zero-shot’s performance while $\mathrm { C o O p }$ ’s average gains at 4 shots are already more than $10 \%$ . It is also clear that the gaps in the extreme low-data regime such as one or two shots are much larger, suggesting that $\mathrm { C o O p }$ is much more effective than learning a linear classifier from scratch for fewshot learning. We also observe that linear probe CLIP is comparable to $\mathrm { C L I P { + } C o O p }$ on the two specialized tasks (DTD & EuroSAT) as well as on a couple of fine-grained datasets (Flowers102 & FGVCAircraft)—this is not too surprising as the pre-trained CLIP space has been + +![](images/46a412dabce93f3d30b2c503d1d179bed564359fe33170e59b995e92be2edcad.jpg) +Figure 4: Comparison with hand-crafted prompts. + +proved powerful, making the linear probe model a strong competitor. Nevertheless, CoOp’s CSC version can beat linear probe CLIP on the aforementioned datasets, and moreover, shows much better potential when more shots become available. + +Unified vs. Class-Specific Context On average, using unified context leads to better performance. In terms of when to apply CSC and when not to, we have the following suggestions. For generic objects (ImageNet & Caltech101), scenes (SUN397) and actions (UCF101), using unified context is clearly better. Unified context also works better on some fine-grained datasets including OxfordPets and Food101, but on others like StanfordCars, Flowers102 and FGVCAircraft the CSC version is preferred. CSC also yields better performance on the two specialized tasks, DTD and EuroSAT, at 16 shots in particular. However, CSC mostly underperforms unified context in challenging low-data scenarios (fewer than 8 shots), which makes sense because CSC has more parameters than unified context and needs more data for training. + +# 3.2 ROBUSTNESS TO DISTRIBUTION SHIFT + +Since CoOp requires training on a specific data distribution, it risks learning spurious correlations that are detrimental to generalization in unseen distributions (domains), as suggested in recent studies (Taori et al., 2020; Zhou et al., 2021). On the contrary, zero-shot CLIP is not tied to a specific data distribution and has exhibited strong robustness to distribution shift (Radford et al., 2021). In this section, we aim to unveil how robust CoOp is to distribution shift, in comparison to zero-shot CLIP and the linear probe model. + +Table 1: Evaluation on robustness to distribution shift. $M$ : $\mathrm { C o O p }$ ’s context length. + +
SourceTarget
ImageNetImageNetV2ImageNet-SketchImageNet-AImageNet-R
Zero-Shot CLIP55.4148.0831.6718.6353.45
Linear Probe CLIP53.4443.4017.6311.6632.63
CLIP + CoOp (M=16)60.4652.1731.1419.6253.31
CLIP + CoOp (M=8)60.9052.5331.7319.9754.34
CLIP + CoOp (M=4)60.8553.0232.9920.6955.57
+ +Table 2: Comparison with prompt ensembling. + +
ImageNet
Prompt engineering55.41
Prompt ensembling57.81
CoOp60.46
+ +Table 3: Random vs. manual initialization. + +
Avg %
[V][V]2[V]3[V]471.26
"a photo of a"71.51
+ +Datasets The source dataset is ImageNet. The target datasets are ImageNetV2 (Recht et al., 2019), ImageNet-Sketch (Wang et al., 2019), ImageNet-A (Hendrycks et al., 2021b) and ImageNetR (Hendrycks et al., 2021a), all of which have compatible class names with ImageNet allowing seamless transfer for the prompts learned by CoOp. ImageNetV2 is a reproduced test set using different sources while following ImageNet’s data collection process. ImageNet-Sketch contains sketch images belonging to the same 1,000 ImageNet classes. Both ImageNet-A and -R contain 200 classes derived from a subset of ImageNet’s 1,000 classes. The former consists of real-world adversarially filtered images that cause current ImageNet classifiers to produce low results, whereas the latter features a rendition of the ImageNet classes in diverse image styles such as paintings, cartoons and sculptures. + +Results Table 1 summarizes the results. It is surprising that $\mathrm { C L I P { + } C o O p }$ exhibits stronger robustness than zero-shot CLIP to distribution shift, despite exposure to the source dataset. This suggests that the learned prompts are also generalizable. Moreover, it is interesting to see that using fewer context tokens leads to better robustness. More results with different vision backbones are provided in Appendix B.1 where the conclusion remains the same. In contrast, linear probe CLIP obtains much worse results on these target datasets, exposing its weakness in domain generalization. + +# 3.3 FURTHER ANALYSIS + +Comparison with Prompt Ensembling Radford et al. (2021) have suggested that additional improvements can be obtained by ensembling over multiple zero-shot classifiers generated using different hand-crafted prompts, such as “a photo of the large [CLASS].”, “a bad photo of the [CLASS].” and “a origami [CLASS].”, which reflect a different scale, view and abstraction respectively for an image. We are interested to know whether the prompts learned by $\mathrm { C o O p }$ can still maintain advantages when compared with prompt ensembling. For fair comparison, we use the select prompts from Radford et al. (2021), which have been extensively tuned on ImageNet, to construct the ensemble classifier. Table 2 presents the results of prompt engineering (i.e., using a single hand-crafted prompt), prompt ensembling and CoOp, confirming that $\mathrm { C o O p }$ is still the best performing method. Additional results are provided in Appendix B.2 to show that $\mathrm { C o O p }$ also beats prompt ensembling when more advanced vision backbones are used. Given the potential of prompt ensembling, future work could investigate how to improve CoOp from the ensembling perspective. + +Context Length How many context tokens should be used? And is it better to have more context tokens? The results in Section 3.2 suggest having shorter context length benefits domain generalization. Here we study this hyperparameter for source datasets. Specifically, we repeat experiments on the 11 datasets by varying the context length from 4 to 8 to 16. The average results are shown in Figure 5(a), which indicate that having more context tokens leads to better performance and that positioning the class token in the middle gains more momentum with longer context length. To sum up, there is no golden rule for selecting perfect context length since one needs to balance between performance and robustness to distribution shift. See Appendix B.3 for the dataset-specific results. + +![](images/519f0153c8ecc9cc7177d00f1acf28c5ca44154e86714b6beefc33ff40b1b1dd.jpg) +Figure 5: Investigations on CoOp’s context length and various vision backbones. + +Vision Backbones Figure 5(b) summarizes the results on the 11 datasets using a variety of vision backbones covering both CNNs and ViTs. The results are expected: the more advanced the backbone, the better the performance. The gap between CoOp and hand-crafted prompts is significant across all architectures. See Appendix B.4 for the dataset-specific results. + +Initialization We compare random initialization with manual initialization. The latter uses the embeddings of “a photo of a” to initialize the context vectors for the 11 datasets. For fair comparison, we also set the context length to 4 when using random initialization. Table 3 suggests a “good” initialization only brings a small improvement. Though further tuning of the initialization words might help, in practice we suggest using the simple random initialization method. + +Interpreting the Learned Prompts is difficult because the context vectors are optimized in a continuous space. We resort to an indirect way by searching within the vocabulary for words that are closest to the learned vectors based on the Euclidean distance. Note that CLIP (Radford et al., 2021) uses the BPE representation (Sennrich et al., 2016) for tokenization, so the vocabulary includes subwords that frequently appear in text, such as “hu” (subsumed by many words like “hug” and “human”). Table 4 shows the searched results on some datasets. We observe that a few words are somewhat relevant to the tasks, such as “enjoyed” for Food101, “fluffy” and “paw” for OxfordPets, and “pretty” for DTD. But when connecting all the nearest words together, the prompts do not make much sense. We also observe that when using manual initialization (like “a photo of a”), the nearest words for the converged vectors are mostly the ones used for initialization. We conjecture that the learned vectors might encode meanings that are beyond the existing vocabulary. Overall, we are unable to draw any firm conclusion based on the observations because using nearest words to interpret the learned prompts could be inaccurate—the semantics of the vectors is not necessarily correlated with the nearest words. + +# 4 RELATED WORK + +Vision-Language Models have recently demonstrated great potential in learning generic visual representations and allowing zero-shot transfer to a variety of downstream classification tasks (Radford et al., 2021; Jia et al., 2021; Zhang et al., 2020). To our knowledge, the recent developments in vision-language learning, particularly CLIP (Radford et al., 2021) and ALIGN (Jia et al., 2021), are largely driven by advances in the following three areas: i) text representation learning with Transformers (Vaswani et al., 2017), ii) large-minibatch contrastive representation learning (Chen et al., 2020; He et al., 2020; Henaff et al. ´ , 2020), and iii) web-scale training datasets—CLIP benefits from 400 million curated image-text pairs while ALIGN exploits 1.8 billion noisy image-text pairs. + +The idea of mapping images and text onto a common embedding space has been studied since nearly a decade ago (Socher et al., 2013; Frome et al., 2013; Elhoseiny et al., 2013), but with drastically different technologies. For text features extraction, early work has mainly utilized pre-trained word vectors (Socher et al., 2013; Frome et al., 2013) or the hand-crafted TF-IDF features (Elhoseiny et al., 2013; Lei Ba et al., 2015). Matching images and text features has been formulated as metric learning (Frome et al., 2013), multi-label classification (Joulin et al., 2016; Gomez et al., 2017), n-gram language learning (Li et al., 2017), and the recently proposed captioning (Desai & Johnson, 2021). Our work is orthogonal to recent research in vision-language models, aiming to facilitate the deployment of such models in downstream datasets. + +Table 4: The nearest words for each of the 16 context vectors learned by $\mathrm { C o O p }$ , with their distances shown in parentheses. N/A means non-Latin characters. + +
#ImageNet|Food101OxfordPets|DTD|UCF101
1potd (1.7136)lc (0.6752)tosc (2.5952)boxed (0.9433)|meteorologist (1.5377)
2that (1.4015)enjoyed (0.5305)judge (1.2635)seed (1.0498)exe (0.9807)
3filmed (1.2275)beh (0.5390)fluffy (1.6099)anna (0.8127)parents (1.0654)
4fruit (1.4864)matches (0.5646)cart (1.3958)mountain (0.9509)masterful (0.9528)
.,.. (1.5863)nytimes (0.6993)harlan (2.2948)eldest (0.7111)fe (1.3574)
(1.7502)prou (0.5905)paw (1.3055)pretty (0.8762)thof (1.2841)
excluded (1.2355)lower r(0.5390)incase (1.2215)faces (0.7872)where (0.9705)
cold (1.4654)N/Abie (1.5454)honey (1.8414)kristen (1.1921)
stery (1.6085)minute (0.5672)snuggle (1.1578)series (1.6680)imam (1.1297)
warri (1.3055)~ (0.5529)along (1.8298)coca (1.5571)near (0.8942)
11marvelcomics (1.5638)well (0.5659)lenjoyment (2.3495)moon (1.2775)tummy (1.4303)
12.: (1.7387)ends (0.6113)jt (1.3726)1h (1.0382)hel (0.7644)
13N/Amis (0.5826)improving (1.3198)won (0.9314)boop (1.0491)
14lation (1.5015)somethin (0.6041)srsly (1.6759)replied (1.1429)N/A
15muh (1.4985)seminar (0.5274)asteroid (1.3395)sent (1.3173)facial (1.4452)
16.# (1.9340)N/AN/Apiedmont (1.5198)during (1.1755)
+ +Prompt Learning in NLP Knowledge probing for large pre-trained language models, formally defined by Petroni et al. (2019) as “fill-in-the-blank” cloze tests, has recently sparked interest in prompt learning research in NLP (Shin et al., 2020; Jiang et al., 2020; Li & Liang, 2021; Zhong et al., 2021; Lester et al., 2021; Gao et al., 2020; Liu et al., 2021b). The basic idea of knowledge probing is to induce pre-trained language models to generate answers given cloze-style prompts, which can benefit a number of downstream tasks, such as sentiment analysis. Jiang et al. (2020) propose to generate candidate prompts through text mining and paraphrasing, and identify the optimal ones that give the highest training accuracy. Shin et al. (2020) introduce a gradient-based approach, which searches for tokens with the largest gradient changes in the label likelihood. Most related to our work are continuous prompt learning methods (Zhong et al., 2021; Li & Liang, 2021; Lester et al., 2021) which optimize continuous vectors in the word embedding space. A drawback of such methods compared to searching discrete tokens is the lack of a clear way to visualize what “words” are learned for the vectors. We refer readers to Liu et al. (2021a) for a comprehensive survey in the topic of prompt learning in NLP. + +# 5 CONCLUSION + +We present $\mathrm { C o O p }$ , a differentiable approach that focuses on continuous prompt learning to facilitate the deployment of pre-trained vision-language models in downstream datasets. The results on the 11 datasets serve as strong evidence of CoOp’s effectiveness in data-efficient learning. The learned prompts are proved much more task-relevant than hand-crafted prompts reflected by the huge improvements in performance, as well as stronger in robustness to distribution shift. 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In CVPR, 2010. + +Yuhao Zhang, Hang Jiang, Yasuhide Miura, Christopher D Manning, and Curtis P Langlotz. Contrastive learning of medical visual representations from paired images and text. arXiv preprint arXiv:2010.00747, 2020. + +Zexuan Zhong, Dan Friedman, and Danqi Chen. Factual probing is [mask]: Learning vs. learning to recall. In NAACL, 2021. + +Kaiyang Zhou, Ziwei Liu, Yu Qiao, Tao Xiang, and Chen Change Loy. Domain generalization in vision: A survey. arXiv preprint arXiv:2103.02503, 2021. + +# APPENDIX + +# A DATASETS DETAILS + +The detailed statistics of the 11 datasets, as well as the four variants of ImageNet, are shown in Table 5. The hand-crafted prompts used for zero-shot CLIP are also detailed in the table. For Caltech101, the “BACKGROUND Google” and “Faces easy” classes are discarded. For the video dataset, UCF101, the middle frame of each video is used as input to the image encoder. + +Table 5: Datasets statistics. + +
DatasetClassesTrainValTestHand-crafted prompt
ImageNet1,0001.28MN/A50.000“a photo of a [CLASS]."
Caltech1011004,1281,6492,465“a photo of a [CLASS].”
OxfordPets372.9447363,669“a photo of a[CLASS], a type of pet.”
StanfordCars1966,5091,6358,041“a photo of a [CLASS].”
Flowers1021024.0931,6332.463“a photo of a [CLASS],a type of flower.”
Food10110150,50020,20030,300“a photo of [CLASS], a type of food.”
FGVCAircraft1003,3343,3333,333“a photo of a [CLASS],a type of aircraft."”
SUN39739715,8803,97019,850“a photo of a [CLASS].”
DTD472,8201,1281,692"[CLASS] texture."
EuroSAT1013,5005,4008,100“a centered satelite photo of [CLASS]."
UCF1011017,6391,8983,783“a photo of a person doing [CLASS]."
ImageNetV21,000N/AN/A10.000“a photo of a [CLASS].”
ImageNet-Sketch1,000N/AN/A50,889“a photo of a [CLASS].”
ImageNet-A200N/AN/A7,500“a photo of a [CLASS].”
ImageNet-R200N/AN/A30,000“a photo of a [CLASS].”
+ +# B ADDITIONAL RESULTS + +# B.1 ROBUSTNESS EXPERIMENTS + +In addition to ResNet-50, we further experiment with more advanced architectures including ResNet-101, ViT-B/32 and ViT-B/16, all of which have pre-trained weights available from CLIP’s GitHub repository. The results are shown in Table 6 where we can draw the same conclusion as the main paper: CoOp offers stronger robustness than hand-crafted prompts and using fewer context tokens benefits domain generalization. + +# B.2 PROMPT ENGINEERING, PROMPT ENSEMBLING AND COOP + +Table 7 provides more comprehensive comparisons covering a variety of vision backbones. The observations are similar to those discussed in the main paper: prompt ensembling is clearly better than prompt engineering; and CoOp demonstrates consistent advantages over prompt ensembling. + +# B.3 CONTEXT LENGTH + +Figure 6 shows detailed results of using different context lengths for CoOp on each of the 11 datasets. The average performance, displayed in the top-left corner, suggests that using more context tokens is better. There are three exceptions: on ImageNet, OxfordPets, and Food101, the performance is saturated and the improvements diminish when the context length is increased. As discussed in the main paper, selecting a proper length needs to balance between performance on source datasets and robustness to distribution shift in unseen domains. We suggest practitioners use a validation set to identify the optimal context length for their applications. + +Table 6: Comparison with zero-shot CLIP on robustness to distribution shift using different vision backbones. $M$ : CoOp’s context length. + +
MethodSourceTarget
ImageNetV2ImageNet-SketchImageNet-AImageNet-R
ResNet-50
Zero-Shot CLIP55.4148.0831.6718.6353.45
CLIP + CoOp (M=16)60.4652.1731.1419.6253.31
CLIP + CoOp (M=4)60.8553.0232.9920.6955.57
ResNet-101
Zero-Shot CLIP58.7251.5736.7325.1162.15
CLIP + CoOp (M=16)64.3955.0037.5426.3161.73
CLIP + CoOp (M=4)63.9955.4539.1127.2563.58
ViT-B/32
Zero-Shot CLIP59.8851.9839.2227.4463.79
CLIP + CoOp (M=16)64.9255.9038.7928.7763.45
CLIP + CoOp (M=4)64.8856.2140.1729.6464.60
ViT-B/16
Zero-Shot CLIP64.7158.7144.7743.3772.49
CLIP + CoOp (M=16)70.1362.2344.8244.3072.98
CLIP + CoOp (M=4)70.1162.6646.2745.4674.33
+ +Table 7: Comparison with prompt engineering and prompt ensembling on ImageNet using different vision backbones. + +
MethodResNet-50ResNet-101ViT-B/32ViT-B/16
Prompt engineering55.4158.7259.8864.71
Prompt ensembling57.8160.4962.0167.31
CoOp60.4664.3964.9270.13
+ +# B.4 VISION BACKBONES + +Figure 7 provides the detailed per-dataset results for various vision backbones. 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#ImageNet|Food101OxfordPets|DTD|UCF101
1potd (1.7136)lc (0.6752)tosc (2.5952)boxed (0.9433)|meteorologist (1.5377)
2that (1.4015)enjoyed (0.5305)judge (1.2635)seed (1.0498)exe (0.9807)
3filmed (1.2275)beh (0.5390)fluffy (1.6099)anna (0.8127)parents (1.0654)
4fruit (1.4864)matches (0.5646)cart (1.3958)mountain (0.9509)masterful (0.9528)
.,.. (1.5863)nytimes (0.6993)harlan (2.2948)eldest (0.7111)fe (1.3574)
(1.7502)prou (0.5905)paw (1.3055)pretty (0.8762)thof (1.2841)
excluded (1.2355)lower r(0.5390)incase (1.2215)faces (0.7872)where (0.9705)
cold (1.4654)N/Abie (1.5454)honey (1.8414)kristen (1.1921)
stery (1.6085)minute (0.5672)snuggle (1.1578)series (1.6680)imam (1.1297)
warri (1.3055)~ (0.5529)along (1.8298)coca (1.5571)near (0.8942)
11marvelcomics (1.5638)well (0.5659)lenjoyment (2.3495)moon (1.2775)tummy (1.4303)
12.: (1.7387)ends (0.6113)jt (1.3726)1h (1.0382)hel (0.7644)
13N/Amis (0.5826)improving (1.3198)won (0.9314)boop (1.0491)
14lation (1.5015)somethin (0.6041)srsly (1.6759)replied (1.1429)N/A
15muh (1.4985)seminar (0.5274)asteroid (1.3395)sent (1.3173)facial (1.4452)
16.# (1.9340)N/AN/Apiedmont (1.5198)during (1.1755)
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DatasetClassesTrainValTestHand-crafted prompt
ImageNet1,0001.28MN/A50.000“a photo of a [CLASS]."
Caltech1011004,1281,6492,465“a photo of a [CLASS].”
OxfordPets372.9447363,669“a photo of a[CLASS], a type of pet.”
StanfordCars1966,5091,6358,041“a photo of a [CLASS].”
Flowers1021024.0931,6332.463“a photo of a [CLASS],a type of flower.”
Food10110150,50020,20030,300“a photo of [CLASS], a type of food.”
FGVCAircraft1003,3343,3333,333“a photo of a [CLASS],a type of aircraft."”
SUN39739715,8803,97019,850“a photo of a [CLASS].”
DTD472,8201,1281,692"[CLASS] texture."
EuroSAT1013,5005,4008,100“a centered satelite photo of [CLASS]."
UCF1011017,6391,8983,783“a photo of a person doing [CLASS]."
ImageNetV21,000N/AN/A10.000“a photo of a [CLASS].”
ImageNet-Sketch1,000N/AN/A50,889“a photo of a [CLASS].”
ImageNet-A200N/AN/A7,500“a photo of a [CLASS].”
ImageNet-R200N/AN/A30,000“a photo of a [CLASS].”
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MethodSourceTarget
ImageNetV2ImageNet-SketchImageNet-AImageNet-R
ResNet-50
Zero-Shot CLIP55.4148.0831.6718.6353.45
CLIP + CoOp (M=16)60.4652.1731.1419.6253.31
CLIP + CoOp (M=4)60.8553.0232.9920.6955.57
ResNet-101
Zero-Shot CLIP58.7251.5736.7325.1162.15
CLIP + CoOp (M=16)64.3955.0037.5426.3161.73
CLIP + CoOp (M=4)63.9955.4539.1127.2563.58
ViT-B/32
Zero-Shot CLIP59.8851.9839.2227.4463.79
CLIP + CoOp (M=16)64.9255.9038.7928.7763.45
CLIP + CoOp (M=4)64.8856.2140.1729.6464.60
ViT-B/16
Zero-Shot CLIP64.7158.7144.7743.3772.49
CLIP + CoOp (M=16)70.1362.2344.8244.3072.98
CLIP + CoOp (M=4)70.1162.6646.2745.4674.33
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MethodResNet-50ResNet-101ViT-B/32ViT-B/16
Prompt engineering55.4158.7259.8864.71
Prompt ensembling57.8160.4962.0167.31
CoOp60.4664.3964.9270.13
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1700, + "height": 2200 + } + } +] \ No newline at end of file diff --git a/parse/dev/RA7ND878XP/RA7ND878XP.md b/parse/dev/RA7ND878XP/RA7ND878XP.md new file mode 100644 index 0000000000000000000000000000000000000000..60e04519a8e1ebdf0b6c029fc9ef4434387a5893 --- /dev/null +++ b/parse/dev/RA7ND878XP/RA7ND878XP.md @@ -0,0 +1,310 @@ +# Segment Anything in High Quality + +Lei $\mathbf { K e } ^ { * 1 , 2 }$ Mingqiao Ye∗1 Martin Danelljan1 Yifan Liu1 Yu-Wing Tai3 Chi-Keung Tang2 Fisher Yu1 1ETH Zürich 2HKUST 3Dartmouth College + +# Abstract + +The recent Segment Anything Model (SAM) represents a big leap in scaling up segmentation models, allowing for powerful zero-shot capabilities and flexible prompting. Despite being trained with 1.1 billion masks, SAM’s mask prediction quality falls short in many cases, particularly when dealing with objects that have intricate structures. We propose HQ-SAM, equipping SAM with the ability to accurately segment any object, while maintaining SAM’s original promptable design, efficiency, and zero-shot generalizability. Our careful design reuses and preserves the pre-trained model weights of SAM, while only introducing minimal additional parameters and computation. We design a learnable High-Quality Output Token, which is injected into SAM’s mask decoder and is responsible for predicting the high-quality mask. Instead of only applying it on mask-decoder features, we first fuse them with early and final ViT features for improved mask details. To train our introduced learnable parameters, we compose a dataset of 44K fine-grained masks from several sources. HQ-SAM is only trained on the introduced detaset of 44k masks, which takes only 4 hours on 8 GPUs. We show the efficacy of HQ-SAM in a suite of 10 diverse segmentation datasets across different downstream tasks, where 8 out of them are evaluated in a zero-shot transfer protocol. Our code and pretrained models are at https://github.com/SysCV/SAM-HQ. + +# 1 Introduction + +Accurate segmentation of diverse objects is fundamental for a wide range of scene understanding applications, including image/video editing, robotic perception, and AR/VR. Trained with billionscale mask labels, the Segment Anything Model (SAM) [21] was recently released as a foundational vision model for general image segmentation. SAM is capable of segmenting a wide range of objects, parts, and visual structures in diverse scenarios, by taking a prompt consisting of points, a bounding box, or a coarse mask as input. Its zero-shot segmentation abilities have led to a rapid paradigm shift, as it can be transferred to numerous applications through simple prompting. + +While SAM has achieved impressive performance, its segmentation results are still unsatisfactory in many cases. In particular, SAM suffers from two key problems: 1) Coarse mask boundaries, often even neglecting the segmentation of thin object structures, as shown in Figure 1. 2) Incorrect predictions, broken masks, or large errors in challenging cases. This is often related to SAM misinterpreting thin structures, such as the kite lines in the rightmost column of Figure 1. These types of failures severely limit the applicability and effectiveness of foundational segmentation models, such as SAM, in particular for automated annotation and image/video editing tasks, where highly accurate image masks are crucial. + +We propose HQ-SAM, which can predict highly accurate segmentation masks, even in very challenging cases (see Figure 1), without compromising the strong zero-shot capabilities and flexibility of the original SAM. To preserve the efficiency and zero-shot performance, we propose a minimal adaptation of SAM, adding less than $0 . 5 \%$ parameters, to extend its capability to high-quality segmentation. + +![](images/407a1726493e2a258b5fdbedad4aa251a2c8caa2f4685673275f9117f4959218.jpg) +Figure 1: The predicted masks of SAM vs. our HQ-SAM, given the same red box or several points on the object as input prompts. HQ-SAM produces significantly more detailed results with very accurate boundaries. In the rightmost column, SAM misinterprets the thin structure of the kite lines, and produces a large portion of errors with broken holes for the input box prompt. + +Directly fine-tuning the SAM decoder or introducing a new decoder module severely degrades the general zero-shot segmentation performance. We therefore propose the HQ-SAM architecture, which tightly integrates with and re-uses the existing learned SAM structure, in order to fully preserve the zero-shot performance. First, we design a learnable HQ-Output Token that is input to SAM’s mask decoder, alongside the original prompt and output tokens. Unlike the original output tokens, our HQ-Output Token and its associated MLP layers are trained to predict a high-quality segmentation mask. Second, instead of only re-using the SAM’s mask decoder features, our HQ-Output Token operates on a refined feature set to achieve accurate mask details. In particular, we use both global semantic context and local fine-grained features by fusing SAM’s mask decoder features with early and late feature maps from its ViT encoder. During training, we freeze the entire pre-trained SAM parameters, while only updating our HQ-Output Token, its associated three-layer MLPs, and a small feature fusion block. + +Learning accurate segmentation requires a dataset with accurate mask annotations of diverse objects with complex and detailed geometries. SAM is trained on the SA-1B dataset, which contains 11M images with 1.1 billion masks automatically generated by a SAM-like model. However, using this extensive dataset presents significant cost implications and falls short of achieving the desired high-quality mask generations pursued in our work, as evident by SAM’s performance in Figure 1. Consequently, we compose a new dataset, called HQSeg-44K, which contains 44K extremely fine-grained image mask annotations. HQSeg44K is constructed by merging six existing image datasets [35, 29, 26, 38, 8, 46] with highly accurate mask labels, covering over 1,000 diverse semantic classes. Thanks to the smaller-scale dataset and our minimal integrated architecture, HQ-SAM can be trained in only 4 hours on 8 RTX 3090 GPUs. + +![](images/9e22ac4bdc3810019eab898b37d1b0278a0511dec8ff33f337ff25a25cb40fc0.jpg) +Figure 2: Performance vs. speed vs. model size for an array of SAM variants [21, 52]. + +To validate the effectiveness of HQ-SAM, we perform extensive quantitative and qualitative experimental analysis. We provide a comprehensive performance-speed-model size comparison on SAM variants [21, 52] in Figure 2. We compare HQ-SAM with SAM on a suite of 10 diverse segmentation datasets across different downstream tasks, where 8 out of them are under a zero-shot transfer protocol, including COCO [31], UVO [42], SGinW [58], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29] and HR-SOD [51]. This rigorous evaluation demonstrates that the proposed HQ-SAM can produce higher-quality masks while maintaining the zero-shot capability compared with SAM. + +# 2 Related Work + +High-quality Segmentation Existing works for high-quality segmentation are mostly trained for a specific segmentation task, like image and video instance segmentation [22, 19, 20, 40, 44], semantic segmentation [30, 54, 39, 50] or panoptic segmentation [9], in a close-world paradigm. Some of them focus on post-segmentation refinement using with graphical models such as CRF [23] or region growing [10]. However, the CRF-based refinement is adhere to low-level color boundaries without fully utilizing high-level semantic context and cannot fix large segmentation errors. While some refinement-based works adopt separate deep networks for cascade iterative refinement [6, 37], they are prone to overfitting as shown by our experiment. Compared to these high-quality segmentation [19, 22, 33] or segmentation refinement methods, we focus on accurately segmenting diverse objects on new data with flexible prompting, and build a high-quality zero-shot segmentation model that generalizes to various segmentation tasks and domains. Unlike the post segmentation refinement works [6, 37], to preserve the zero-shot segmentation capability of SAM, HQ-SAM predicts the new high-quality mask directly by reusing the image encoder and mask decoder of SAM, instead of taking the coarse mask and images as the input and feeding it into a separate refinement network. The model architecture of HQ-SAM builds upon SAM with negligible overhead, where we propose efficient token learning for accurate mask predictions. This is completely different from previous high-quality segmentation works, and we show its effectiveness across a wide range of zero-shot experiments. + +Fine-tuning and Prompt Tuning for Foundation Models Foundation models [2, 1] first appear in the NLP community, where large language models such as GPT series [2] show strong zero-shot generalization to unseen tasks and data. Then, some prompt-based learning works [16, 27, 17] are proposed to help these pre-trained models generalize to the downstream tasks instead of fine-tuning the internal model parameters [15] for better transfer learning. For vision-based foundation models [21, 43, 59], prompt engineering [56, 45, 49, 57] that freezes the pre-trained model is first explored in vision-language models, such as CLIP [36]. These prompts with learnable parameters are designed to help downstream tasks with better context optimization. Different from the existing prompt-based or finetuning works, we focus on the minimal adaptation of SAM toward high-quality segmentation. We directly use the proposed HQ-Output Token output for accurate mask prediction, instead of only leveraging some learnable parameters [56] to help context learning and better generalization. + +# 3 Method + +We propose HQ-SAM to upgrade SAM for high-quality zero-shot segmentation. HQ-SAM is lightweight and only introduces two important adaptations to the SAM model. In Sec 3.1, we first briefly review the architecture of SAM on which HQ-SAM is built. Then, in Sec 3.2, we introduce our HQ-SAM with High-Quality Token (HQ-Output Token) and Global-local Feature Fusion, which are the key components to achieve better segmentation quality for SAM while preserving its zero-shot capability. Finally, in Sec 3.3, we describe the training and inference process of HQ-SAM, which is both data and computationally efficient. + +# 3.1 Preliminaries: SAM + +SAM [21] is composed of three modules: (a) Image encoder: a heavy ViT-based backbone for image feature extraction, resulting in image embedding in spatial size $6 4 \times 6 4$ . (b) Prompt encoder: encoding the interactive positional information from the input points/boxes/masks to provide for the mask decoder. (c) Mask decoder: a two-layer transformer-based decoder takes both the extracted image embedding with the concatenated output and prompt tokens for final mask prediction. The released SAM model is trained on the large-scale SA-1B dataset, which contains over 1 billion automatically generated masks $4 0 0 \times$ more masks than any existing segmentation datasets [14, 24]) and 11 million images. Thus, SAM shows valuable strong zero-shot generalization to new data without the necessity for additional training. However, we also note that SAM training is very expensive, where distributively training ViT-H-based SAM for 2 epochs on SA-1B requires 256 GPUs with a large batch size of 256 images. For more SAM method details, we refer readers to [21]. + +![](images/4e828903d98d1c98ee300a042bb3f9054e815e3f7dbe43ceaae583eb665cb4b3.jpg) +Figure 3: HQ-SAM introduces HQ-Output Token and Global-local Feature Fusion to SAM for high-quality mask prediction. To keep the zero-shot capability of SAM, the lightweight HQ-Output Token reuses SAM’s mask decoder, and generates new MLP layers for performing point-wise product with fused HQ-Features. During training, only a few learnable parameters in HQ-SAM are trainable while we fix the model parameters of the pre-trained SAM. The prompt encoder is omitted here for clarity. Error correction is simply used as a direct element-wise sum between the predicted logits of the SAM’s Output Token and the HQ-Output Token during inference. + +# 3.2 Ours: HQ-SAM + +In this section, we describe the architecture of the HQ-SAM network. To preserve the zero-shot transfer capability of SAM, while preventing model overfitting or catastrophic forgetting, instead of directly finetuning SAM or adding a new heavy decoder network, we take a minimal adaptation approach as much as possible. To this end, HQ-SAM reuses the pre-trained model weights of SAM as much as possible with only two new key components, namely, High-Quality Output Token and Global-local Feature Fusion, as illustrated in Figure 3. HQ-SAM can thus be regarded as a highquality zero-shot segmentation model evolved from SAM with negligible extra model parameters and computation cost. + +# 3.2.1 High-Quality Output Token + +We propose efficient token learning for improving the mask quality of SAM. As shown in Figure 3, in SAM’s original mask decoder design, the output token (similar to object query in DETR [3]) is adopted for mask prediction, which predicts dynamic MLP weights and then performs point-wise product with the mask features. To promote SAM’s mask quality in HQ-SAM, instead of directly taking SAM’s coarse masks as input, we introduce the HQ-Output token and a new mask prediction layer for high-quality mask prediction. + +In Figure 3, by reusing and fixing SAM’s mask decoder, a new learnable HQ-Output Token (size of $1 \times 2 5 6 ,$ is concatenated with SAM’s output tokens (size of $4 \times 2 5 6$ and prompt tokens (size of $\mathrm { N _ { p r o m p t } } { \times } 2 5 6 $ ) as the input to the SAM’s mask decoder. Similar to the original output token, in each attention layer, HQ-Output Token first performs self-attention with other tokens and then conducts both token-to-image and the reverse image-to-token attention for its feature updating. Note that HQ-Output Token uses the point-wise MLP shared by the other tokens in each decoder layer. After passing through two decoder layers, the updated HQ-Output Token has access to the global image context, the critical geometric/type information of prompt tokens as well as hidden mask information of the other output tokens. Finally, we add a new three-layer MLP to generate dynamic convolutional kernels from the updated HQ-Output Token, which then performs spatially point-wise product with the fused HQ-feature for high-quality mask generation. + +Instead of directly finetuning SAM or further adding a heavy post-refinement network, we only allow the HQ-Output Token and its associated three-layer MLPs to be trained for correcting the mask errors of SAM’s output token. This is completely different from existing high-quality segmentation models [19, 6, 20, 22]. We identify two main advantages of our efficient token learning through extensive experiments: 1) This strategy significantly improves SAM’s mask quality while only introducing negligible parameters compared to original SAM, making HQ-SAM training extremely time and data-efficient; 2) The learned token and MLP layers do not overfit to mask the annotation bias of a specific dataset, thus keeping SAM’s strong zero-shot segmentation capability on new images without catastrophic knowledge forgetting. + +# 3.2.2 Global-local Fusion for High-quality Features + +Very accurate segmentation also requires input image feature with both rich global semantic context and local boundary details. To further promote mask quality, we enrich both the high-level object context and low-level boundary/edge information in the mask decoder features of SAM. Instead of directly using SAM’s mask decoder feature, we compose the new high-quality features (HQFeatures) by extracting and fusing features from different stages of the SAM model: 1) The early layer local feature of SAM’s ViT encoder with spatial shape $6 4 \times 6 4$ , which captures more general image edge/boundary details [12]. Concretely, we extract the feature after the first global attention block of the ViT encoder, and for ViT-Large based SAM, this is the 6th block output for the 24 blocks in total; 2) The final layer global feature of SAM’s ViT encoder with shape $6 4 \times 6 4$ , which has more global image context information; 3) The mask feature in SAM’s mask decoder with size $2 5 6 \times 2 5 6$ , which is also shared by the output tokens, contains strong mask shape information. + +As shown in Figure 3, to obtain the input HQ-Features, we first upsample the early-layer and finallayer encoder features to the spatial size $2 5 6 \times 2 5 6$ by transposed convolution. Then, we sum up these three types of features in an element-wise manner after simple convolutional processing. We show that this global-local feature fusion is simple while effective, yielding detail-preserving segmentation results with a small memory footprint and computation burden. We also perform detailed ablation on the effect of each feature source in the experimental section (Table 3). + +# 3.3 Training and Inference of HQ-SAM + +Training Data Construction To train HQ-SAM in a data-efficient manner, instead of further training on SA-1B [21], we compose a new training dataset HQSeg-44K which contains 44,320 extremely accurate image mask annotations. We note that the released SA-1B dataset only contains automatically generated mask labels, missing very accurate manual annotation on objects with complex structures. Due to the annotation difficulty, HQSeg-44K leverages a collection of six existing image datasets including DIS [35] (train set), ThinObject-5K [29] (train set), FSS-1000 [26], ECSSD [38], MSRA10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains 7.4K mask labels on average. To make HQ-SAM robust and generalizable to new data, HQSeg-44K contains diverse semantic classes of more than 1,000. We show the advantage of using HQSeg-44K by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21] in our supplemental analysis. + +HQ-SAM Training During training, we fix the model parameters of the pre-trained SAM model while only making the proposed HQ-SAM learnable. The learnable parameters thus only include the HQ-Output Token, its associated three-layer MLP and three simple convolutions for HQ-Features fusion. Since SAM is designed for flexible segmentation prompts, we train HQ-SAM by sampling mixed types of prompts including bounding boxes, randomly sampled points, and coarse masks input. We generate these degraded masks by adding random Gaussian noise in the boundary regions of the GT masks. For generalizability to different object scales, we use large-scale jittering [13]. We use a learning rate of 0.001 and train our HQ-SAM for 12 epochs, with a learning rate drop after 10 epochs. We train on 8 Nvidia GeForce RTX 3090 GPUs with a total batch size of 32, which takes 4 hours to train for 16.6K iterations. Please refer to our supplemental file for more details. + +HQ-SAM Inference We follow the same inference pipeline of SAM but use the mask prediction from HQ-Output token as high-quality mask prediction. During inference, we sum the predicted logits of the SAM mask (by Output Token) and our predicted mask (by HQ-Output Token) for mask correction on spatial resolution $2 5 6 \times 2 5 6$ . Then we up-sample the corrected mask to the original resolution $1 0 2 4 \times 1 0 2 4$ as our output. + +SAM vs. HQ-SAM on Training and Inference In Table 1, we report detailed training and inference comparisons between our HQ-SAM and SAM. While HQ-SAM produces substantially better segmentation quality, its training is very quick and affordable, which only takes 4 hours with 8 RTX3090 GPUs. HQ-SAM is also lightweight and efficient, introducing negligible increases in model parameters, GPU memory usage, and inference time per image. + +Table 1: Training and inference comparison between ViT-L [11] based SAM and HQ-SAM. HQ-SAM brings negligible extra computation burden to SAM, with less than $0 . 5 \%$ increase in model parameters and reaching $96 \%$ of its original speed. SAM-L is trained on 128 A100 GPUs for 180k iterations. Based on SAM-L, we only need to train our HQ-SAM on 8 RTX3090 GPUs for 4 hours. + +
MethodTrainingInference
Learnable Params (M)# GPUBatch SizeTime (h)FPSMem.
SAM [21]1191128128N/A5.07.6G
HQ-SAM5.183244.87.6G
+ +# 4 Experiments + +# 4.1 Experimental Setup + +Datasets For training we use the compiled HQSeg-44K, described in Section 3.3. For a comprehensive evaluation of the segmentation performance of HQ-SAM, we perform experiments on a wide range of datasets, including four extremely fine-grained segmentation datasets: DIS [35] (validation set), ThinObject-5K [29] (test set), COIFT [29] and HR-SOD [51]. Besides, we experiment on popular and challenging benchmarks across various image/video-based segmentation tasks in zero-shot settings, such as COCO [31], SGinW [58], UVO [42], LVIS [14], HQ-YTVIS [20] and BIG [6]. + +Evaluation Metrics To accurately quantify improvements in mask quality, instead of only employing the standard mask AP or mask mIoU, we also adopt boundary metrics mBIoU and boundary $\mathsf { A P } _ { B }$ [5]. We also evaluate on stricter $\mathsf { A P } _ { B } ^ { \mathrm { s t r i c t } }$ by adjusting the default dilation ratio from 0.02 to 0.01 on UVO [42] and LVIS [14]. For evaluation on the four fine-grained segmentation datasets [35, 29, 51], we also report the averaged boundary and mask IoU among them. For video instance segmentation evaluation on HQ-YTVIS [20], we use both Tube Boundary $\mathsf { A P } ^ { B }$ and Tube Mask $\mathsf { A P } ^ { M }$ . + +# 4.2 Ablation Experiments + +We conduct detailed ablation studies on the proposed HQ-SAM using ViT-Large as the backbone, analyzing the impact of the proposed HQ-Output Token and HQ-Features on segmentation quality especially in zero-shot cases. For ablation experiments, we use the four aforementioned extremely accurate segmentation datasets, namely, DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and HR-SOD [51] as well as the COCO validation set. + +Effect of the High-Quality Output Token . HQ-SAM employs HQ-Output Token for high-quality mask prediction. Table 2 compares our HQ-Output Token to the baseline SAM and other existing prompt/token learning strategies, such as adding an additional three context tokens [56] as learnable vectors into the SAM’s mask decoder for better context learning. Compared to using context tokens, the HQ-Output token consistently brings larger performance gains on four high-quality datasets, with 13.2 mBIoU on DIS and 2.7 mBIoU on COIFT datasets. We also perform other ablation experiment variants, such as computing the scaled dot product [18] between the original SAM’s output token and our HQ-Output token or restricting the mask loss to only inside the boundary regions, and find they slightly decrease the averaged performance on the four evaluation datasets. Compared to SAM, HQ-SAM significantly improves the mBIoU on DIS benchmark from 52.8 to 70.4 and also promotes the mBIoU on the HRSOD dataset for 3.8 points. + +Ablation on the Global-local Fusion for HQ-Features Table 3 tabulates the effect of global-local fusion, where the importance of each feature component is analyzed in HQ-Features during the fusion process. Compared to directly using the mask decoder feature of SAM, the entire HQ-Features bring an obvious advantage of $2 . 6 \ \mathrm { m B I o U }$ on four highly accurate segmentation datasets. The final-layer ViT encoder feature with global context increases the mBIoU from 80.1 to 81.3. while the early-layer feature with local details further promotes the mBIoU to 81.8. We also replace the proposed global-local fusion with the conventional FPN to build a feature pyramid for fusion, and found this brought an inferior performance, decreasing from 89.1 to 87.4 mIoU. + +Comparison to SAM finetuning or post-refinement . In Table 4, we compare our efficient token adaptation strategy to adding an extra post-refinement network [6] and model finetuning, including directly finetuning SAM’s mask decoder or only finetuning its output token for mask prediction. Adding an extra heavy post-refinement network brings limited averaged performance increase on four HQ datasets but leads to very poor performance on COCO, indicating strong overfitting. We also observe a similar phenomenon when directly finetuning SAM’s mask decoder. Only finetuning SAM’s output token can address the catastrophic forgetting problem with improvement on the four HQ datasets and COCO. However, the incremental improvement is still much smaller compared to ours. HQ-SAM improves 1.1 $\mathsf { A P } _ { B }$ on COCO while output token finetuning only gives an increase of $0 . 4 \ : \mathrm { A P } _ { B }$ . This shows the advantage of HQ-SAM in data-efficient learning while preserving the zero-shot capability of SAM. + +Table 2: Ablation study of the HQ-Output Token on four extremely fine-grained segmentation datasets. We adopt the boxes converted from their GT masks as the box prompt input. By default, we train the predicted mask of HQ Output-Token by computing full GT mask loss. + +
ModelDIS [35]COIFT [29]HRSOD [51]ThinObject [29]Average
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoU
SAM (baseline)62.052.892.186.590.283.173.661.879.571.1
Using SAM's mask decoder feature:
SAM+Context Token [56]71.562.293.087.791.885.084.573.185.277.0
SAM + HQ-Output Token (× Output Token)75.165.8 66.493.988.993.086.186.174.687.078.9
SAM + HQ-Output Token (Boundary Loss) SAM + HQ-Output Token75.2 75.366.094.0 94.288.9 89.292.1 93.085.7 86.187.3 86.876.0 75.487.2 87.379.3
79.2
Using Our HQ-Feature:
SAM + HQ-Output Token (+ Context Token)78.570.494.689.693.687.088.9 89.579.388.9 89.181.6
SAM+ HQ-Output Token78.670.494.890.193.686.979.981.8
+ +Table 3: Ablation study on the HQ-Features sources. Early-layer denotes the feature after the first global attention block of the ViT encoder, while final-layer denotes the output of the last ViT block. Four HQ datasets denote DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and HR-SOD [51]. + +
ModelFusion convDecoder Mask featureViT Encoder Final-layer Early-layermIoUFour HQ datasets mBIoU
SAM [21]79.571.1
HQ-SAM (Ours)广87.3 79.2
87.880.1
15.19.0
√ √广88.6 81.3
√ √√ √ √ 丁88.6 89.181.1 81.8
+ +![](images/bbcd16187a66390c4705bad3e39d81e9e20ed9ae9461c2d432578811e25a09dc.jpg) +Figure 4: Recall rate comparison between COIFT [29] and HRSOD [51] under the zero-shot protocol, using BIoU thresholds ranging from loose to strict. The performance gap between SAM and our HQ-SAM increases significantly when we vary from a loose BIoU threshold of 0.5 to a very strict threshold of 0.9, showing the advantage of HQ-SAM in predicting very accurate segmentation masks. + +Accuracy analysis at different BIoU thresholds Figure 4 compares SAM and HQ-SAM from loose to strict BIoU thresholds. We plot the percentage of mask predictions that have a BIoU larger than the threshold indicated on the $\mathbf { X }$ -axis. The large performance gap with strict IoU thresholds on both COIFT [29] and HRSOD [51] clearly validates the advantage of HQ-SAM in predicting very accurate masks. However, even at the loose threshold of 0.5, HQ-SAM reduces the number of incorrect predictions by SAM by $81 \%$ for COIFT and $69 \%$ for HRSOD. This shows that HQ-SAM predictions are not only substantially more accurate but also more robust in challenging cases. + +Table 4: Comparison with model finetuning or extra post-refinement [6]. For the COCO dataset, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. + +
ModelFour HQ datasets mIoU mBIoUCoCo
APBAPAPLAPmAPs
SAM (baseline)79.571.133.348.563.953.134.1
Training the whole SAM38.012.20.25.51-1
Add Context Token [56]85.277.031.947.265.151.231.9
CascadePSP Post-refinement [6]80.974.62.813.443.49.40.0
CRM Post-refinement [37]81.475.415.928.7=--
Finetune SAM's decoder87.679.59.019.545.215.84.7
Finetune SAM's output token87.679.733.748.766.052.333.6
HQ-SAM (Ours)89.181.834.449.566.253.833.9
+ +Table 5: Zero-shot open-world instance segmentation results comparison on UVO [42]. We use FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. $* ^ { s t r i c t }$ denotes the boundary region with a tighter threshold. + +
ModelAPsictAPAP6APBAPB75APB50AP
SAM8.63.725.617.314.437.729.7
HQ-SAM9.95.028.218.516.338.630.1
+ +Table 6: Zero-shot segmentation result comparison on the test set of high-quality BIG [6] benchmark using various types of input prompts. We employ PSPNet [55] to generate the coarse mask prompt. + +
ModelGT Box Prompt mIoUmBIoUMask Prompt mIoUmBIoU
SAM81.170.466.641.8
HQ-SAM86.075.386.975.1
+ +# 4.3 Zero-shot Comparison with SAM + +We perform extensive zero-shot transfer comparisons between our HQ-SAM and SAM on 7 benchmarks, including SGinW [58], COCO [31], UVO [42], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29] and HR-SOD [51], where HQ-SAM outperforms SAM without bells and whistles, demonstrating its efficacy and kept generalization ability even trained with a small-scale dataset. + +Results on the SGinW Benchmark Equipped with the same Grounding-DINO [32] as box prompts, we also performed experiments by replacing SAM with HQ-SAM in Grounded-SAM, and obtained the first place in the Segmentation in the Wild (SGinW) competition1 on the zero-shot track. Note that SGinW contains 25 zero-shot in-the-wild segmentation datasets for evaluation, and GroundedHQ-SAM with 49.6 mean AP and outperforms Grounded-SAM obviously using the same detector. + +Zero-Shot Open-world Segmentation To evaluate the zero-shot segmentation results in the openworld environment, in Table 5, we compare SAM and our HQ-SAM on the challenging UVO [42] benchmark with diverse and dense objects mask annotations. By taking the same pre-trained object detector [53] as box prompt input, our HQ-SAM improves for $1 . 3 \mathrm { A P } _ { B } ^ { \mathrm { s t r i c t } }$ t and 2.6 APstrictB50 over SAM. + +Zero-Shot Segmentation on High-resolution BIG Dataset In Table 6, we compare the zero-shot segmentation quality between SAM and HQ-SAM on the high-resolution BIG benchmark [6] with two types of prompts, including using GT object boxes or the provided coarse masks input. HQ-SAM consistently surpasses SAM, with obvious advantages using different types of prompts, and is much more robust to coarse masks prompts with partial boundary errors (provided by PSPNet [55]). + +Zero-shot Instance Segmentation on COCO and LVIS In Table 7, we also evaluate HQ-SAM on the popular COCO and LVIS benchmarks respectively by feeding box prompts generated by the trained detectors of these two datasets. HQ-SAM consistently outperforms SAM by $1 . 1 \mathrm { \ A P } _ { B }$ on COCO and $0 . 7 \mathrm { A P } _ { B 7 5 } ^ { \mathrm { s t r i c t } }$ on LVIS, showing the improved mask quality and well-preserved zero-shot segmentation ability during the HQ-SAM training process. + +Table 7: Zero-shot instance segmentation results comparison on COCO [31] and LVISv1 [14]. For the COCO dataset, we use FocalNet-DINO [53] detector trained on COCO. For LVIS, we adopt ViTDet-H [28] trained on the LVIS dataset as our box prompt generator. For SAM, we use the ViT-L backbone and box prompt. We maintain the zero-shot segmentation capability of the original SAM while improving the mask quality on the boundary region. + +
ModelCOCOLVIS
APBAPAPsietAPAPBAPB75AP
SAM33.348.532.132.838.540.943.6
HQ-SAM34.449.532.533.538.841.243.9
+ +![](images/3e2a649cbc6fa87420afe8afb381fa3922fca11a2410a55b3b7cc6cc7d1af28c.jpg) +Figure 5: Interactive segmentation results comparison using a varying number of input points on the COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently outperforms SAM with various point numbers, and the relative improvement is more obvious with less prompt ambiguity. + +Table 8: Zero-shot Video Instance Segmentation comparison on the test set of the very accurately labeled HQ-YTVIS [20] benchmark. We utilize pre-trained Swin-L-based Mask2Fromer [4] on YTVIS [47] as our box prompt input while reusing its object association prediction. + +
ModelAPBAPAP5APMAPAP
SAM30.219.172.960.768.190.5
HQ-SAM34.024.379.563.670.591.1
+ +Point-based Interactive Segmentation Comparison To investigate the segmentation performance of HQ-SAM with interactive point prompts, in Figure 5, we compare HQ-SAM to SAM with varying numbers of input points on COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently outperforms SAM with different point prompts on both two datasets. We note that the relative performance increase is more significant when the prompt contains less object ambiguity with more input points information (increasing from 1 positive point to 10 positive points $+ 5$ negative points). + +Zero-shot High-quality Video Instance Segmentation Besides conducting image-based segmentation evaluation, we also perform video instance segmentation results comparison on the accurately annotated HQ-YTVIS benchmark [20]. We take the pre-trained Mask2Former [4] as our video box prompts and feed it into SAM and our HQ-SAM for mask prediction. In Table 8, HQ-SAM achieves remarkable gains of 3.8 points in Tube Boundary $\mathsf { A P } ^ { B }$ and 2.9 Tube Mask $\mathsf { A P } ^ { M }$ . + +Visualization of HQ-Output Token In Figure 6, we provide visual comparison of our HQ-Output Token vs. SAM’s common output token for their cross-attention maps in the last token-to-image layer of the mask decoder. We observe that our HQ-Output Token attends to the boundary and thin structure regions that are missed by the common token. + +Zero-shot Visual Results Comparison In Figure 7, we compare HQ-SAM to SAM qualitatively in a zero-shot transfer setting, where HQ-SAM significantly promotes the mask details of SAM and also improves the masks of broken holes or large portion errors by the enriched semantic context. Refer to the supplemental file for more visual comparisons. + +Comparison with Adapter Tuning Strategy In Table 9, we also compare our efficient token adaptation strategy to the recent Adapter Tuning [48] and LoRA [17]. We introduce lightweight adapters to ViT layers of SAM’s encoder for encoder tuning and identify that this strategy leads to overfitting and its zero-shot performance on COCO decreases from 33.3 to 29.6. This validates our design choice to freeze SAM’s encoder, and mainly focus on SAM’s decoder. + +![](images/eea1ab449769a73f49fe2b291298358cea5af95b5d5850d38bcc06c26ef6abd8.jpg) + +![](images/a74317947cf626e16a1796294afa6276b45cb3ed3a71f30829443bdd89401bd5.jpg) +Figure 6: Cross-attention of SAM’s original token vs. HQ-Output Token in the last decoder layer. HQ-Token attends to the boundary and thin structure regions that are missed by the original token. +Figure 7: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) in a zero-shot transfer setting, given the same red box or point prompt. HQ-SAM produces significantly more detailed-preserving results and also addresses the mask errors with broken holes. + +Table 9: Comparison to Adapter Tuning [48] or using LoRA [17] in SAM’s encoder using ViT-L based SAM and the same HQSeg-44K. For the COCO dataset, we use the SOTA detector FocalNetDINO [53] trained on the COCO dataset as our box prompt generator. + +
ModelCoCoModel Params (MB)
APBAPAPLAPMAPsTotalTrainable
SAM33.348.563.953.134.111911
SAM+LoRA[17]28.643.7---1192.51.5
SAM + Encoder Adapter [48]29.644.863.947.829.0120312.0
HQ-SAM34.449.566.253.833.91196.15.1
+ +Mobile Efficiency Although HQ-SAM significantly boosts SAM’s mask quality with negligible overhead, it shares the heavy ViT encoder of SAM, and thus cannot achieve a real-time speed in video processing. For efficient mobile deployment, we propose Light HQ-SAM based on the tiny ViT image encoder provided by MobileSAM [52]. In Figure 2, achieving running speed of $4 1 . 2 \ : \mathrm { F P S }$ , Light HQ-SAM improves the zero-shot COCO AP of MobileSAM from 44.3 to 45.0 with negligible additional cost, i.e., 1.7MB increase in model parameters. + +# 5 Conclusion + +We propose HQ-SAM, the first high-quality zero-shot segmentation model by introducing negligible overhead to the original SAM. We propose a lightweight High-quality Output Token in HQ-SAM to replace the original SAM’s output token for high-quality mask prediction. After training only on 44K highly-accurate masks, HQ-SAM significantly boosts the mask prediction quality of SAM, which was trained on 1.1 billion masks. 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Segment everything everywhere all at once. In NeurIPS, 2023. + +# Supplementary Material: Segment Anything in High Quality + +In this supplementary material, Section 6 first presents the additional experimental analysis of our HQSAM, including more zero-shot transfer comparisons to SAM on both image and video benchmarks. Then, in Section 7, we describe more details of our method implementation, including the training and inference. In Section 8, we provide further details of our constructed HQSeg-44K dataset for training HQ-SAM. In Section 9, we show extensive visual results comparison between our HQ-SAM and SAM on COCO [31], DIS-test [35], HR-SOD [51], NDD20 [41], DAVIS [34], and YTVIS [47]. + +# 6 Supplementary experiments + +SAM vs. HQ-SAM on Various Backbones In Table 10, we provide a comprehensive comparison between HQ-SAM and SAM using various backbones, including ViT-B, ViT-L, ViT-H and TinyViT. The comparison not only includes the numerical results on the four HQ datasets and COCO validation set, but also contains the model sizes/speed/memory. HQ-SAM consistently outperforms SAM using three different backbones, with over 10 points increase in mBIoU on the four HQ datasets. Notably, the ViT-B based HQ-SAM significantly improves the $\mathbf { A P } ^ { B }$ on COCO from 28.2 to 31.3 and AP from 44.4 to 46.7, with only a $1 . 1 \%$ increase in model parameters and negligible extra memory consumption. + +Table 10: SAM vs. HQ-SAM on various ViT backbones. For the COCO dataset, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. + +
ModelFour HQ datasetsCoCoModel Params (MB)FPSMemory
mIoUmBIoUAPBAPAPLAPMAPsTotalLearnable
SAM-B HQ-SAM-B70.6 86.362.3 78.128.2 31.344.4 46.757.7 62.948.7 50.532.1 32.0358 362.1358 4.110.1 9.85.1G 5.1G
SAM-L79.571.133.348.563.953.134.1119111915.07.6G
HQ-SAM-L SAM-H89.1 75.681.8 68.334.449.566.253.833.91196.15.1 24464.8 3.57.6G 10.3G
HQ-SAM-H89.381.534.0 34.948.9 49.964.553.334.42446 2452.16.13.410.3G
66.554.034.2
MobileSAM
69.058.828.644.3--38.638.644.83.7G
Light HQ-SAM81.471.629.645.0--40.31.741.23.7G
+ +Table 11: Results on YouTubeVIS 2019 validation set and HQ-YTVIS test set using ViT-L based SAM. We adopt the SOTA detector Mask2Former [4] trained on the YouTubeVIS 2019 dataset as our video boxes prompt generator while reusing its object association prediction. + +
ModelYTVIS 2019HQ-YTVIS
APAP50AP75APLAPmAPsAPBAPM
SAM51.882.155.465.552.034.230.260.7
HQ-SAM53.282.958.366.453.333.734.063.6
+ +Zero-shot Video Instance Segmentation Comparison Extending from Table 8 of the paper (evaluation on the HQ-YTVIS benchmark [20]), we further perform a comparative analysis of zeroshot video instance segmentation results on the popular YTVIS 2019 [47] validation set. We take the pre-trained Mask2Former [4] as our video box prompts and feed them into SAM and our HQ-SAM for mask prediction. In Table 11, HQ-SAM achieves consistent gains of 1.4 points in Tube Mask AP, increasing SAM’s performance from 51.8 to 53.2. Interestingly, we find the $\mathsf { A P } _ { 7 5 }$ improvement with a higher IoU threshold for HQ-SAM is much larger than $\mathrm { { A P } _ { 5 0 } }$ , further validating the advantages of HQ-SAM in high-quality mask prediction. + +Zero-shot Video Object Segmentation Comparison Besides video instance segmentation, in Table 12, we further report the comparison of video object segmentation results between HQ-SAM and SAM on DAVIS validation set in a zero-shot transfer protocol. We take the pre-trained XMem as our video box prompts and feed the same prompts into SAM and HQ-SAM. HQ-SAM improves SAM the $\mathcal { T } \& \mathcal { F }$ from 82.0 to 83.2 and the $\mathcal { F }$ score from 84.9 to 86.1, where $\mathcal { F }$ is for measuring the contour accuracy of the video objects. + +Table 12: Results on DAVIS 2017 [34] validation set using ViT-L based SAM. We adopt the SOTA model XMem [7] as our video boxes prompt generator while reusing its object association prediction. + +
ModelJ&FJF
SAM82.079.084.9
HQ-SAM83.280.386.1
+ +Robustness to Input Box Prompts In Table 13, we compare HQ-SAM to SAM by adding various scales of noises to the input ground truth box prompts. In practice, we cannot expect the input box prompts provided by humans in interactive modes to be identical to the ground truth (GT) boxes or extremely accurate. We follow the data augmentation code in DN-DETR [25] to add different noise scales and identify that our HQ-SAM is much more robust compared to SAM, where the relative mBIoU advantage improves from 10.7 to 20.5 when gradually increasing the noise scales. Note that our method is not trained with noised boxes. We also visualize such noised input case in Figure 11, where SAM is more sensitive to small box location shifts that easily happened during interactive annotation. + +Table 13: Comparison of segmentation accuracy on the four HQ datasets by adding various noise levels to the GT box prompts input. + +
ModelNo Noise mIoU mBIoUNoise scale 0.2 mIoU mBIoUNoise scale 0.4 mIoU mBIoU
SAM79.571.165.757.146.439.8
HQ-SAM89.181.8个10.782.873.4个16.369.960.3个20.5
+ +# 7 Additional Implementation details + +Training Details During training HQ-SAM on the composed HQSeg-44K, we fix the model parameters of the pre-trained SAM model while only making the proposed HQ-SAM learnable, including HQ-Output Token, its associated three-layer MLP and three convolutions for HQ-Features fusion. Two of them are transposed convolutions (size $2 \times 2$ , stride 2) used to upscale encoder embedding size from $6 4 \times 6 4$ to $2 5 6 \times 2 5 6$ . We treat the new HQ-Output Token as the fifth mask token compared to the original four mask tokens in SAM’s mask decoder. During training, this new HQ-Output token of size $1 \times 2 5 6$ is concatenated with SAM’s mask tokens (size of $4 \times 2 5 6$ ), iou token (size of $1 \times 2 5 6 ,$ ) and prompt tokens (size of $\mathrm { N _ { p r o m p t } } { \times 2 5 6 } )$ as the input to the SAM’s mask decoder. For example, if the input image contains $N$ box prompts (size $\Nu { \times } 2 \times 2 5 6 )$ ), the final concatenated input and output shape for the 2-layer mask decoder of SAM is $\Nu \times ( 1 + 4 + 1 + 2 ) \times 2 5 6$ . For experiments using ViT-B, ViT-L, and ViT-H-based models on training, we adopt the same training setting, with a learning rate of 1e-3 and train our HQ-SAM for 12 epochs (learning rate drops to 1e-4 after 10 epochs). We supervise mask prediction of the new HQ-Output token with a combination of both BCE Loss and Dice Loss. + +Implementation Details We follow the same inference pipeline of SAM but use the mask prediction from HQ-Output token as high-quality mask prediction. Table 10 reports the detailed inference speed comparison using various backbones. For box-prompting-based evaluation, we feed SAM and our HQ-SAM with the same image/video bounding boxes and adopt the single mask output mode of SAM. For interactive segmentation comparison using a single point, we follow SAM and adopt the “center” point of Ground Truth (GT) masks, which is at a maximal value location in a mask’s interior distance transform. For multiple-point evaluation, we randomly sample the points from the GT masks and report the averaged results with three trials. + +# 8 More Details of HQSeg-44K + +Data compostion of HQSeg-44K In Table 14, we provide more details of our composed new training dataset HQSeg-44K which contains 44,320 extremely accurate image mask annotations, where we show their annotation quality in Figure 8. HQSeg-44K is a collection of six existing image datasets including DIS [35] (train set), ThinObject-5K [29] (train set), FSS [26], ECSSD [38], MSRA-10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains 7.4K mask labels on average. This composed training set has no images/annotations overlapping with the zero-shot evaluation datasets adopted in our paper. + +Effect of HQSeg-44K In Table 15, we show the advantage of using HQSeg-44K by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21]. Using the same efficient token learning strategy, training with SA-1B (44K) decreases the averaged mBIoU on the four datasets from 71.1 to 70.1, while ours improves it from 71.1 to 81.8. This validates the effectiveness of our constructed HQSeg-44K benchmark in improving mask quality. Note that the ablation experiments in Table 2, Table 3, Table 4, and Table 9 of the paper are all based on the constructed HQSeg-44K. + +Table 14: Data composition of our constructed HQ-Seg-44K. + +
DatasetDIS [35]Thin-Object 5k [29]FSS [26]DUTS [46]ECSSD [38]MSRA-10K [8]Total
Image Num.30004748100001557210001000044320
+ +![](images/cd0a6b40af772e74a6dd84609517d95ad0361f92e9a7bdf1f11d27cbd994c7c6.jpg) +Figure 8: Visualization of annotated mask quality for randomly selected cases from the six dataset components of the HQ-Seg-44K. Zoom in for better viewing the fine-grained mask details. + +Zero-shot results on DIS and ThinObject-5K We also report zero-shot results in Table 16 on DIS and ThinObject-5K by removing the training splits of either or both datasets from the training of + +Table 15: Comparison of the training dataset. For the COCO dataset using ViT-L-based SAM, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. + +
ModelDatasetDISCOIFTHRSODThinObject mBIoUAverage
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmIoUmBIoU
SAMSA-1B62.052.892.186.590.283.173.661.879.571.1
HQ-SAM+ SA-1B-44K60.451.791.186.188.480.973.161.878.370.1
HQ-SAM+ HQ-Seg-44K(Ours)78.670.494.890.193.686.989.579.989.181.8
+ +![](images/e8c7b778d9aac766ea214213137b57b038b7dab53250c5ec0ddcfe7a2349f2f4.jpg) +Figure 9: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) on DIS test set, given the same red box prompt. HQ-SAM produces significantly more accurate boundaries. + +HQ-SAM. The improvement of HQ-SAM over SAM is still substantial on DIS or ThinObject (over 10.0 points on DIS-mIoU and 9.0 points on ThinObject-mIoU), even when the corresponding training splits are removed from training. + +Table 16: Zero-shot results on DIS and ThinObject-5K by removing the training splits of either or both datasets from the training of HQ-SAM. Results not obtained in a zero-shot manner (i.e. the training split was used), are shown in parenthesis to easily compare zero-shot results. + +
Training SettingDIS-mIoUDIS-mBIoUThinObject-mloUThinObject-mBIoU
SAM (baseline)62.052.873.661.8
HQ-SAM (remove both DIS and ThinObject)72.963.182.770.7
HQ-SAM (remove DIS)74.766.2(90.1)(80.4)
HQ-SAM (remove ThinObject)(78.4)(70.3)83.372.1
HQ-SAM (default HQSeg-44K)(78.6)(70.4)(89.5)(79.9)
+ +# 9 More Visual Results Comparison + +We provide more extensive visual results comparison in Figure 9 (DIS [35] test set), Figure 10 (zeroshot setting in COCO), Figure 11 (noised box input) and Figure 12 (zero-shot setting in HRSOD [51], NDD20 [41] and web images which cover objects with various structure complexities in diverse environments. In Figure 13 and Figure 14, we provide the zero-shot video segmentation results comparison on DAVIS 2017 and YTVIS 2019 benchmarks respectively. Besides, we include the dark underwater environment in NDD20 [41] and randomly selected web images in Figure 12, showing that the zero-shot segmentation power in SAM is well preserved by HQ-SAM. In Figure 12, we also include two failure cases in the rightmost two columns of the third row and bottom row, where HQ-SAM improves over SAM, but still cannot achieve fully correct mask prediction. + +![](images/e795bb0b5cd7075b6c3a38e3405e6ac7c9ed26c5bf98bf3f7fd17b615947eeaf.jpg) +Figure 10: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) on COCO val set in zero-shot setting, using a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. HQ-SAM predicts masks with higher quality than SAM with less mask artifacts. + +![](images/1af3959ed492899c80291476410d91a2c2469d5a8493f8c962999aa306800ca3.jpg) +Figure 11: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) with both the GT and noised green box prompt. HQ-SAM produces much more consistent and robust segmentation results regarding to the noises in the input boxes. + +![](images/c11fb3e2b4fdeb3edcc542de87a5867e05f33080fbaa3227e87d4558bbc33bfd.jpg) +Figure 12: Visual results comparison between SAM (top row and third row) vs. HQ-SAM (second row and bottom row) in zero-shot setting, given the same yellow box or point prompt. HQ-SAM produces significantly more detailed preserving masks while fixing mask errors with broken holes. The rightmost two columns in the third row and bottom row show two failure cases of HQ-SAM in extremely dark environments or very tiny metal rods. + +![](images/e68837b6fab3f016dbf3028fa6a390df5ea43384dbc9e110f1a8d9412d80b5b9.jpg) +Figure 13: Visual results comparison between SAM vs. HQ-SAM on video object segmentation benchmark DAVIS 2017 in zero-shot setting, given the same video boxes prompts generated by the pre-trained XMem [7]. + +![](images/9fcb950c275fe6b53fde13b0b74eb0a8bd8c670b625373bc6ce7ed6a44586938.jpg) +Figure 14: Visual results comparison between SAM vs. HQ-SAM on video instance segmentation benchmark YTVIS 2019 in zero-shot setting, given the same video boxes prompts generated by the pre-trained Mask2Former [4]. \ No newline at end of file diff --git a/parse/dev/RA7ND878XP/RA7ND878XP_content_list.json b/parse/dev/RA7ND878XP/RA7ND878XP_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..3a8c0a8fdd531cccaae517e4c048f5145144f61c --- /dev/null +++ b/parse/dev/RA7ND878XP/RA7ND878XP_content_list.json @@ -0,0 +1,1379 @@ +[ + { + "type": "text", + "text": "Segment Anything in High Quality ", + "text_level": 1, + "bbox": [ + 287, + 122, + 710, + 148 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Lei $\\mathbf { K e } ^ { * 1 , 2 }$ Mingqiao Ye∗1 Martin Danelljan1 Yifan Liu1 Yu-Wing Tai3 Chi-Keung Tang2 Fisher Yu1 1ETH Zürich 2HKUST 3Dartmouth College ", + "bbox": [ + 230, + 199, + 769, + 244 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 280, + 535, + 296 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The recent Segment Anything Model (SAM) represents a big leap in scaling up segmentation models, allowing for powerful zero-shot capabilities and flexible prompting. Despite being trained with 1.1 billion masks, SAM’s mask prediction quality falls short in many cases, particularly when dealing with objects that have intricate structures. We propose HQ-SAM, equipping SAM with the ability to accurately segment any object, while maintaining SAM’s original promptable design, efficiency, and zero-shot generalizability. Our careful design reuses and preserves the pre-trained model weights of SAM, while only introducing minimal additional parameters and computation. We design a learnable High-Quality Output Token, which is injected into SAM’s mask decoder and is responsible for predicting the high-quality mask. Instead of only applying it on mask-decoder features, we first fuse them with early and final ViT features for improved mask details. To train our introduced learnable parameters, we compose a dataset of 44K fine-grained masks from several sources. HQ-SAM is only trained on the introduced detaset of 44k masks, which takes only 4 hours on 8 GPUs. We show the efficacy of HQ-SAM in a suite of 10 diverse segmentation datasets across different downstream tasks, where 8 out of them are evaluated in a zero-shot transfer protocol. Our code and pretrained models are at https://github.com/SysCV/SAM-HQ. ", + "bbox": [ + 232, + 311, + 766, + 560 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 176, + 590, + 310, + 607 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Accurate segmentation of diverse objects is fundamental for a wide range of scene understanding applications, including image/video editing, robotic perception, and AR/VR. Trained with billionscale mask labels, the Segment Anything Model (SAM) [21] was recently released as a foundational vision model for general image segmentation. SAM is capable of segmenting a wide range of objects, parts, and visual structures in diverse scenarios, by taking a prompt consisting of points, a bounding box, or a coarse mask as input. Its zero-shot segmentation abilities have led to a rapid paradigm shift, as it can be transferred to numerous applications through simple prompting. ", + "bbox": [ + 174, + 622, + 826, + 720 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "While SAM has achieved impressive performance, its segmentation results are still unsatisfactory in many cases. In particular, SAM suffers from two key problems: 1) Coarse mask boundaries, often even neglecting the segmentation of thin object structures, as shown in Figure 1. 2) Incorrect predictions, broken masks, or large errors in challenging cases. This is often related to SAM misinterpreting thin structures, such as the kite lines in the rightmost column of Figure 1. These types of failures severely limit the applicability and effectiveness of foundational segmentation models, such as SAM, in particular for automated annotation and image/video editing tasks, where highly accurate image masks are crucial. ", + "bbox": [ + 174, + 727, + 825, + 837 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We propose HQ-SAM, which can predict highly accurate segmentation masks, even in very challenging cases (see Figure 1), without compromising the strong zero-shot capabilities and flexibility of the original SAM. To preserve the efficiency and zero-shot performance, we propose a minimal adaptation of SAM, adding less than $0 . 5 \\%$ parameters, to extend its capability to high-quality segmentation. ", + "bbox": [ + 176, + 843, + 823, + 872 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/407a1726493e2a258b5fdbedad4aa251a2c8caa2f4685673275f9117f4959218.jpg", + "image_caption": [ + "Figure 1: The predicted masks of SAM vs. our HQ-SAM, given the same red box or several points on the object as input prompts. HQ-SAM produces significantly more detailed results with very accurate boundaries. In the rightmost column, SAM misinterprets the thin structure of the kite lines, and produces a large portion of errors with broken holes for the input box prompt. " + ], + "image_footnote": [], + "bbox": [ + 176, + 66, + 820, + 294 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 366, + 823, + 395 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Directly fine-tuning the SAM decoder or introducing a new decoder module severely degrades the general zero-shot segmentation performance. We therefore propose the HQ-SAM architecture, which tightly integrates with and re-uses the existing learned SAM structure, in order to fully preserve the zero-shot performance. First, we design a learnable HQ-Output Token that is input to SAM’s mask decoder, alongside the original prompt and output tokens. Unlike the original output tokens, our HQ-Output Token and its associated MLP layers are trained to predict a high-quality segmentation mask. Second, instead of only re-using the SAM’s mask decoder features, our HQ-Output Token operates on a refined feature set to achieve accurate mask details. In particular, we use both global semantic context and local fine-grained features by fusing SAM’s mask decoder features with early and late feature maps from its ViT encoder. During training, we freeze the entire pre-trained SAM parameters, while only updating our HQ-Output Token, its associated three-layer MLPs, and a small feature fusion block. ", + "bbox": [ + 173, + 401, + 825, + 565 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Learning accurate segmentation requires a dataset with accurate mask annotations of diverse objects with complex and detailed geometries. SAM is trained on the SA-1B dataset, which contains 11M images with 1.1 billion masks automatically generated by a SAM-like model. However, using this extensive dataset presents significant cost implications and falls short of achieving the desired high-quality mask generations pursued in our work, as evident by SAM’s performance in Figure 1. Consequently, we compose a new dataset, called HQSeg-44K, which contains 44K extremely fine-grained image mask annotations. HQSeg44K is constructed by merging six existing image datasets [35, 29, 26, 38, 8, 46] with highly accurate mask labels, covering over 1,000 diverse semantic classes. Thanks to the smaller-scale dataset and our minimal integrated architecture, HQ-SAM can be trained in only 4 hours on 8 RTX 3090 GPUs. ", + "bbox": [ + 174, + 574, + 504, + 835 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/9e22ac4bdc3810019eab898b37d1b0278a0511dec8ff33f337ff25a25cb40fc0.jpg", + "image_caption": [ + "Figure 2: Performance vs. speed vs. model size for an array of SAM variants [21, 52]. " + ], + "image_footnote": [], + "bbox": [ + 522, + 577, + 813, + 799 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To validate the effectiveness of HQ-SAM, we perform extensive quantitative and qualitative experimental analysis. We provide a comprehensive performance-speed-model size comparison on SAM variants [21, 52] in Figure 2. We compare HQ-SAM with SAM on a suite of 10 diverse segmentation datasets across different downstream tasks, where 8 out of them are under a zero-shot transfer protocol, including COCO [31], UVO [42], SGinW [58], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29] and HR-SOD [51]. This rigorous evaluation demonstrates that the proposed HQ-SAM can produce higher-quality masks while maintaining the zero-shot capability compared with SAM. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 92, + 823, + 119 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 140, + 321, + 157 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "High-quality Segmentation Existing works for high-quality segmentation are mostly trained for a specific segmentation task, like image and video instance segmentation [22, 19, 20, 40, 44], semantic segmentation [30, 54, 39, 50] or panoptic segmentation [9], in a close-world paradigm. Some of them focus on post-segmentation refinement using with graphical models such as CRF [23] or region growing [10]. However, the CRF-based refinement is adhere to low-level color boundaries without fully utilizing high-level semantic context and cannot fix large segmentation errors. While some refinement-based works adopt separate deep networks for cascade iterative refinement [6, 37], they are prone to overfitting as shown by our experiment. Compared to these high-quality segmentation [19, 22, 33] or segmentation refinement methods, we focus on accurately segmenting diverse objects on new data with flexible prompting, and build a high-quality zero-shot segmentation model that generalizes to various segmentation tasks and domains. Unlike the post segmentation refinement works [6, 37], to preserve the zero-shot segmentation capability of SAM, HQ-SAM predicts the new high-quality mask directly by reusing the image encoder and mask decoder of SAM, instead of taking the coarse mask and images as the input and feeding it into a separate refinement network. The model architecture of HQ-SAM builds upon SAM with negligible overhead, where we propose efficient token learning for accurate mask predictions. This is completely different from previous high-quality segmentation works, and we show its effectiveness across a wide range of zero-shot experiments. ", + "bbox": [ + 174, + 172, + 825, + 406 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Fine-tuning and Prompt Tuning for Foundation Models Foundation models [2, 1] first appear in the NLP community, where large language models such as GPT series [2] show strong zero-shot generalization to unseen tasks and data. Then, some prompt-based learning works [16, 27, 17] are proposed to help these pre-trained models generalize to the downstream tasks instead of fine-tuning the internal model parameters [15] for better transfer learning. For vision-based foundation models [21, 43, 59], prompt engineering [56, 45, 49, 57] that freezes the pre-trained model is first explored in vision-language models, such as CLIP [36]. These prompts with learnable parameters are designed to help downstream tasks with better context optimization. Different from the existing prompt-based or finetuning works, we focus on the minimal adaptation of SAM toward high-quality segmentation. We directly use the proposed HQ-Output Token output for accurate mask prediction, instead of only leveraging some learnable parameters [56] to help context learning and better generalization. ", + "bbox": [ + 174, + 412, + 825, + 565 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Method ", + "text_level": 1, + "bbox": [ + 174, + 585, + 269, + 603 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We propose HQ-SAM to upgrade SAM for high-quality zero-shot segmentation. HQ-SAM is lightweight and only introduces two important adaptations to the SAM model. In Sec 3.1, we first briefly review the architecture of SAM on which HQ-SAM is built. Then, in Sec 3.2, we introduce our HQ-SAM with High-Quality Token (HQ-Output Token) and Global-local Feature Fusion, which are the key components to achieve better segmentation quality for SAM while preserving its zero-shot capability. Finally, in Sec 3.3, we describe the training and inference process of HQ-SAM, which is both data and computationally efficient. ", + "bbox": [ + 174, + 618, + 825, + 715 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Preliminaries: SAM ", + "text_level": 1, + "bbox": [ + 174, + 733, + 352, + 747 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "SAM [21] is composed of three modules: (a) Image encoder: a heavy ViT-based backbone for image feature extraction, resulting in image embedding in spatial size $6 4 \\times 6 4$ . (b) Prompt encoder: encoding the interactive positional information from the input points/boxes/masks to provide for the mask decoder. (c) Mask decoder: a two-layer transformer-based decoder takes both the extracted image embedding with the concatenated output and prompt tokens for final mask prediction. The released SAM model is trained on the large-scale SA-1B dataset, which contains over 1 billion automatically generated masks $4 0 0 \\times$ more masks than any existing segmentation datasets [14, 24]) and 11 million images. Thus, SAM shows valuable strong zero-shot generalization to new data without the necessity for additional training. However, we also note that SAM training is very expensive, where distributively training ViT-H-based SAM for 2 epochs on SA-1B requires 256 GPUs with a large batch size of 256 images. For more SAM method details, we refer readers to [21]. ", + "bbox": [ + 174, + 758, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/4e828903d98d1c98ee300a042bb3f9054e815e3f7dbe43ceaae583eb665cb4b3.jpg", + "image_caption": [ + "Figure 3: HQ-SAM introduces HQ-Output Token and Global-local Feature Fusion to SAM for high-quality mask prediction. To keep the zero-shot capability of SAM, the lightweight HQ-Output Token reuses SAM’s mask decoder, and generates new MLP layers for performing point-wise product with fused HQ-Features. During training, only a few learnable parameters in HQ-SAM are trainable while we fix the model parameters of the pre-trained SAM. The prompt encoder is omitted here for clarity. Error correction is simply used as a direct element-wise sum between the predicted logits of the SAM’s Output Token and the HQ-Output Token during inference. " + ], + "image_footnote": [], + "bbox": [ + 176, + 92, + 821, + 292 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Ours: HQ-SAM ", + "text_level": 1, + "bbox": [ + 174, + 410, + 326, + 425 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this section, we describe the architecture of the HQ-SAM network. To preserve the zero-shot transfer capability of SAM, while preventing model overfitting or catastrophic forgetting, instead of directly finetuning SAM or adding a new heavy decoder network, we take a minimal adaptation approach as much as possible. To this end, HQ-SAM reuses the pre-trained model weights of SAM as much as possible with only two new key components, namely, High-Quality Output Token and Global-local Feature Fusion, as illustrated in Figure 3. HQ-SAM can thus be regarded as a highquality zero-shot segmentation model evolved from SAM with negligible extra model parameters and computation cost. ", + "bbox": [ + 174, + 438, + 825, + 549 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2.1 High-Quality Output Token ", + "text_level": 1, + "bbox": [ + 174, + 568, + 418, + 583 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We propose efficient token learning for improving the mask quality of SAM. As shown in Figure 3, in SAM’s original mask decoder design, the output token (similar to object query in DETR [3]) is adopted for mask prediction, which predicts dynamic MLP weights and then performs point-wise product with the mask features. To promote SAM’s mask quality in HQ-SAM, instead of directly taking SAM’s coarse masks as input, we introduce the HQ-Output token and a new mask prediction layer for high-quality mask prediction. ", + "bbox": [ + 173, + 593, + 825, + 678 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In Figure 3, by reusing and fixing SAM’s mask decoder, a new learnable HQ-Output Token (size of $1 \\times 2 5 6 ,$ is concatenated with SAM’s output tokens (size of $4 \\times 2 5 6$ and prompt tokens (size of $\\mathrm { N _ { p r o m p t } } { \\times } 2 5 6 $ ) as the input to the SAM’s mask decoder. Similar to the original output token, in each attention layer, HQ-Output Token first performs self-attention with other tokens and then conducts both token-to-image and the reverse image-to-token attention for its feature updating. Note that HQ-Output Token uses the point-wise MLP shared by the other tokens in each decoder layer. After passing through two decoder layers, the updated HQ-Output Token has access to the global image context, the critical geometric/type information of prompt tokens as well as hidden mask information of the other output tokens. Finally, we add a new three-layer MLP to generate dynamic convolutional kernels from the updated HQ-Output Token, which then performs spatially point-wise product with the fused HQ-feature for high-quality mask generation. ", + "bbox": [ + 174, + 683, + 825, + 835 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Instead of directly finetuning SAM or further adding a heavy post-refinement network, we only allow the HQ-Output Token and its associated three-layer MLPs to be trained for correcting the mask errors of SAM’s output token. This is completely different from existing high-quality segmentation models [19, 6, 20, 22]. We identify two main advantages of our efficient token learning through extensive experiments: 1) This strategy significantly improves SAM’s mask quality while only introducing negligible parameters compared to original SAM, making HQ-SAM training extremely time and data-efficient; 2) The learned token and MLP layers do not overfit to mask the annotation bias of a specific dataset, thus keeping SAM’s strong zero-shot segmentation capability on new images without catastrophic knowledge forgetting. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 147 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2.2 Global-local Fusion for High-quality Features ", + "text_level": 1, + "bbox": [ + 174, + 162, + 542, + 178 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Very accurate segmentation also requires input image feature with both rich global semantic context and local boundary details. To further promote mask quality, we enrich both the high-level object context and low-level boundary/edge information in the mask decoder features of SAM. Instead of directly using SAM’s mask decoder feature, we compose the new high-quality features (HQFeatures) by extracting and fusing features from different stages of the SAM model: 1) The early layer local feature of SAM’s ViT encoder with spatial shape $6 4 \\times 6 4$ , which captures more general image edge/boundary details [12]. Concretely, we extract the feature after the first global attention block of the ViT encoder, and for ViT-Large based SAM, this is the 6th block output for the 24 blocks in total; 2) The final layer global feature of SAM’s ViT encoder with shape $6 4 \\times 6 4$ , which has more global image context information; 3) The mask feature in SAM’s mask decoder with size $2 5 6 \\times 2 5 6$ , which is also shared by the output tokens, contains strong mask shape information. ", + "bbox": [ + 174, + 186, + 825, + 339 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "As shown in Figure 3, to obtain the input HQ-Features, we first upsample the early-layer and finallayer encoder features to the spatial size $2 5 6 \\times 2 5 6$ by transposed convolution. Then, we sum up these three types of features in an element-wise manner after simple convolutional processing. We show that this global-local feature fusion is simple while effective, yielding detail-preserving segmentation results with a small memory footprint and computation burden. We also perform detailed ablation on the effect of each feature source in the experimental section (Table 3). ", + "bbox": [ + 174, + 345, + 825, + 428 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Training and Inference of HQ-SAM ", + "text_level": 1, + "bbox": [ + 176, + 436, + 462, + 452 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Training Data Construction To train HQ-SAM in a data-efficient manner, instead of further training on SA-1B [21], we compose a new training dataset HQSeg-44K which contains 44,320 extremely accurate image mask annotations. We note that the released SA-1B dataset only contains automatically generated mask labels, missing very accurate manual annotation on objects with complex structures. Due to the annotation difficulty, HQSeg-44K leverages a collection of six existing image datasets including DIS [35] (train set), ThinObject-5K [29] (train set), FSS-1000 [26], ECSSD [38], MSRA10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains 7.4K mask labels on average. To make HQ-SAM robust and generalizable to new data, HQSeg-44K contains diverse semantic classes of more than 1,000. We show the advantage of using HQSeg-44K by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21] in our supplemental analysis. ", + "bbox": [ + 173, + 462, + 826, + 614 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "HQ-SAM Training During training, we fix the model parameters of the pre-trained SAM model while only making the proposed HQ-SAM learnable. The learnable parameters thus only include the HQ-Output Token, its associated three-layer MLP and three simple convolutions for HQ-Features fusion. Since SAM is designed for flexible segmentation prompts, we train HQ-SAM by sampling mixed types of prompts including bounding boxes, randomly sampled points, and coarse masks input. We generate these degraded masks by adding random Gaussian noise in the boundary regions of the GT masks. For generalizability to different object scales, we use large-scale jittering [13]. We use a learning rate of 0.001 and train our HQ-SAM for 12 epochs, with a learning rate drop after 10 epochs. We train on 8 Nvidia GeForce RTX 3090 GPUs with a total batch size of 32, which takes 4 hours to train for 16.6K iterations. Please refer to our supplemental file for more details. ", + "bbox": [ + 174, + 621, + 825, + 760 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "HQ-SAM Inference We follow the same inference pipeline of SAM but use the mask prediction from HQ-Output token as high-quality mask prediction. During inference, we sum the predicted logits of the SAM mask (by Output Token) and our predicted mask (by HQ-Output Token) for mask correction on spatial resolution $2 5 6 \\times 2 5 6$ . Then we up-sample the corrected mask to the original resolution $1 0 2 4 \\times 1 0 2 4$ as our output. ", + "bbox": [ + 174, + 766, + 823, + 835 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "SAM vs. HQ-SAM on Training and Inference In Table 1, we report detailed training and inference comparisons between our HQ-SAM and SAM. While HQ-SAM produces substantially better segmentation quality, its training is very quick and affordable, which only takes 4 hours with 8 RTX3090 GPUs. HQ-SAM is also lightweight and efficient, introducing negligible increases in model parameters, GPU memory usage, and inference time per image. ", + "bbox": [ + 174, + 842, + 823, + 911 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/0cc7fae8ff33807706e786cf8bb5b5fedacacef58fe28261c3c11801d83dad51.jpg", + "table_caption": [ + "Table 1: Training and inference comparison between ViT-L [11] based SAM and HQ-SAM. HQ-SAM brings negligible extra computation burden to SAM, with less than $0 . 5 \\%$ increase in model parameters and reaching $96 \\%$ of its original speed. SAM-L is trained on 128 A100 GPUs for 180k iterations. Based on SAM-L, we only need to train our HQ-SAM on 8 RTX3090 GPUs for 4 hours. " + ], + "table_footnote": [], + "table_body": "
MethodTrainingInference
Learnable Params (M)# GPUBatch SizeTime (h)FPSMem.
SAM [21]1191128128N/A5.07.6G
HQ-SAM5.183244.87.6G
", + "bbox": [ + 220, + 154, + 771, + 219 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Experiments ", + "text_level": 1, + "bbox": [ + 173, + 233, + 312, + 251 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 Experimental Setup ", + "text_level": 1, + "bbox": [ + 174, + 263, + 352, + 280 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Datasets For training we use the compiled HQSeg-44K, described in Section 3.3. For a comprehensive evaluation of the segmentation performance of HQ-SAM, we perform experiments on a wide range of datasets, including four extremely fine-grained segmentation datasets: DIS [35] (validation set), ThinObject-5K [29] (test set), COIFT [29] and HR-SOD [51]. Besides, we experiment on popular and challenging benchmarks across various image/video-based segmentation tasks in zero-shot settings, such as COCO [31], SGinW [58], UVO [42], LVIS [14], HQ-YTVIS [20] and BIG [6]. ", + "bbox": [ + 173, + 289, + 826, + 373 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Evaluation Metrics To accurately quantify improvements in mask quality, instead of only employing the standard mask AP or mask mIoU, we also adopt boundary metrics mBIoU and boundary $\\mathsf { A P } _ { B }$ [5]. We also evaluate on stricter $\\mathsf { A P } _ { B } ^ { \\mathrm { s t r i c t } }$ by adjusting the default dilation ratio from 0.02 to 0.01 on UVO [42] and LVIS [14]. For evaluation on the four fine-grained segmentation datasets [35, 29, 51], we also report the averaged boundary and mask IoU among them. For video instance segmentation evaluation on HQ-YTVIS [20], we use both Tube Boundary $\\mathsf { A P } ^ { B }$ and Tube Mask $\\mathsf { A P } ^ { M }$ . ", + "bbox": [ + 174, + 378, + 825, + 463 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 Ablation Experiments ", + "text_level": 1, + "bbox": [ + 174, + 478, + 366, + 493 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We conduct detailed ablation studies on the proposed HQ-SAM using ViT-Large as the backbone, analyzing the impact of the proposed HQ-Output Token and HQ-Features on segmentation quality especially in zero-shot cases. For ablation experiments, we use the four aforementioned extremely accurate segmentation datasets, namely, DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and HR-SOD [51] as well as the COCO validation set. ", + "bbox": [ + 174, + 503, + 825, + 573 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Effect of the High-Quality Output Token . HQ-SAM employs HQ-Output Token for high-quality mask prediction. Table 2 compares our HQ-Output Token to the baseline SAM and other existing prompt/token learning strategies, such as adding an additional three context tokens [56] as learnable vectors into the SAM’s mask decoder for better context learning. Compared to using context tokens, the HQ-Output token consistently brings larger performance gains on four high-quality datasets, with 13.2 mBIoU on DIS and 2.7 mBIoU on COIFT datasets. We also perform other ablation experiment variants, such as computing the scaled dot product [18] between the original SAM’s output token and our HQ-Output token or restricting the mask loss to only inside the boundary regions, and find they slightly decrease the averaged performance on the four evaluation datasets. Compared to SAM, HQ-SAM significantly improves the mBIoU on DIS benchmark from 52.8 to 70.4 and also promotes the mBIoU on the HRSOD dataset for 3.8 points. ", + "bbox": [ + 173, + 580, + 825, + 732 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Ablation on the Global-local Fusion for HQ-Features Table 3 tabulates the effect of global-local fusion, where the importance of each feature component is analyzed in HQ-Features during the fusion process. Compared to directly using the mask decoder feature of SAM, the entire HQ-Features bring an obvious advantage of $2 . 6 \\ \\mathrm { m B I o U }$ on four highly accurate segmentation datasets. The final-layer ViT encoder feature with global context increases the mBIoU from 80.1 to 81.3. while the early-layer feature with local details further promotes the mBIoU to 81.8. We also replace the proposed global-local fusion with the conventional FPN to build a feature pyramid for fusion, and found this brought an inferior performance, decreasing from 89.1 to 87.4 mIoU. ", + "bbox": [ + 174, + 738, + 825, + 849 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Comparison to SAM finetuning or post-refinement . In Table 4, we compare our efficient token adaptation strategy to adding an extra post-refinement network [6] and model finetuning, including directly finetuning SAM’s mask decoder or only finetuning its output token for mask prediction. Adding an extra heavy post-refinement network brings limited averaged performance increase on four HQ datasets but leads to very poor performance on COCO, indicating strong overfitting. We also observe a similar phenomenon when directly finetuning SAM’s mask decoder. Only finetuning SAM’s output token can address the catastrophic forgetting problem with improvement on the four HQ datasets and COCO. However, the incremental improvement is still much smaller compared to ours. HQ-SAM improves 1.1 $\\mathsf { A P } _ { B }$ on COCO while output token finetuning only gives an increase of $0 . 4 \\ : \\mathrm { A P } _ { B }$ . This shows the advantage of HQ-SAM in data-efficient learning while preserving the zero-shot capability of SAM. ", + "bbox": [ + 176, + 856, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/ff9b9ede5a8323bc38e1774e419cf448288a66f9151302d35eb1e865c5bc7d57.jpg", + "table_caption": [ + "Table 2: Ablation study of the HQ-Output Token on four extremely fine-grained segmentation datasets. We adopt the boxes converted from their GT masks as the box prompt input. By default, we train the predicted mask of HQ Output-Token by computing full GT mask loss. " + ], + "table_footnote": [], + "table_body": "
ModelDIS [35]COIFT [29]HRSOD [51]ThinObject [29]Average
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoU
SAM (baseline)62.052.892.186.590.283.173.661.879.571.1
Using SAM's mask decoder feature:
SAM+Context Token [56]71.562.293.087.791.885.084.573.185.277.0
SAM + HQ-Output Token (× Output Token)75.165.8 66.493.988.993.086.186.174.687.078.9
SAM + HQ-Output Token (Boundary Loss) SAM + HQ-Output Token75.2 75.366.094.0 94.288.9 89.292.1 93.085.7 86.187.3 86.876.0 75.487.2 87.379.3
79.2
Using Our HQ-Feature:
SAM + HQ-Output Token (+ Context Token)78.570.494.689.693.687.088.9 89.579.388.9 89.181.6
SAM+ HQ-Output Token78.670.494.890.193.686.979.981.8
", + "bbox": [ + 174, + 143, + 825, + 272 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/d633a7cec868e3d48b90183127f1b623fd8889d357c19b8c9109510afb7aa15a.jpg", + "table_caption": [ + "Table 3: Ablation study on the HQ-Features sources. Early-layer denotes the feature after the first global attention block of the ViT encoder, while final-layer denotes the output of the last ViT block. Four HQ datasets denote DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and HR-SOD [51]. " + ], + "table_footnote": [], + "table_body": "
ModelFusion convDecoder Mask featureViT Encoder Final-layer Early-layermIoUFour HQ datasets mBIoU
SAM [21]79.571.1
HQ-SAM (Ours)广87.3 79.2
87.880.1
15.19.0
√ √广88.6 81.3
√ √√ √ √ 丁88.6 89.181.1 81.8
", + "bbox": [ + 207, + 333, + 792, + 469 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 477, + 825, + 574 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/bbcd16187a66390c4705bad3e39d81e9e20ed9ae9461c2d432578811e25a09dc.jpg", + "image_caption": [ + "Figure 4: Recall rate comparison between COIFT [29] and HRSOD [51] under the zero-shot protocol, using BIoU thresholds ranging from loose to strict. The performance gap between SAM and our HQ-SAM increases significantly when we vary from a loose BIoU threshold of 0.5 to a very strict threshold of 0.9, showing the advantage of HQ-SAM in predicting very accurate segmentation masks. " + ], + "image_footnote": [], + "bbox": [ + 179, + 583, + 816, + 743 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Accuracy analysis at different BIoU thresholds Figure 4 compares SAM and HQ-SAM from loose to strict BIoU thresholds. We plot the percentage of mask predictions that have a BIoU larger than the threshold indicated on the $\\mathbf { X }$ -axis. The large performance gap with strict IoU thresholds on both COIFT [29] and HRSOD [51] clearly validates the advantage of HQ-SAM in predicting very accurate masks. However, even at the loose threshold of 0.5, HQ-SAM reduces the number of incorrect predictions by SAM by $81 \\%$ for COIFT and $69 \\%$ for HRSOD. This shows that HQ-SAM predictions are not only substantially more accurate but also more robust in challenging cases. ", + "bbox": [ + 173, + 814, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/cb3256880904bef89d1da7b1ccfaf39a1af9505c9407a7ca88a1a04ec57f2fda.jpg", + "table_caption": [ + "Table 4: Comparison with model finetuning or extra post-refinement [6]. For the COCO dataset, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. " + ], + "table_footnote": [], + "table_body": "
ModelFour HQ datasets mIoU mBIoUCoCo
APBAPAPLAPmAPs
SAM (baseline)79.571.133.348.563.953.134.1
Training the whole SAM38.012.20.25.51-1
Add Context Token [56]85.277.031.947.265.151.231.9
CascadePSP Post-refinement [6]80.974.62.813.443.49.40.0
CRM Post-refinement [37]81.475.415.928.7=--
Finetune SAM's decoder87.679.59.019.545.215.84.7
Finetune SAM's output token87.679.733.748.766.052.333.6
HQ-SAM (Ours)89.181.834.449.566.253.833.9
", + "bbox": [ + 207, + 130, + 792, + 286 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/21a741465b78b0ed34fcd327f5b45c79d3f3097733da40389229a3de9fd45ab8.jpg", + "table_caption": [ + "Table 5: Zero-shot open-world instance segmentation results comparison on UVO [42]. We use FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. $* ^ { s t r i c t }$ denotes the boundary region with a tighter threshold. " + ], + "table_footnote": [], + "table_body": "
ModelAPsictAPAP6APBAPB75APB50AP
SAM8.63.725.617.314.437.729.7
HQ-SAM9.95.028.218.516.338.630.1
", + "bbox": [ + 256, + 339, + 735, + 393 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/ee5bfc0cabae011fd00b72ae3e1aad5b40add77f708bdf25af16fa1561b1bd00.jpg", + "table_caption": [ + "Table 6: Zero-shot segmentation result comparison on the test set of high-quality BIG [6] benchmark using various types of input prompts. We employ PSPNet [55] to generate the coarse mask prompt. " + ], + "table_footnote": [], + "table_body": "
ModelGT Box Prompt mIoUmBIoUMask Prompt mIoUmBIoU
SAM81.170.466.641.8
HQ-SAM86.075.386.975.1
", + "bbox": [ + 338, + 433, + 655, + 498 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 Zero-shot Comparison with SAM ", + "text_level": 1, + "bbox": [ + 176, + 512, + 444, + 527 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We perform extensive zero-shot transfer comparisons between our HQ-SAM and SAM on 7 benchmarks, including SGinW [58], COCO [31], UVO [42], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29] and HR-SOD [51], where HQ-SAM outperforms SAM without bells and whistles, demonstrating its efficacy and kept generalization ability even trained with a small-scale dataset. ", + "bbox": [ + 174, + 539, + 826, + 594 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results on the SGinW Benchmark Equipped with the same Grounding-DINO [32] as box prompts, we also performed experiments by replacing SAM with HQ-SAM in Grounded-SAM, and obtained the first place in the Segmentation in the Wild (SGinW) competition1 on the zero-shot track. Note that SGinW contains 25 zero-shot in-the-wild segmentation datasets for evaluation, and GroundedHQ-SAM with 49.6 mean AP and outperforms Grounded-SAM obviously using the same detector. ", + "bbox": [ + 174, + 601, + 825, + 671 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Zero-Shot Open-world Segmentation To evaluate the zero-shot segmentation results in the openworld environment, in Table 5, we compare SAM and our HQ-SAM on the challenging UVO [42] benchmark with diverse and dense objects mask annotations. By taking the same pre-trained object detector [53] as box prompt input, our HQ-SAM improves for $1 . 3 \\mathrm { A P } _ { B } ^ { \\mathrm { s t r i c t } }$ t and 2.6 APstrictB50 over SAM. ", + "bbox": [ + 174, + 676, + 825, + 733 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Zero-Shot Segmentation on High-resolution BIG Dataset In Table 6, we compare the zero-shot segmentation quality between SAM and HQ-SAM on the high-resolution BIG benchmark [6] with two types of prompts, including using GT object boxes or the provided coarse masks input. HQ-SAM consistently surpasses SAM, with obvious advantages using different types of prompts, and is much more robust to coarse masks prompts with partial boundary errors (provided by PSPNet [55]). ", + "bbox": [ + 174, + 739, + 825, + 809 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Zero-shot Instance Segmentation on COCO and LVIS In Table 7, we also evaluate HQ-SAM on the popular COCO and LVIS benchmarks respectively by feeding box prompts generated by the trained detectors of these two datasets. HQ-SAM consistently outperforms SAM by $1 . 1 \\mathrm { \\ A P } _ { B }$ on COCO and $0 . 7 \\mathrm { A P } _ { B 7 5 } ^ { \\mathrm { s t r i c t } }$ on LVIS, showing the improved mask quality and well-preserved zero-shot segmentation ability during the HQ-SAM training process. ", + "bbox": [ + 174, + 815, + 825, + 885 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/7e083153f3fa9e72165a56edf3e4d63c6aee23f8c411543437964fcc703677df.jpg", + "table_caption": [ + "Table 7: Zero-shot instance segmentation results comparison on COCO [31] and LVISv1 [14]. For the COCO dataset, we use FocalNet-DINO [53] detector trained on COCO. For LVIS, we adopt ViTDet-H [28] trained on the LVIS dataset as our box prompt generator. For SAM, we use the ViT-L backbone and box prompt. We maintain the zero-shot segmentation capability of the original SAM while improving the mask quality on the boundary region. " + ], + "table_footnote": [], + "table_body": "
ModelCOCOLVIS
APBAPAPsietAPAPBAPB75AP
SAM33.348.532.132.838.540.943.6
HQ-SAM34.449.532.533.538.841.243.9
", + "bbox": [ + 267, + 154, + 723, + 219 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/3e2a649cbc6fa87420afe8afb381fa3922fca11a2410a55b3b7cc6cc7d1af28c.jpg", + "image_caption": [ + "Figure 5: Interactive segmentation results comparison using a varying number of input points on the COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently outperforms SAM with various point numbers, and the relative improvement is more obvious with less prompt ambiguity. " + ], + "image_footnote": [], + "bbox": [ + 181, + 231, + 812, + 397 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/76c4f6f48b62c8b84480b515aee1bf7fc939ab9c689a94197c1d113d15eaa400.jpg", + "table_caption": [ + "Table 8: Zero-shot Video Instance Segmentation comparison on the test set of the very accurately labeled HQ-YTVIS [20] benchmark. We utilize pre-trained Swin-L-based Mask2Fromer [4] on YTVIS [47] as our box prompt input while reusing its object association prediction. " + ], + "table_footnote": [], + "table_body": "
ModelAPBAPAP5APMAPAP
SAM30.219.172.960.768.190.5
HQ-SAM34.024.379.563.670.591.1
", + "bbox": [ + 305, + 488, + 689, + 542 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Point-based Interactive Segmentation Comparison To investigate the segmentation performance of HQ-SAM with interactive point prompts, in Figure 5, we compare HQ-SAM to SAM with varying numbers of input points on COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently outperforms SAM with different point prompts on both two datasets. We note that the relative performance increase is more significant when the prompt contains less object ambiguity with more input points information (increasing from 1 positive point to 10 positive points $+ 5$ negative points). ", + "bbox": [ + 173, + 551, + 825, + 637 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Zero-shot High-quality Video Instance Segmentation Besides conducting image-based segmentation evaluation, we also perform video instance segmentation results comparison on the accurately annotated HQ-YTVIS benchmark [20]. We take the pre-trained Mask2Former [4] as our video box prompts and feed it into SAM and our HQ-SAM for mask prediction. In Table 8, HQ-SAM achieves remarkable gains of 3.8 points in Tube Boundary $\\mathsf { A P } ^ { B }$ and 2.9 Tube Mask $\\mathsf { A P } ^ { M }$ . ", + "bbox": [ + 174, + 641, + 825, + 712 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Visualization of HQ-Output Token In Figure 6, we provide visual comparison of our HQ-Output Token vs. SAM’s common output token for their cross-attention maps in the last token-to-image layer of the mask decoder. We observe that our HQ-Output Token attends to the boundary and thin structure regions that are missed by the common token. ", + "bbox": [ + 174, + 717, + 825, + 773 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Zero-shot Visual Results Comparison In Figure 7, we compare HQ-SAM to SAM qualitatively in a zero-shot transfer setting, where HQ-SAM significantly promotes the mask details of SAM and also improves the masks of broken holes or large portion errors by the enriched semantic context. Refer to the supplemental file for more visual comparisons. ", + "bbox": [ + 174, + 779, + 825, + 835 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Comparison with Adapter Tuning Strategy In Table 9, we also compare our efficient token adaptation strategy to the recent Adapter Tuning [48] and LoRA [17]. We introduce lightweight adapters to ViT layers of SAM’s encoder for encoder tuning and identify that this strategy leads to overfitting and its zero-shot performance on COCO decreases from 33.3 to 29.6. This validates our design choice to freeze SAM’s encoder, and mainly focus on SAM’s decoder. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/eea1ab449769a73f49fe2b291298358cea5af95b5d5850d38bcc06c26ef6abd8.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 183, + 66, + 812, + 236 + ], + "page_idx": 9 + }, + { + "type": "image", + "img_path": "images/a74317947cf626e16a1796294afa6276b45cb3ed3a71f30829443bdd89401bd5.jpg", + "image_caption": [ + "Figure 6: Cross-attention of SAM’s original token vs. HQ-Output Token in the last decoder layer. HQ-Token attends to the boundary and thin structure regions that are missed by the original token. ", + "Figure 7: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) in a zero-shot transfer setting, given the same red box or point prompt. HQ-SAM produces significantly more detailed-preserving results and also addresses the mask errors with broken holes. " + ], + "image_footnote": [], + "bbox": [ + 178, + 275, + 818, + 473 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/7f30c7795c16cda503e649b73ae372c6ca845b81c583989537c02e38075a457e.jpg", + "table_caption": [ + "Table 9: Comparison to Adapter Tuning [48] or using LoRA [17] in SAM’s encoder using ViT-L based SAM and the same HQSeg-44K. For the COCO dataset, we use the SOTA detector FocalNetDINO [53] trained on the COCO dataset as our box prompt generator. " + ], + "table_footnote": [], + "table_body": "
ModelCoCoModel Params (MB)
APBAPAPLAPMAPsTotalTrainable
SAM33.348.563.953.134.111911
SAM+LoRA[17]28.643.7---1192.51.5
SAM + Encoder Adapter [48]29.644.863.947.829.0120312.0
HQ-SAM34.449.566.253.833.91196.15.1
", + "bbox": [ + 223, + 573, + 774, + 661 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Mobile Efficiency Although HQ-SAM significantly boosts SAM’s mask quality with negligible overhead, it shares the heavy ViT encoder of SAM, and thus cannot achieve a real-time speed in video processing. For efficient mobile deployment, we propose Light HQ-SAM based on the tiny ViT image encoder provided by MobileSAM [52]. In Figure 2, achieving running speed of $4 1 . 2 \\ : \\mathrm { F P S }$ , Light HQ-SAM improves the zero-shot COCO AP of MobileSAM from 44.3 to 45.0 with negligible additional cost, i.e., 1.7MB increase in model parameters. ", + "bbox": [ + 173, + 670, + 826, + 755 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 767, + 299, + 785 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We propose HQ-SAM, the first high-quality zero-shot segmentation model by introducing negligible overhead to the original SAM. We propose a lightweight High-quality Output Token in HQ-SAM to replace the original SAM’s output token for high-quality mask prediction. After training only on 44K highly-accurate masks, HQ-SAM significantly boosts the mask prediction quality of SAM, which was trained on 1.1 billion masks. The zero-shot transfer evaluation is performed on 8 segmentation benchmarks across both image and video tasks, spanning diverse objects and scenes. Our research offers timely insights into how to leverage and extend SAM-like foundational segmentation models in a data-efficient and computation-affordable manner. 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In CVPR, 2023. \n[59] Xueyan Zou, Jianwei Yang, Hao Zhang, Feng Li, Linjie Li, Jianfeng Gao, and Yong Jae Lee. Segment everything everywhere all at once. In NeurIPS, 2023. ", + "bbox": [ + 171, + 130, + 828, + 912 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 112, + 828, + 909 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 92, + 826, + 198 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Supplementary Material: Segment Anything in High Quality ", + "text_level": 1, + "bbox": [ + 289, + 122, + 707, + 171 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In this supplementary material, Section 6 first presents the additional experimental analysis of our HQSAM, including more zero-shot transfer comparisons to SAM on both image and video benchmarks. Then, in Section 7, we describe more details of our method implementation, including the training and inference. In Section 8, we provide further details of our constructed HQSeg-44K dataset for training HQ-SAM. In Section 9, we show extensive visual results comparison between our HQ-SAM and SAM on COCO [31], DIS-test [35], HR-SOD [51], NDD20 [41], DAVIS [34], and YTVIS [47]. ", + "bbox": [ + 174, + 229, + 826, + 314 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "6 Supplementary experiments ", + "text_level": 1, + "bbox": [ + 176, + 332, + 441, + 349 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "SAM vs. HQ-SAM on Various Backbones In Table 10, we provide a comprehensive comparison between HQ-SAM and SAM using various backbones, including ViT-B, ViT-L, ViT-H and TinyViT. The comparison not only includes the numerical results on the four HQ datasets and COCO validation set, but also contains the model sizes/speed/memory. HQ-SAM consistently outperforms SAM using three different backbones, with over 10 points increase in mBIoU on the four HQ datasets. Notably, the ViT-B based HQ-SAM significantly improves the $\\mathbf { A P } ^ { B }$ on COCO from 28.2 to 31.3 and AP from 44.4 to 46.7, with only a $1 . 1 \\%$ increase in model parameters and negligible extra memory consumption. ", + "bbox": [ + 173, + 363, + 825, + 474 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/22308a3a9aa2f38c0d4a74274a2a1cf404f1ffb21962d0e6a2c0127bfe149d47.jpg", + "table_caption": [ + "Table 10: SAM vs. HQ-SAM on various ViT backbones. For the COCO dataset, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. " + ], + "table_footnote": [], + "table_body": "
ModelFour HQ datasetsCoCoModel Params (MB)FPSMemory
mIoUmBIoUAPBAPAPLAPMAPsTotalLearnable
SAM-B HQ-SAM-B70.6 86.362.3 78.128.2 31.344.4 46.757.7 62.948.7 50.532.1 32.0358 362.1358 4.110.1 9.85.1G 5.1G
SAM-L79.571.133.348.563.953.134.1119111915.07.6G
HQ-SAM-L SAM-H89.1 75.681.8 68.334.449.566.253.833.91196.15.1 24464.8 3.57.6G 10.3G
HQ-SAM-H89.381.534.0 34.948.9 49.964.553.334.42446 2452.16.13.410.3G
66.554.034.2
MobileSAM
69.058.828.644.3--38.638.644.83.7G
Light HQ-SAM81.471.629.645.0--40.31.741.23.7G
", + "bbox": [ + 174, + 527, + 825, + 669 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/3edb1bdb9715a12a460d760ca620eebea920750998267b639b4b23c23de3f3c6.jpg", + "table_caption": [ + "Table 11: Results on YouTubeVIS 2019 validation set and HQ-YTVIS test set using ViT-L based SAM. We adopt the SOTA detector Mask2Former [4] trained on the YouTubeVIS 2019 dataset as our video boxes prompt generator while reusing its object association prediction. " + ], + "table_footnote": [], + "table_body": "
ModelYTVIS 2019HQ-YTVIS
APAP50AP75APLAPmAPsAPBAPM
SAM51.882.155.465.552.034.230.260.7
HQ-SAM53.282.958.366.453.333.734.063.6
", + "bbox": [ + 253, + 727, + 741, + 796 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Zero-shot Video Instance Segmentation Comparison Extending from Table 8 of the paper (evaluation on the HQ-YTVIS benchmark [20]), we further perform a comparative analysis of zeroshot video instance segmentation results on the popular YTVIS 2019 [47] validation set. We take the pre-trained Mask2Former [4] as our video box prompts and feed them into SAM and our HQ-SAM for mask prediction. In Table 11, HQ-SAM achieves consistent gains of 1.4 points in Tube Mask AP, increasing SAM’s performance from 51.8 to 53.2. Interestingly, we find the $\\mathsf { A P } _ { 7 5 }$ improvement with a higher IoU threshold for HQ-SAM is much larger than $\\mathrm { { A P } _ { 5 0 } }$ , further validating the advantages of HQ-SAM in high-quality mask prediction. ", + "bbox": [ + 173, + 800, + 826, + 911 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Zero-shot Video Object Segmentation Comparison Besides video instance segmentation, in Table 12, we further report the comparison of video object segmentation results between HQ-SAM and SAM on DAVIS validation set in a zero-shot transfer protocol. We take the pre-trained XMem as our video box prompts and feed the same prompts into SAM and HQ-SAM. HQ-SAM improves SAM the $\\mathcal { T } \\& \\mathcal { F }$ from 82.0 to 83.2 and the $\\mathcal { F }$ score from 84.9 to 86.1, where $\\mathcal { F }$ is for measuring the contour accuracy of the video objects. ", + "bbox": [ + 173, + 90, + 825, + 174 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/f033134cfb542f032f691a204658fb862d5c55af90decdc06455a7ef1431e79f.jpg", + "table_caption": [ + "Table 12: Results on DAVIS 2017 [34] validation set using ViT-L based SAM. We adopt the SOTA model XMem [7] as our video boxes prompt generator while reusing its object association prediction. " + ], + "table_footnote": [], + "table_body": "
ModelJ&FJF
SAM82.079.084.9
HQ-SAM83.280.386.1
", + "bbox": [ + 383, + 229, + 612, + 284 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Robustness to Input Box Prompts In Table 13, we compare HQ-SAM to SAM by adding various scales of noises to the input ground truth box prompts. In practice, we cannot expect the input box prompts provided by humans in interactive modes to be identical to the ground truth (GT) boxes or extremely accurate. We follow the data augmentation code in DN-DETR [25] to add different noise scales and identify that our HQ-SAM is much more robust compared to SAM, where the relative mBIoU advantage improves from 10.7 to 20.5 when gradually increasing the noise scales. Note that our method is not trained with noised boxes. We also visualize such noised input case in Figure 11, where SAM is more sensitive to small box location shifts that easily happened during interactive annotation. ", + "bbox": [ + 173, + 299, + 825, + 424 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/35bb818a68493fba32991111ea95cfb8b6a534888372cff6da6b41bac8df049d.jpg", + "table_caption": [ + "Table 13: Comparison of segmentation accuracy on the four HQ datasets by adding various noise levels to the GT box prompts input. " + ], + "table_footnote": [], + "table_body": "
ModelNo Noise mIoU mBIoUNoise scale 0.2 mIoU mBIoUNoise scale 0.4 mIoU mBIoU
SAM79.571.165.757.146.439.8
HQ-SAM89.181.8个10.782.873.4个16.369.960.3个20.5
", + "bbox": [ + 264, + 477, + 732, + 545 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "7 Additional Implementation details ", + "text_level": 1, + "bbox": [ + 173, + 569, + 493, + 587 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Training Details During training HQ-SAM on the composed HQSeg-44K, we fix the model parameters of the pre-trained SAM model while only making the proposed HQ-SAM learnable, including HQ-Output Token, its associated three-layer MLP and three convolutions for HQ-Features fusion. Two of them are transposed convolutions (size $2 \\times 2$ , stride 2) used to upscale encoder embedding size from $6 4 \\times 6 4$ to $2 5 6 \\times 2 5 6$ . We treat the new HQ-Output Token as the fifth mask token compared to the original four mask tokens in SAM’s mask decoder. During training, this new HQ-Output token of size $1 \\times 2 5 6$ is concatenated with SAM’s mask tokens (size of $4 \\times 2 5 6$ ), iou token (size of $1 \\times 2 5 6 ,$ ) and prompt tokens (size of $\\mathrm { N _ { p r o m p t } } { \\times 2 5 6 } )$ as the input to the SAM’s mask decoder. For example, if the input image contains $N$ box prompts (size $\\Nu { \\times } 2 \\times 2 5 6 )$ ), the final concatenated input and output shape for the 2-layer mask decoder of SAM is $\\Nu \\times ( 1 + 4 + 1 + 2 ) \\times 2 5 6$ . For experiments using ViT-B, ViT-L, and ViT-H-based models on training, we adopt the same training setting, with a learning rate of 1e-3 and train our HQ-SAM for 12 epochs (learning rate drops to 1e-4 after 10 epochs). We supervise mask prediction of the new HQ-Output token with a combination of both BCE Loss and Dice Loss. ", + "bbox": [ + 173, + 599, + 826, + 794 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Implementation Details We follow the same inference pipeline of SAM but use the mask prediction from HQ-Output token as high-quality mask prediction. Table 10 reports the detailed inference speed comparison using various backbones. For box-prompting-based evaluation, we feed SAM and our HQ-SAM with the same image/video bounding boxes and adopt the single mask output mode of SAM. For interactive segmentation comparison using a single point, we follow SAM and adopt the “center” point of Ground Truth (GT) masks, which is at a maximal value location in a mask’s interior distance transform. For multiple-point evaluation, we randomly sample the points from the GT masks and report the averaged results with three trials. ", + "bbox": [ + 173, + 800, + 825, + 911 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "8 More Details of HQSeg-44K ", + "text_level": 1, + "bbox": [ + 174, + 88, + 441, + 107 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Data compostion of HQSeg-44K In Table 14, we provide more details of our composed new training dataset HQSeg-44K which contains 44,320 extremely accurate image mask annotations, where we show their annotation quality in Figure 8. HQSeg-44K is a collection of six existing image datasets including DIS [35] (train set), ThinObject-5K [29] (train set), FSS [26], ECSSD [38], MSRA-10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains 7.4K mask labels on average. This composed training set has no images/annotations overlapping with the zero-shot evaluation datasets adopted in our paper. ", + "bbox": [ + 173, + 121, + 826, + 218 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Effect of HQSeg-44K In Table 15, we show the advantage of using HQSeg-44K by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21]. Using the same efficient token learning strategy, training with SA-1B (44K) decreases the averaged mBIoU on the four datasets from 71.1 to 70.1, while ours improves it from 71.1 to 81.8. This validates the effectiveness of our constructed HQSeg-44K benchmark in improving mask quality. Note that the ablation experiments in Table 2, Table 3, Table 4, and Table 9 of the paper are all based on the constructed HQSeg-44K. ", + "bbox": [ + 173, + 224, + 825, + 321 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/6b9df94d17f9e160516d8c1172080d078bf3d697de84e3dbba88b381fee7cbbd.jpg", + "table_caption": [ + "Table 14: Data composition of our constructed HQ-Seg-44K. " + ], + "table_footnote": [], + "table_body": "
DatasetDIS [35]Thin-Object 5k [29]FSS [26]DUTS [46]ECSSD [38]MSRA-10K [8]Total
Image Num.30004748100001557210001000044320
", + "bbox": [ + 178, + 362, + 823, + 400 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/cd0a6b40af772e74a6dd84609517d95ad0361f92e9a7bdf1f11d27cbd994c7c6.jpg", + "image_caption": [ + "Figure 8: Visualization of annotated mask quality for randomly selected cases from the six dataset components of the HQ-Seg-44K. Zoom in for better viewing the fine-grained mask details. " + ], + "image_footnote": [], + "bbox": [ + 186, + 431, + 823, + 837 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Zero-shot results on DIS and ThinObject-5K We also report zero-shot results in Table 16 on DIS and ThinObject-5K by removing the training splits of either or both datasets from the training of ", + "bbox": [ + 174, + 882, + 821, + 911 + ], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/7fa5f581954ed3b064b689142a99eb43063d57a4c96751072186dde9f64a5ab7.jpg", + "table_caption": [ + "Table 15: Comparison of the training dataset. For the COCO dataset using ViT-L-based SAM, we use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. " + ], + "table_footnote": [], + "table_body": "
ModelDatasetDISCOIFTHRSODThinObject mBIoUAverage
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmIoUmBIoU
SAMSA-1B62.052.892.186.590.283.173.661.879.571.1
HQ-SAM+ SA-1B-44K60.451.791.186.188.480.973.161.878.370.1
HQ-SAM+ HQ-Seg-44K(Ours)78.670.494.890.193.686.989.579.989.181.8
", + "bbox": [ + 176, + 130, + 825, + 193 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/e8c7b778d9aac766ea214213137b57b038b7dab53250c5ec0ddcfe7a2349f2f4.jpg", + "image_caption": [ + "Figure 9: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) on DIS test set, given the same red box prompt. HQ-SAM produces significantly more accurate boundaries. " + ], + "image_footnote": [], + "bbox": [ + 178, + 210, + 821, + 455 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "HQ-SAM. The improvement of HQ-SAM over SAM is still substantial on DIS or ThinObject (over 10.0 points on DIS-mIoU and 9.0 points on ThinObject-mIoU), even when the corresponding training splits are removed from training. ", + "bbox": [ + 174, + 515, + 823, + 558 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/15cc75ab0333c729a519b45a084ae9c050dea88873a18ae4930bfe3567f628e3.jpg", + "table_caption": [ + "Table 16: Zero-shot results on DIS and ThinObject-5K by removing the training splits of either or both datasets from the training of HQ-SAM. Results not obtained in a zero-shot manner (i.e. the training split was used), are shown in parenthesis to easily compare zero-shot results. " + ], + "table_footnote": [], + "table_body": "
Training SettingDIS-mIoUDIS-mBIoUThinObject-mloUThinObject-mBIoU
SAM (baseline)62.052.873.661.8
HQ-SAM (remove both DIS and ThinObject)72.963.182.770.7
HQ-SAM (remove DIS)74.766.2(90.1)(80.4)
HQ-SAM (remove ThinObject)(78.4)(70.3)83.372.1
HQ-SAM (default HQSeg-44K)(78.6)(70.4)(89.5)(79.9)
", + "bbox": [ + 176, + 626, + 825, + 712 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "9 More Visual Results Comparison ", + "text_level": 1, + "bbox": [ + 173, + 739, + 482, + 757 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "We provide more extensive visual results comparison in Figure 9 (DIS [35] test set), Figure 10 (zeroshot setting in COCO), Figure 11 (noised box input) and Figure 12 (zero-shot setting in HRSOD [51], NDD20 [41] and web images which cover objects with various structure complexities in diverse environments. In Figure 13 and Figure 14, we provide the zero-shot video segmentation results comparison on DAVIS 2017 and YTVIS 2019 benchmarks respectively. Besides, we include the dark underwater environment in NDD20 [41] and randomly selected web images in Figure 12, showing that the zero-shot segmentation power in SAM is well preserved by HQ-SAM. In Figure 12, we also include two failure cases in the rightmost two columns of the third row and bottom row, where HQ-SAM improves over SAM, but still cannot achieve fully correct mask prediction. ", + "bbox": [ + 173, + 770, + 826, + 896 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/e795bb0b5cd7075b6c3a38e3405e6ac7c9ed26c5bf98bf3f7fd17b615947eeaf.jpg", + "image_caption": [ + "Figure 10: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) on COCO val set in zero-shot setting, using a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator. HQ-SAM predicts masks with higher quality than SAM with less mask artifacts. " + ], + "image_footnote": [], + "bbox": [ + 173, + 132, + 818, + 525 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/1af3959ed492899c80291476410d91a2c2469d5a8493f8c962999aa306800ca3.jpg", + "image_caption": [ + "Figure 11: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) with both the GT and noised green box prompt. HQ-SAM produces much more consistent and robust segmentation results regarding to the noises in the input boxes. " + ], + "image_footnote": [], + "bbox": [ + 179, + 680, + 812, + 809 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/c11fb3e2b4fdeb3edcc542de87a5867e05f33080fbaa3227e87d4558bbc33bfd.jpg", + "image_caption": [ + "Figure 12: Visual results comparison between SAM (top row and third row) vs. HQ-SAM (second row and bottom row) in zero-shot setting, given the same yellow box or point prompt. HQ-SAM produces significantly more detailed preserving masks while fixing mask errors with broken holes. The rightmost two columns in the third row and bottom row show two failure cases of HQ-SAM in extremely dark environments or very tiny metal rods. " + ], + "image_footnote": [], + "bbox": [ + 179, + 276, + 820, + 646 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/e68837b6fab3f016dbf3028fa6a390df5ea43384dbc9e110f1a8d9412d80b5b9.jpg", + "image_caption": [ + "Figure 13: Visual results comparison between SAM vs. HQ-SAM on video object segmentation benchmark DAVIS 2017 in zero-shot setting, given the same video boxes prompts generated by the pre-trained XMem [7]. " + ], + "image_footnote": [], + "bbox": [ + 181, + 226, + 815, + 722 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/9fcb950c275fe6b53fde13b0b74eb0a8bd8c670b625373bc6ce7ed6a44586938.jpg", + "image_caption": [ + "Figure 14: Visual results comparison between SAM vs. HQ-SAM on video instance segmentation benchmark YTVIS 2019 in zero-shot setting, given the same video boxes prompts generated by the pre-trained Mask2Former [4]. 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Despite being trained with 1.1 billion masks, SAM’s mask prediction", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 281, + 469, + 294 + ], + "spans": [ + { + "bbox": [ + 141, + 281, + 469, + 294 + ], + "score": 1.0, + "content": "quality falls short in many cases, particularly when dealing with objects that have", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "spans": [ + { + "bbox": [ + 141, + 291, + 469, + 304 + ], + "score": 1.0, + "content": "intricate structures. We propose HQ-SAM, equipping SAM with the ability to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 303, + 470, + 315 + ], + "spans": [ + { + "bbox": [ + 141, + 303, + 470, + 315 + ], + "score": 1.0, + "content": "accurately segment any object, while maintaining SAM’s original promptable", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 314, + 470, + 326 + ], + "spans": [ + { + "bbox": [ + 142, + 314, + 470, + 326 + ], + "score": 1.0, + "content": "design, efficiency, and zero-shot generalizability. Our careful design reuses and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 325, + 469, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 325, + 469, + 337 + ], + "score": 1.0, + "content": "preserves the pre-trained model weights of SAM, while only introducing minimal", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 334, + 469, + 349 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 469, + 349 + ], + "score": 1.0, + "content": "additional parameters and computation. We design a learnable High-Quality Output", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 345, + 469, + 360 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 469, + 360 + ], + "score": 1.0, + "content": "Token, which is injected into SAM’s mask decoder and is responsible for predicting", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 356, + 470, + 370 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 470, + 370 + ], + "score": 1.0, + "content": "the high-quality mask. Instead of only applying it on mask-decoder features, we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 369, + 469, + 381 + ], + "spans": [ + { + "bbox": [ + 141, + 369, + 469, + 381 + ], + "score": 1.0, + "content": "first fuse them with early and final ViT features for improved mask details. To train", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "spans": [ + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "score": 1.0, + "content": "our introduced learnable parameters, we compose a dataset of 44K fine-grained", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 390, + 470, + 402 + ], + "spans": [ + { + "bbox": [ + 141, + 390, + 470, + 402 + ], + "score": 1.0, + "content": "masks from several sources. HQ-SAM is only trained on the introduced detaset of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 400, + 470, + 413 + ], + "spans": [ + { + "bbox": [ + 141, + 400, + 470, + 413 + ], + "score": 1.0, + "content": "44k masks, which takes only 4 hours on 8 GPUs. We show the efficacy of HQ-SAM", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 412, + 470, + 424 + ], + "spans": [ + { + "bbox": [ + 141, + 412, + 470, + 424 + ], + "score": 1.0, + "content": "in a suite of 10 diverse segmentation datasets across different downstream tasks,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 142, + 423, + 469, + 434 + ], + "spans": [ + { + "bbox": [ + 142, + 423, + 469, + 434 + ], + "score": 1.0, + "content": "where 8 out of them are evaluated in a zero-shot transfer protocol. Our code and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 434, + 408, + 446 + ], + "spans": [ + { + "bbox": [ + 141, + 434, + 408, + 446 + ], + "score": 1.0, + "content": "pretrained models are at https://github.com/SysCV/SAM-HQ.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 13.5, + "bbox_fs": [ + 141, + 246, + 470, + 446 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 468, + 190, + 481 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 192, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 192, + 484 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 493, + 506, + 571 + ], + "lines": [ + { + "bbox": [ + 105, + 493, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 507 + ], + "score": 1.0, + "content": "Accurate segmentation of diverse objects is fundamental for a wide range of scene understanding", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 505, + 507, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 507, + 518 + ], + "score": 1.0, + "content": "applications, including image/video editing, robotic perception, and AR/VR. Trained with billion-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 516, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 506, + 528 + ], + "score": 1.0, + "content": "scale mask labels, the Segment Anything Model (SAM) [21] was recently released as a foundational", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 526, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 506, + 540 + ], + "score": 1.0, + "content": "vision model for general image segmentation. SAM is capable of segmenting a wide range of objects,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "parts, and visual structures in diverse scenarios, by taking a prompt consisting of points, a bounding", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 549, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 506, + 561 + ], + "score": 1.0, + "content": "box, or a coarse mask as input. Its zero-shot segmentation abilities have led to a rapid paradigm shift,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 559, + 410, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 410, + 573 + ], + "score": 1.0, + "content": "as it can be transferred to numerous applications through simple prompting.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 493, + 507, + 573 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 576, + 505, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "While SAM has achieved impressive performance, its segmentation results are still unsatisfactory", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "in many cases. In particular, SAM suffers from two key problems: 1) Coarse mask boundaries,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "often even neglecting the segmentation of thin object structures, as shown in Figure 1. 2) Incorrect", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 621 + ], + "score": 1.0, + "content": "predictions, broken masks, or large errors in challenging cases. This is often related to SAM", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 618, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 633 + ], + "score": 1.0, + "content": "misinterpreting thin structures, such as the kite lines in the rightmost column of Figure 1. These types", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 631, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 506, + 643 + ], + "score": 1.0, + "content": "of failures severely limit the applicability and effectiveness of foundational segmentation models,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 505, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 654 + ], + "score": 1.0, + "content": "such as SAM, in particular for automated annotation and image/video editing tasks, where highly", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 652, + 243, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 243, + 664 + ], + "score": 1.0, + "content": "accurate image masks are crucial.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 576, + 506, + 664 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 668, + 504, + 691 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 506, + 682 + ], + "score": 1.0, + "content": "We propose HQ-SAM, which can predict highly accurate segmentation masks, even in very challeng-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 679, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 679, + 505, + 692 + ], + "score": 1.0, + "content": "ing cases (see Figure 1), without compromising the strong zero-shot capabilities and flexibility of the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 290, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 304 + ], + "score": 1.0, + "content": "original SAM. To preserve the efficiency and zero-shot performance, we propose a minimal adaptation", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 301, + 495, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 210, + 314 + ], + "score": 1.0, + "content": "of SAM, adding less than", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 210, + 301, + 233, + 312 + ], + "score": 0.86, + "content": "0 . 5 \\%", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 234, + 301, + 495, + 314 + ], + "score": 1.0, + "content": "parameters, to extend its capability to high-quality segmentation.", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 667, + 506, + 692 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 53, + 502, + 233 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 53, + 502, + 233 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 53, + 502, + 233 + ], + "spans": [ + { + "bbox": [ + 108, + 53, + 502, + 233 + ], + "score": 0.977, + "type": "image", + "image_path": "407a1726493e2a258b5fdbedad4aa251a2c8caa2f4685673275f9117f4959218.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 53, + 502, + 113.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 113.0, + 502, + 173.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 173.0, + 502, + 233.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 240, + 505, + 285 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 240, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 505, + 253 + ], + "score": 1.0, + "content": "Figure 1: The predicted masks of SAM vs. our HQ-SAM, given the same red box or several points", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "score": 1.0, + "content": "on the object as input prompts. HQ-SAM produces significantly more detailed results with very", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 263, + 507, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 507, + 275 + ], + "score": 1.0, + "content": "accurate boundaries. In the rightmost column, SAM misinterprets the thin structure of the kite lines,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 273, + 435, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 435, + 286 + ], + "score": 1.0, + "content": "and produces a large portion of errors with broken holes for the input box prompt.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 105, + 290, + 504, + 313 + ], + "lines": [ + { + "bbox": [ + 105, + 290, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 304 + ], + "score": 1.0, + "content": "original SAM. To preserve the efficiency and zero-shot performance, we propose a minimal adaptation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 301, + 495, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 210, + 314 + ], + "score": 1.0, + "content": "of SAM, adding less than", + "type": "text" + }, + { + "bbox": [ + 210, + 301, + 233, + 312 + ], + "score": 0.86, + "content": "0 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 301, + 495, + 314 + ], + "score": 1.0, + "content": "parameters, to extend its capability to high-quality segmentation.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "Directly fine-tuning the SAM decoder or introducing a new decoder module severely degrades the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "general zero-shot segmentation performance. We therefore propose the HQ-SAM architecture, which", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "tightly integrates with and re-uses the existing learned SAM structure, in order to fully preserve the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "zero-shot performance. First, we design a learnable HQ-Output Token that is input to SAM’s mask", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "decoder, alongside the original prompt and output tokens. Unlike the original output tokens, our", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 385 + ], + "score": 1.0, + "content": "HQ-Output Token and its associated MLP layers are trained to predict a high-quality segmentation", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 506, + 396 + ], + "score": 1.0, + "content": "mask. Second, instead of only re-using the SAM’s mask decoder features, our HQ-Output Token", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "operates on a refined feature set to achieve accurate mask details. In particular, we use both global", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "semantic context and local fine-grained features by fusing SAM’s mask decoder features with early", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "and late feature maps from its ViT encoder. During training, we freeze the entire pre-trained SAM", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "parameters, while only updating our HQ-Output Token, its associated three-layer MLPs, and a small", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 438, + 191, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 191, + 449 + ], + "score": 1.0, + "content": "feature fusion block.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 455, + 309, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 309, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 309, + 466 + ], + "score": 1.0, + "content": "Learning accurate segmentation requires a dataset", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 465, + 309, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 309, + 477 + ], + "score": 1.0, + "content": "with accurate mask annotations of diverse objects", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 475, + 309, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 309, + 488 + ], + "score": 1.0, + "content": "with complex and detailed geometries. SAM", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 309, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 309, + 499 + ], + "score": 1.0, + "content": "is trained on the SA-1B dataset, which contains", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 497, + 309, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 309, + 510 + ], + "score": 1.0, + "content": "11M images with 1.1 billion masks automatically", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 509, + 311, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 311, + 521 + ], + "score": 1.0, + "content": "generated by a SAM-like model. However, us-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 520, + 310, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 310, + 532 + ], + "score": 1.0, + "content": "ing this extensive dataset presents significant cost", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 531, + 311, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 311, + 543 + ], + "score": 1.0, + "content": "implications and falls short of achieving the de-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 542, + 310, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 310, + 554 + ], + "score": 1.0, + "content": "sired high-quality mask generations pursued in our", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 552, + 311, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 311, + 565 + ], + "score": 1.0, + "content": "work, as evident by SAM’s performance in Fig-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 564, + 311, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 311, + 576 + ], + "score": 1.0, + "content": "ure 1. Consequently, we compose a new dataset,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 574, + 310, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 310, + 587 + ], + "score": 1.0, + "content": "called HQSeg-44K, which contains 44K extremely", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 584, + 310, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 310, + 598 + ], + "score": 1.0, + "content": "fine-grained image mask annotations. HQSeg-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 596, + 309, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 309, + 608 + ], + "score": 1.0, + "content": "44K is constructed by merging six existing image", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 606, + 309, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 309, + 619 + ], + "score": 1.0, + "content": "datasets [35, 29, 26, 38, 8, 46] with highly accurate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 618, + 308, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 308, + 630 + ], + "score": 1.0, + "content": "mask labels, covering over 1,000 diverse semantic", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 629, + 309, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 309, + 641 + ], + "score": 1.0, + "content": "classes. 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We compare HQ-SAM with SAM on a suite of 10 diverse segmentation", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "datasets across different downstream tasks, where 8 out of them are under a zero-shot transfer protocol,", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "including COCO [31], UVO [42], SGinW [58], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29]", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 58 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 53, + 502, + 233 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 53, + 502, + 233 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 53, + 502, + 233 + ], + "spans": [ + { + "bbox": [ + 108, + 53, + 502, + 233 + ], + "score": 0.977, + "type": "image", + "image_path": "407a1726493e2a258b5fdbedad4aa251a2c8caa2f4685673275f9117f4959218.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 53, + 502, + 113.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 113.0, + 502, + 173.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 173.0, + 502, + 233.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 240, + 505, + 285 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 240, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 505, + 253 + ], + "score": 1.0, + "content": "Figure 1: The predicted masks of SAM vs. our HQ-SAM, given the same red box or several points", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 265 + ], + "score": 1.0, + "content": "on the object as input prompts. HQ-SAM produces significantly more detailed results with very", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 263, + 507, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 507, + 275 + ], + "score": 1.0, + "content": "accurate boundaries. In the rightmost column, SAM misinterprets the thin structure of the kite lines,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 273, + 435, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 435, + 286 + ], + "score": 1.0, + "content": "and produces a large portion of errors with broken holes for the input box prompt.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 105, + 290, + 504, + 313 + ], + "lines": [], + "index": 7.5, + "bbox_fs": [ + 105, + 290, + 506, + 314 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 318, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 330 + ], + "score": 1.0, + "content": "Directly fine-tuning the SAM decoder or introducing a new decoder module severely degrades the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "general zero-shot segmentation performance. We therefore propose the HQ-SAM architecture, which", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "tightly integrates with and re-uses the existing learned SAM structure, in order to fully preserve the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "zero-shot performance. First, we design a learnable HQ-Output Token that is input to SAM’s mask", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "decoder, alongside the original prompt and output tokens. 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We provide a comprehensive performance-speed-model size comparison on SAM", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "variants [21, 52] in Figure 2. We compare HQ-SAM with SAM on a suite of 10 diverse segmentation", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "datasets across different downstream tasks, where 8 out of them are under a zero-shot transfer protocol,", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "including COCO [31], UVO [42], SGinW [58], LVIS [14], HQ-YTVIS [20], BIG [6], COIFT [29]", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "and HR-SOD [51]. This rigorous evaluation demonstrates that the proposed HQ-SAM can produce", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 452, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 452, + 96 + ], + "score": 1.0, + "content": "higher-quality masks while maintaining the zero-shot capability compared with SAM.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 58, + "bbox_fs": [ + 105, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 505, + 85 + ], + "score": 1.0, + "content": "and HR-SOD [51]. This rigorous evaluation demonstrates that the proposed HQ-SAM can produce", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 452, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 452, + 96 + ], + "score": 1.0, + "content": "higher-quality masks while maintaining the zero-shot capability compared with SAM.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 107, + 111, + 197, + 125 + ], + "lines": [ + { + "bbox": [ + 105, + 110, + 198, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 198, + 126 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 137, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 106, + 137, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 148 + ], + "score": 1.0, + "content": "High-quality Segmentation Existing works for high-quality segmentation are mostly trained for a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "specific segmentation task, like image and video instance segmentation [22, 19, 20, 40, 44], semantic", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 158, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 506, + 172 + ], + "score": 1.0, + "content": "segmentation [30, 54, 39, 50] or panoptic segmentation [9], in a close-world paradigm. Some of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 169, + 504, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 504, + 182 + ], + "score": 1.0, + "content": "them focus on post-segmentation refinement using with graphical models such as CRF [23] or region", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "score": 1.0, + "content": "growing [10]. However, the CRF-based refinement is adhere to low-level color boundaries without", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 191, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 505, + 204 + ], + "score": 1.0, + "content": "fully utilizing high-level semantic context and cannot fix large segmentation errors. While some", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 203, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 214 + ], + "score": 1.0, + "content": "refinement-based works adopt separate deep networks for cascade iterative refinement [6, 37], they are", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "prone to overfitting as shown by our experiment. Compared to these high-quality segmentation [19,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 223, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 506, + 237 + ], + "score": 1.0, + "content": "22, 33] or segmentation refinement methods, we focus on accurately segmenting diverse objects", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 236, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 247 + ], + "score": 1.0, + "content": "on new data with flexible prompting, and build a high-quality zero-shot segmentation model that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 245, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 259 + ], + "score": 1.0, + "content": "generalizes to various segmentation tasks and domains. Unlike the post segmentation refinement", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 255, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 270 + ], + "score": 1.0, + "content": "works [6, 37], to preserve the zero-shot segmentation capability of SAM, HQ-SAM predicts the new", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "high-quality mask directly by reusing the image encoder and mask decoder of SAM, instead of taking", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 278, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 290 + ], + "score": 1.0, + "content": "the coarse mask and images as the input and feeding it into a separate refinement network. The model", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "architecture of HQ-SAM builds upon SAM with negligible overhead, where we propose efficient", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "score": 1.0, + "content": "token learning for accurate mask predictions. This is completely different from previous high-quality", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 311, + 497, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 497, + 325 + ], + "score": 1.0, + "content": "segmentation works, and we show its effectiveness across a wide range of zero-shot experiments.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 341 + ], + "score": 1.0, + "content": "Fine-tuning and Prompt Tuning for Foundation Models Foundation models [2, 1] first appear", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "score": 1.0, + "content": "in the NLP community, where large language models such as GPT series [2] show strong zero-shot", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "generalization to unseen tasks and data. Then, some prompt-based learning works [16, 27, 17] are", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "proposed to help these pre-trained models generalize to the downstream tasks instead of fine-tuning the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "internal model parameters [15] for better transfer learning. For vision-based foundation models [21,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "score": 1.0, + "content": "43, 59], prompt engineering [56, 45, 49, 57] that freezes the pre-trained model is first explored in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "vision-language models, such as CLIP [36]. These prompts with learnable parameters are designed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "to help downstream tasks with better context optimization. Different from the existing prompt-based", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 414, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 428 + ], + "score": 1.0, + "content": "or finetuning works, we focus on the minimal adaptation of SAM toward high-quality segmentation.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 425, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 506, + 439 + ], + "score": 1.0, + "content": "We directly use the proposed HQ-Output Token output for accurate mask prediction, instead of only", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 478, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 478, + 450 + ], + "score": 1.0, + "content": "leveraging some learnable parameters [56] to help context learning and better generalization.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 464, + 165, + 478 + ], + "lines": [ + { + "bbox": [ + 104, + 463, + 168, + 479 + ], + "spans": [ + { + "bbox": [ + 104, + 463, + 168, + 479 + ], + "score": 1.0, + "content": "3 Method", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "We propose HQ-SAM to upgrade SAM for high-quality zero-shot segmentation. HQ-SAM is", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 501, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 513 + ], + "score": 1.0, + "content": "lightweight and only introduces two important adaptations to the SAM model. In Sec 3.1, we first", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "score": 1.0, + "content": "briefly review the architecture of SAM on which HQ-SAM is built. Then, in Sec 3.2, we introduce", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "score": 1.0, + "content": "our HQ-SAM with High-Quality Token (HQ-Output Token) and Global-local Feature Fusion, which", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 534, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 546 + ], + "score": 1.0, + "content": "are the key components to achieve better segmentation quality for SAM while preserving its zero-shot", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "capability. Finally, in Sec 3.3, we describe the training and inference process of HQ-SAM, which is", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 556, + 267, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 267, + 568 + ], + "score": 1.0, + "content": "both data and computationally efficient.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 107, + 581, + 216, + 592 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 217, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 217, + 594 + ], + "score": 1.0, + "content": "3.1 Preliminaries: SAM", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 506, + 614 + ], + "score": 1.0, + "content": "SAM [21] is composed of three modules: (a) Image encoder: a heavy ViT-based backbone for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 388, + 625 + ], + "score": 1.0, + "content": "image feature extraction, resulting in image embedding in spatial size", + "type": "text" + }, + { + "bbox": [ + 389, + 613, + 418, + 623 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 612, + 506, + 625 + ], + "score": 1.0, + "content": ". (b) Prompt encoder:", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "encoding the interactive positional information from the input points/boxes/masks to provide for the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "mask decoder. (c) Mask decoder: a two-layer transformer-based decoder takes both the extracted", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "image embedding with the concatenated output and prompt tokens for final mask prediction. The", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "released SAM model is trained on the large-scale SA-1B dataset, which contains over 1 billion", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 234, + 680 + ], + "score": 1.0, + "content": "automatically generated masks", + "type": "text" + }, + { + "bbox": [ + 235, + 667, + 258, + 678 + ], + "score": 0.85, + "content": "4 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "more masks than any existing segmentation datasets [14, 24])", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "and 11 million images. Thus, SAM shows valuable strong zero-shot generalization to new data", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "score": 1.0, + "content": "without the necessity for additional training. However, we also note that SAM training is very", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "expensive, where distributively training ViT-H-based SAM for 2 epochs on SA-1B requires 256", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "GPUs with a large batch size of 256 images. For more SAM method details, we refer readers to [21].", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 45 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 309, + 752 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 73, + 504, + 95 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 72, + 505, + 96 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 111, + 197, + 125 + ], + "lines": [ + { + "bbox": [ + 105, + 110, + 198, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 198, + 126 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 137, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 106, + 137, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 505, + 148 + ], + "score": 1.0, + "content": "High-quality Segmentation Existing works for high-quality segmentation are mostly trained for a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 505, + 160 + ], + "score": 1.0, + "content": "specific segmentation task, like image and video instance segmentation [22, 19, 20, 40, 44], semantic", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 158, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 506, + 172 + ], + "score": 1.0, + "content": "segmentation [30, 54, 39, 50] or panoptic segmentation [9], in a close-world paradigm. Some of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 169, + 504, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 504, + 182 + ], + "score": 1.0, + "content": "them focus on post-segmentation refinement using with graphical models such as CRF [23] or region", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 506, + 192 + ], + "score": 1.0, + "content": "growing [10]. However, the CRF-based refinement is adhere to low-level color boundaries without", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 191, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 505, + 204 + ], + "score": 1.0, + "content": "fully utilizing high-level semantic context and cannot fix large segmentation errors. While some", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 203, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 214 + ], + "score": 1.0, + "content": "refinement-based works adopt separate deep networks for cascade iterative refinement [6, 37], they are", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "prone to overfitting as shown by our experiment. Compared to these high-quality segmentation [19,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 223, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 506, + 237 + ], + "score": 1.0, + "content": "22, 33] or segmentation refinement methods, we focus on accurately segmenting diverse objects", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 236, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 247 + ], + "score": 1.0, + "content": "on new data with flexible prompting, and build a high-quality zero-shot segmentation model that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 245, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 259 + ], + "score": 1.0, + "content": "generalizes to various segmentation tasks and domains. Unlike the post segmentation refinement", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 255, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 270 + ], + "score": 1.0, + "content": "works [6, 37], to preserve the zero-shot segmentation capability of SAM, HQ-SAM predicts the new", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "score": 1.0, + "content": "high-quality mask directly by reusing the image encoder and mask decoder of SAM, instead of taking", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 278, + 505, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 290 + ], + "score": 1.0, + "content": "the coarse mask and images as the input and feeding it into a separate refinement network. The model", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "architecture of HQ-SAM builds upon SAM with negligible overhead, where we propose efficient", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "score": 1.0, + "content": "token learning for accurate mask predictions. This is completely different from previous high-quality", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 311, + 497, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 497, + 325 + ], + "score": 1.0, + "content": "segmentation works, and we show its effectiveness across a wide range of zero-shot experiments.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 137, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 506, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 506, + 341 + ], + "score": 1.0, + "content": "Fine-tuning and Prompt Tuning for Foundation Models Foundation models [2, 1] first appear", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 506, + 352 + ], + "score": 1.0, + "content": "in the NLP community, where large language models such as GPT series [2] show strong zero-shot", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "generalization to unseen tasks and data. Then, some prompt-based learning works [16, 27, 17] are", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 506, + 373 + ], + "score": 1.0, + "content": "proposed to help these pre-trained models generalize to the downstream tasks instead of fine-tuning the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "internal model parameters [15] for better transfer learning. For vision-based foundation models [21,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "score": 1.0, + "content": "43, 59], prompt engineering [56, 45, 49, 57] that freezes the pre-trained model is first explored in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "vision-language models, such as CLIP [36]. These prompts with learnable parameters are designed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 404, + 505, + 417 + ], + "score": 1.0, + "content": "to help downstream tasks with better context optimization. Different from the existing prompt-based", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 414, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 428 + ], + "score": 1.0, + "content": "or finetuning works, we focus on the minimal adaptation of SAM toward high-quality segmentation.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 425, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 506, + 439 + ], + "score": 1.0, + "content": "We directly use the proposed HQ-Output Token output for accurate mask prediction, instead of only", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 478, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 478, + 450 + ], + "score": 1.0, + "content": "leveraging some learnable parameters [56] to help context learning and better generalization.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 326, + 506, + 450 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 464, + 165, + 478 + ], + "lines": [ + { + "bbox": [ + 104, + 463, + 168, + 479 + ], + "spans": [ + { + "bbox": [ + 104, + 463, + 168, + 479 + ], + "score": 1.0, + "content": "3 Method", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 502 + ], + "score": 1.0, + "content": "We propose HQ-SAM to upgrade SAM for high-quality zero-shot segmentation. HQ-SAM is", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 501, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 513 + ], + "score": 1.0, + "content": "lightweight and only introduces two important adaptations to the SAM model. In Sec 3.1, we first", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 504, + 524 + ], + "score": 1.0, + "content": "briefly review the architecture of SAM on which HQ-SAM is built. Then, in Sec 3.2, we introduce", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "score": 1.0, + "content": "our HQ-SAM with High-Quality Token (HQ-Output Token) and Global-local Feature Fusion, which", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 534, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 546 + ], + "score": 1.0, + "content": "are the key components to achieve better segmentation quality for SAM while preserving its zero-shot", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 506, + 558 + ], + "score": 1.0, + "content": "capability. 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The", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "released SAM model is trained on the large-scale SA-1B dataset, which contains over 1 billion", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 234, + 680 + ], + "score": 1.0, + "content": "automatically generated masks", + "type": "text" + }, + { + "bbox": [ + 235, + 667, + 258, + 678 + ], + "score": 0.85, + "content": "4 0 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "more masks than any existing segmentation datasets [14, 24])", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "and 11 million images. Thus, SAM shows valuable strong zero-shot generalization to new data", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "score": 1.0, + "content": "without the necessity for additional training. However, we also note that SAM training is very", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "expensive, where distributively training ViT-H-based SAM for 2 epochs on SA-1B requires 256", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "GPUs with a large batch size of 256 images. 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To keep the zero-shot capability of SAM, the lightweight HQ-Output", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "score": 1.0, + "content": "Token reuses SAM’s mask decoder, and generates new MLP layers for performing point-wise product", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "with fused HQ-Features. During training, only a few learnable parameters in HQ-SAM are trainable", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 281, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 506, + 294 + ], + "score": 1.0, + "content": "while we fix the model parameters of the pre-trained SAM. The prompt encoder is omitted here for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 293, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 305 + ], + "score": 1.0, + "content": "clarity. Error correction is simply used as a direct element-wise sum between the predicted logits of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 304, + 386, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 386, + 317 + ], + "score": 1.0, + "content": "the SAM’s Output Token and the HQ-Output Token during inference.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "title", + "bbox": [ + 107, + 325, + 200, + 337 + ], + "lines": [ + { + "bbox": [ + 105, + 324, + 201, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 201, + 339 + ], + "score": 1.0, + "content": "3.2 Ours: HQ-SAM", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 347, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "In this section, we describe the architecture of the HQ-SAM network. To preserve the zero-shot", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "transfer capability of SAM, while preventing model overfitting or catastrophic forgetting, instead", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "of directly finetuning SAM or adding a new heavy decoder network, we take a minimal adaptation", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "approach as much as possible. To this end, HQ-SAM reuses the pre-trained model weights of SAM", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 391, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 104, + 391, + 506, + 403 + ], + "score": 1.0, + "content": "as much as possible with only two new key components, namely, High-Quality Output Token and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 401, + 507, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 507, + 415 + ], + "score": 1.0, + "content": "Global-local Feature Fusion, as illustrated in Figure 3. HQ-SAM can thus be regarded as a high-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 412, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 425 + ], + "score": 1.0, + "content": "quality zero-shot segmentation model evolved from SAM with negligible extra model parameters and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 425, + 179, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 179, + 436 + ], + "score": 1.0, + "content": "computation cost.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 450, + 256, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 258, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 258, + 465 + ], + "score": 1.0, + "content": "3.2.1 High-Quality Output Token", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "We propose efficient token learning for improving the mask quality of SAM. As shown in Figure 3,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "in SAM’s original mask decoder design, the output token (similar to object query in DETR [3]) is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "adopted for mask prediction, which predicts dynamic MLP weights and then performs point-wise", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "product with the mask features. To promote SAM’s mask quality in HQ-SAM, instead of directly", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 515, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 505, + 526 + ], + "score": 1.0, + "content": "taking SAM’s coarse masks as input, we introduce the HQ-Output token and a new mask prediction", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 525, + 263, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 263, + 538 + ], + "score": 1.0, + "content": "layer for high-quality mask prediction.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "In Figure 3, by reusing and fixing SAM’s mask decoder, a new learnable HQ-Output Token (size", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 118, + 565 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 118, + 553, + 148, + 563 + ], + "score": 0.86, + "content": "1 \\times 2 5 6 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 552, + 359, + 565 + ], + "score": 1.0, + "content": "is concatenated with SAM’s output tokens (size of", + "type": "text" + }, + { + "bbox": [ + 360, + 553, + 390, + 564 + ], + "score": 0.87, + "content": "4 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "and prompt tokens (size of", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 563, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 160, + 576 + ], + "score": 0.84, + "content": "\\mathrm { N _ { p r o m p t } } { \\times } 2 5 6 ", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 563, + 506, + 578 + ], + "score": 1.0, + "content": ") as the input to the SAM’s mask decoder. Similar to the original output token, in each", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "attention layer, HQ-Output Token first performs self-attention with other tokens and then conducts", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "both token-to-image and the reverse image-to-token attention for its feature updating. Note that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "HQ-Output Token uses the point-wise MLP shared by the other tokens in each decoder layer. After", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "passing through two decoder layers, the updated HQ-Output Token has access to the global image", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "context, the critical geometric/type information of prompt tokens as well as hidden mask information", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "of the other output tokens. 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This is completely different from existing high-quality segmentation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "models [19, 6, 20, 22]. 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The prompt encoder is omitted here for", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 293, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 506, + 305 + ], + "score": 1.0, + "content": "clarity. 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HQ-SAM can thus be regarded as a high-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 412, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 425 + ], + "score": 1.0, + "content": "quality zero-shot segmentation model evolved from SAM with negligible extra model parameters and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 425, + 179, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 179, + 436 + ], + "score": 1.0, + "content": "computation cost.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5, + "bbox_fs": [ + 104, + 347, + 507, + 436 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 450, + 256, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 258, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 258, + 465 + ], + "score": 1.0, + "content": "3.2.1 High-Quality Output Token", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "We propose efficient token learning for improving the mask quality of SAM. As shown in Figure 3,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "in SAM’s original mask decoder design, the output token (similar to object query in DETR [3]) is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "adopted for mask prediction, which predicts dynamic MLP weights and then performs point-wise", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "product with the mask features. 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Similar to the original output token, in each", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "attention layer, HQ-Output Token first performs self-attention with other tokens and then conducts", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "both token-to-image and the reverse image-to-token attention for its feature updating. Note that", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "HQ-Output Token uses the point-wise MLP shared by the other tokens in each decoder layer. After", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 621 + ], + "score": 1.0, + "content": "passing through two decoder layers, the updated HQ-Output Token has access to the global image", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "context, the critical geometric/type information of prompt tokens as well as hidden mask information", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "of the other output tokens. Finally, we add a new three-layer MLP to generate dynamic convolutional", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 639, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 653 + ], + "score": 1.0, + "content": "kernels from the updated HQ-Output Token, which then performs spatially point-wise product with", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 650, + 329, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 329, + 663 + ], + "score": 1.0, + "content": "the fused HQ-feature for high-quality mask generation.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 542, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "Instead of directly finetuning SAM or further adding a heavy post-refinement network, we only allow", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "the HQ-Output Token and its associated three-layer MLPs to be trained for correcting the mask", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "errors of SAM’s output token. This is completely different from existing high-quality segmentation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "models [19, 6, 20, 22]. We identify two main advantages of our efficient token learning through", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "extensive experiments: 1) This strategy significantly improves SAM’s mask quality while only", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 73, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 86 + ], + "score": 1.0, + "content": "introducing negligible parameters compared to original SAM, making HQ-SAM training extremely", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "time and data-efficient; 2) The learned token and MLP layers do not overfit to mask the annotation", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "bias of a specific dataset, thus keeping SAM’s strong zero-shot segmentation capability on new", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 311, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 311, + 119 + ], + "score": 1.0, + "content": "images without catastrophic knowledge forgetting.", + "type": "text", + "cross_page": true + } + ], + "index": 3 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 667, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 86 + ], + "score": 1.0, + "content": "introducing negligible parameters compared to original SAM, making HQ-SAM training extremely", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "time and data-efficient; 2) The learned token and MLP layers do not overfit to mask the annotation", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "bias of a specific dataset, thus keeping SAM’s strong zero-shot segmentation capability on new", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 311, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 311, + 119 + ], + "score": 1.0, + "content": "images without catastrophic knowledge forgetting.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "title", + "bbox": [ + 107, + 129, + 332, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 127, + 334, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 334, + 144 + ], + "score": 1.0, + "content": "3.2.2 Global-local Fusion for High-quality Features", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 148, + 505, + 269 + ], + "lines": [ + { + "bbox": [ + 106, + 149, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 506, + 161 + ], + "score": 1.0, + "content": "Very accurate segmentation also requires input image feature with both rich global semantic context", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "and local boundary details. To further promote mask quality, we enrich both the high-level object", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "context and low-level boundary/edge information in the mask decoder features of SAM. Instead", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "of directly using SAM’s mask decoder feature, we compose the new high-quality features (HQ-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "Features) by extracting and fusing features from different stages of the SAM model: 1) The early", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 202, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 352, + 216 + ], + "score": 1.0, + "content": "layer local feature of SAM’s ViT encoder with spatial shape", + "type": "text" + }, + { + "bbox": [ + 353, + 203, + 382, + 214 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 202, + 505, + 216 + ], + "score": 1.0, + "content": ", which captures more general", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "image edge/boundary details [12]. Concretely, we extract the feature after the first global attention", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "block of the ViT encoder, and for ViT-Large based SAM, this is the 6th block output for the 24 blocks", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 407, + 248 + ], + "score": 1.0, + "content": "in total; 2) The final layer global feature of SAM’s ViT encoder with shape", + "type": "text" + }, + { + "bbox": [ + 407, + 236, + 436, + 246 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 236, + 505, + 248 + ], + "score": 1.0, + "content": ", which has more", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 247, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 463, + 259 + ], + "score": 1.0, + "content": "global image context information; 3) The mask feature in SAM’s mask decoder with size", + "type": "text" + }, + { + "bbox": [ + 464, + 247, + 503, + 257 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 247, + 506, + 259 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 439, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 439, + 270 + ], + "score": 1.0, + "content": "which is also shared by the output tokens, contains strong mask shape information.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 274, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 507, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 286 + ], + "score": 1.0, + "content": "As shown in Figure 3, to obtain the input HQ-Features, we first upsample the early-layer and final-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 284, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 265, + 298 + ], + "score": 1.0, + "content": "layer encoder features to the spatial size", + "type": "text" + }, + { + "bbox": [ + 265, + 285, + 304, + 295 + ], + "score": 0.9, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 284, + 505, + 298 + ], + "score": 1.0, + "content": "by transposed convolution. Then, we sum up these", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "three types of features in an element-wise manner after simple convolutional processing. We show", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 306, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 320 + ], + "score": 1.0, + "content": "that this global-local feature fusion is simple while effective, yielding detail-preserving segmentation", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 317, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 330 + ], + "score": 1.0, + "content": "results with a small memory footprint and computation burden. We also perform detailed ablation on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 327, + 387, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 387, + 341 + ], + "score": 1.0, + "content": "the effect of each feature source in the experimental section (Table 3).", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 346, + 283, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 284, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 284, + 361 + ], + "score": 1.0, + "content": "3.3 Training and Inference of HQ-SAM", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 506, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "Training Data Construction To train HQ-SAM in a data-efficient manner, instead of further training", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "on SA-1B [21], we compose a new training dataset HQSeg-44K which contains 44,320 extremely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 104, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "accurate image mask annotations. We note that the released SA-1B dataset only contains automatically", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 399, + 507, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 507, + 412 + ], + "score": 1.0, + "content": "generated mask labels, missing very accurate manual annotation on objects with complex structures.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 422 + ], + "score": 1.0, + "content": "Due to the annotation difficulty, HQSeg-44K leverages a collection of six existing image datasets", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 421, + 507, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 507, + 434 + ], + "score": 1.0, + "content": "including DIS [35] (train set), ThinObject-5K [29] (train set), FSS-1000 [26], ECSSD [38], MSRA-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 104, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "7.4K mask labels on average. To make HQ-SAM robust and generalizable to new data, HQSeg-44K", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "score": 1.0, + "content": "contains diverse semantic classes of more than 1,000. We show the advantage of using HQSeg-44K", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21] in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 476, + 215, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 215, + 489 + ], + "score": 1.0, + "content": "our supplemental analysis.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 602 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "HQ-SAM Training During training, we fix the model parameters of the pre-trained SAM model", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "while only making the proposed HQ-SAM learnable. The learnable parameters thus only include the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "score": 1.0, + "content": "HQ-Output Token, its associated three-layer MLP and three simple convolutions for HQ-Features", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 539 + ], + "score": 1.0, + "content": "fusion. Since SAM is designed for flexible segmentation prompts, we train HQ-SAM by sampling", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "mixed types of prompts including bounding boxes, randomly sampled points, and coarse masks input.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "score": 1.0, + "content": "We generate these degraded masks by adding random Gaussian noise in the boundary regions of the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 556, + 507, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 507, + 572 + ], + "score": 1.0, + "content": "GT masks. For generalizability to different object scales, we use large-scale jittering [13]. We use a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "learning rate of 0.001 and train our HQ-SAM for 12 epochs, with a learning rate drop after 10 epochs.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "We train on 8 Nvidia GeForce RTX 3090 GPUs with a total batch size of 32, which takes 4 hours to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 591, + 425, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 425, + 603 + ], + "score": 1.0, + "content": "train for 16.6K iterations. Please refer to our supplemental file for more details.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 107, + 607, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "HQ-SAM Inference We follow the same inference pipeline of SAM but use the mask prediction", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "from HQ-Output token as high-quality mask prediction. During inference, we sum the predicted", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 629, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 642 + ], + "score": 1.0, + "content": "logits of the SAM mask (by Output Token) and our predicted mask (by HQ-Output Token) for mask", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 236, + 653 + ], + "score": 1.0, + "content": "correction on spatial resolution", + "type": "text" + }, + { + "bbox": [ + 236, + 640, + 276, + 650 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 639, + 506, + 653 + ], + "score": 1.0, + "content": ". Then we up-sample the corrected mask to the original", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 650, + 256, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 149, + 664 + ], + "score": 1.0, + "content": "resolution", + "type": "text" + }, + { + "bbox": [ + 149, + 651, + 198, + 661 + ], + "score": 0.88, + "content": "1 0 2 4 \\times 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 650, + 256, + 664 + ], + "score": 1.0, + "content": "as our output.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "SAM vs. HQ-SAM on Training and Inference In Table 1, we report detailed training and", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "inference comparisons between our HQ-SAM and SAM. While HQ-SAM produces substantially", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "better segmentation quality, its training is very quick and affordable, which only takes 4 hours with", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "8 RTX3090 GPUs. HQ-SAM is also lightweight and efficient, introducing negligible increases in", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 710, + 389, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 389, + 725 + ], + "score": 1.0, + "content": "model parameters, GPU memory usage, and inference time per image.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 51 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 753 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 117 + ], + "lines": [], + "index": 1.5, + "bbox_fs": [ + 105, + 73, + 505, + 119 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 129, + 332, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 127, + 334, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 334, + 144 + ], + "score": 1.0, + "content": "3.2.2 Global-local Fusion for High-quality Features", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 148, + 505, + 269 + ], + "lines": [ + { + "bbox": [ + 106, + 149, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 149, + 506, + 161 + ], + "score": 1.0, + "content": "Very accurate segmentation also requires input image feature with both rich global semantic context", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "and local boundary details. To further promote mask quality, we enrich both the high-level object", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "context and low-level boundary/edge information in the mask decoder features of SAM. Instead", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "of directly using SAM’s mask decoder feature, we compose the new high-quality features (HQ-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 191, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 505, + 205 + ], + "score": 1.0, + "content": "Features) by extracting and fusing features from different stages of the SAM model: 1) The early", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 202, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 352, + 216 + ], + "score": 1.0, + "content": "layer local feature of SAM’s ViT encoder with spatial shape", + "type": "text" + }, + { + "bbox": [ + 353, + 203, + 382, + 214 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 202, + 505, + 216 + ], + "score": 1.0, + "content": ", which captures more general", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 226 + ], + "score": 1.0, + "content": "image edge/boundary details [12]. Concretely, we extract the feature after the first global attention", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 505, + 237 + ], + "score": 1.0, + "content": "block of the ViT encoder, and for ViT-Large based SAM, this is the 6th block output for the 24 blocks", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 407, + 248 + ], + "score": 1.0, + "content": "in total; 2) The final layer global feature of SAM’s ViT encoder with shape", + "type": "text" + }, + { + "bbox": [ + 407, + 236, + 436, + 246 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 236, + 505, + 248 + ], + "score": 1.0, + "content": ", which has more", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 247, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 463, + 259 + ], + "score": 1.0, + "content": "global image context information; 3) The mask feature in SAM’s mask decoder with size", + "type": "text" + }, + { + "bbox": [ + 464, + 247, + 503, + 257 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 247, + 506, + 259 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 439, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 439, + 270 + ], + "score": 1.0, + "content": "which is also shared by the output tokens, contains strong mask shape information.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 10, + "bbox_fs": [ + 104, + 149, + 506, + 270 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 274, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 273, + 507, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 286 + ], + "score": 1.0, + "content": "As shown in Figure 3, to obtain the input HQ-Features, we first upsample the early-layer and final-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 284, + 505, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 265, + 298 + ], + "score": 1.0, + "content": "layer encoder features to the spatial size", + "type": "text" + }, + { + "bbox": [ + 265, + 285, + 304, + 295 + ], + "score": 0.9, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 284, + 505, + 298 + ], + "score": 1.0, + "content": "by transposed convolution. Then, we sum up these", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "three types of features in an element-wise manner after simple convolutional processing. We show", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 306, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 320 + ], + "score": 1.0, + "content": "that this global-local feature fusion is simple while effective, yielding detail-preserving segmentation", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 317, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 330 + ], + "score": 1.0, + "content": "results with a small memory footprint and computation burden. We also perform detailed ablation on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 327, + 387, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 387, + 341 + ], + "score": 1.0, + "content": "the effect of each feature source in the experimental section (Table 3).", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 273, + 507, + 341 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 346, + 283, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 284, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 284, + 361 + ], + "score": 1.0, + "content": "3.3 Training and Inference of HQ-SAM", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 366, + 506, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 380 + ], + "score": 1.0, + "content": "Training Data Construction To train HQ-SAM in a data-efficient manner, instead of further training", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 505, + 390 + ], + "score": 1.0, + "content": "on SA-1B [21], we compose a new training dataset HQSeg-44K which contains 44,320 extremely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 104, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "accurate image mask annotations. We note that the released SA-1B dataset only contains automatically", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 399, + 507, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 507, + 412 + ], + "score": 1.0, + "content": "generated mask labels, missing very accurate manual annotation on objects with complex structures.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 411, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 422 + ], + "score": 1.0, + "content": "Due to the annotation difficulty, HQSeg-44K leverages a collection of six existing image datasets", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 421, + 507, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 507, + 434 + ], + "score": 1.0, + "content": "including DIS [35] (train set), ThinObject-5K [29] (train set), FSS-1000 [26], ECSSD [38], MSRA-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 104, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "10K [8], DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "7.4K mask labels on average. To make HQ-SAM robust and generalizable to new data, HQSeg-44K", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 506, + 467 + ], + "score": 1.0, + "content": "contains diverse semantic classes of more than 1,000. We show the advantage of using HQSeg-44K", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "by comparing HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21] in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 476, + 215, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 215, + 489 + ], + "score": 1.0, + "content": "our supplemental analysis.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 366, + 507, + 489 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 602 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "HQ-SAM Training During training, we fix the model parameters of the pre-trained SAM model", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "while only making the proposed HQ-SAM learnable. The learnable parameters thus only include the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 528 + ], + "score": 1.0, + "content": "HQ-Output Token, its associated three-layer MLP and three simple convolutions for HQ-Features", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 539 + ], + "score": 1.0, + "content": "fusion. Since SAM is designed for flexible segmentation prompts, we train HQ-SAM by sampling", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "mixed types of prompts including bounding boxes, randomly sampled points, and coarse masks input.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "score": 1.0, + "content": "We generate these degraded masks by adding random Gaussian noise in the boundary regions of the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 556, + 507, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 507, + 572 + ], + "score": 1.0, + "content": "GT masks. For generalizability to different object scales, we use large-scale jittering [13]. We use a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 506, + 581 + ], + "score": 1.0, + "content": "learning rate of 0.001 and train our HQ-SAM for 12 epochs, with a learning rate drop after 10 epochs.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 106, + 580, + 505, + 591 + ], + "score": 1.0, + "content": "We train on 8 Nvidia GeForce RTX 3090 GPUs with a total batch size of 32, which takes 4 hours to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 591, + 425, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 425, + 603 + ], + "score": 1.0, + "content": "train for 16.6K iterations. Please refer to our supplemental file for more details.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 491, + 507, + 603 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 607, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "HQ-SAM Inference We follow the same inference pipeline of SAM but use the mask prediction", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "from HQ-Output token as high-quality mask prediction. During inference, we sum the predicted", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 629, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 642 + ], + "score": 1.0, + "content": "logits of the SAM mask (by Output Token) and our predicted mask (by HQ-Output Token) for mask", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 236, + 653 + ], + "score": 1.0, + "content": "correction on spatial resolution", + "type": "text" + }, + { + "bbox": [ + 236, + 640, + 276, + 650 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 639, + 506, + 653 + ], + "score": 1.0, + "content": ". Then we up-sample the corrected mask to the original", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 650, + 256, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 149, + 664 + ], + "score": 1.0, + "content": "resolution", + "type": "text" + }, + { + "bbox": [ + 149, + 651, + 198, + 661 + ], + "score": 0.88, + "content": "1 0 2 4 \\times 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 650, + 256, + 664 + ], + "score": 1.0, + "content": "as our output.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 606, + 506, + 664 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "SAM vs. HQ-SAM on Training and Inference In Table 1, we report detailed training and", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "inference comparisons between our HQ-SAM and SAM. While HQ-SAM produces substantially", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "better segmentation quality, its training is very quick and affordable, which only takes 4 hours with", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "8 RTX3090 GPUs. HQ-SAM is also lightweight and efficient, introducing negligible increases in", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 710, + 389, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 389, + 725 + ], + "score": 1.0, + "content": "model parameters, GPU memory usage, and inference time per image.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 51, + "bbox_fs": [ + 105, + 666, + 506, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 135, + 122, + 472, + 174 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 1: Training and inference comparison between ViT-L [11] based SAM and HQ-SAM. HQ-SAM", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 366, + 101 + ], + "score": 1.0, + "content": "brings negligible extra computation burden to SAM, with less than", + "type": "text" + }, + { + "bbox": [ + 366, + 88, + 388, + 99 + ], + "score": 0.87, + "content": "0 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "increase in model parameters", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 161, + 111 + ], + "score": 1.0, + "content": "and reaching", + "type": "text" + }, + { + "bbox": [ + 161, + 99, + 181, + 110 + ], + "score": 0.85, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 100, + 506, + 111 + ], + "score": 1.0, + "content": "of its original speed. SAM-L is trained on 128 A100 GPUs for 180k iterations.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 462, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 462, + 122 + ], + "score": 1.0, + "content": "Based on SAM-L, we only need to train our HQ-SAM on 8 RTX3090 GPUs for 4 hours.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 135, + 122, + 472, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 122, + 472, + 174 + ], + "spans": [ + { + "bbox": [ + 135, + 122, + 472, + 174 + ], + "score": 0.974, + "html": "
MethodTrainingInference
Learnable Params (M)# GPUBatch SizeTime (h)FPSMem.
SAM [21]1191128128N/A5.07.6G
HQ-SAM5.183244.87.6G
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For a comprehen-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 241, + 504, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 504, + 253 + ], + "score": 1.0, + "content": "sive evaluation of the segmentation performance of HQ-SAM, we perform experiments on a wide", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "score": 1.0, + "content": "range of datasets, including four extremely fine-grained segmentation datasets: DIS [35] (validation", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 262, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "set), ThinObject-5K [29] (test set), COIFT [29] and HR-SOD [51]. Besides, we experiment on popu-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 273, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 286 + ], + "score": 1.0, + "content": "lar and challenging benchmarks across various image/video-based segmentation tasks in zero-shot", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 284, + 491, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 491, + 297 + ], + "score": 1.0, + "content": "settings, such as COCO [31], SGinW [58], UVO [42], LVIS [14], HQ-YTVIS [20] and BIG [6].", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 300, + 505, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 505, + 314 + ], + "score": 1.0, + "content": "Evaluation Metrics To accurately quantify improvements in mask quality, instead of only employing", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 507, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 468, + 324 + ], + "score": 1.0, + "content": "the standard mask AP or mask mIoU, we also adopt boundary metrics mBIoU and boundary", + "type": "text" + }, + { + "bbox": [ + 469, + 312, + 489, + 323 + ], + "score": 0.88, + "content": "\\mathsf { A P } _ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 311, + 507, + 324 + ], + "score": 1.0, + "content": "[5].", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 103, + 318, + 509, + 340 + ], + "spans": [ + { + "bbox": [ + 103, + 318, + 225, + 340 + ], + "score": 1.0, + "content": "We also evaluate on stricter", + "type": "text" + }, + { + "bbox": [ + 225, + 323, + 254, + 335 + ], + "score": 0.86, + "content": "\\mathsf { A P } _ { B } ^ { \\mathrm { s t r i c t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 318, + 509, + 340 + ], + "score": 1.0, + "content": "by adjusting the default dilation ratio from 0.02 to 0.01 on", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "UVO [42] and LVIS [14]. For evaluation on the four fine-grained segmentation datasets [35, 29, 51],", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 345, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 356 + ], + "score": 1.0, + "content": "we also report the averaged boundary and mask IoU among them. For video instance segmentation", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 354, + 460, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 347, + 367 + ], + "score": 1.0, + "content": "evaluation on HQ-YTVIS [20], we use both Tube Boundary", + "type": "text" + }, + { + "bbox": [ + 348, + 355, + 369, + 366 + ], + "score": 0.86, + "content": "\\mathsf { A P } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 354, + 434, + 367 + ], + "score": 1.0, + "content": "and Tube Mask", + "type": "text" + }, + { + "bbox": [ + 434, + 355, + 456, + 366 + ], + "score": 0.8, + "content": "\\mathsf { A P } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 354, + 460, + 367 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 107, + 379, + 224, + 391 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 226, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 226, + 393 + ], + "score": 1.0, + "content": "4.2 Ablation Experiments", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 454 + ], + "lines": [ + { + "bbox": [ + 106, + 399, + 507, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 507, + 413 + ], + "score": 1.0, + "content": "We conduct detailed ablation studies on the proposed HQ-SAM using ViT-Large as the backbone,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "analyzing the impact of the proposed HQ-Output Token and HQ-Features on segmentation quality", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "especially in zero-shot cases. For ablation experiments, we use the four aforementioned extremely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "accurate segmentation datasets, namely, DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 443, + 309, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 309, + 456 + ], + "score": 1.0, + "content": "HR-SOD [51] as well as the COCO validation set.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 460, + 505, + 580 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "Effect of the High-Quality Output Token . HQ-SAM employs HQ-Output Token for high-quality", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "score": 1.0, + "content": "mask prediction. Table 2 compares our HQ-Output Token to the baseline SAM and other existing", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "prompt/token learning strategies, such as adding an additional three context tokens [56] as learnable", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "vectors into the SAM’s mask decoder for better context learning. Compared to using context tokens,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "the HQ-Output token consistently brings larger performance gains on four high-quality datasets, with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "13.2 mBIoU on DIS and 2.7 mBIoU on COIFT datasets. We also perform other ablation experiment", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "variants, such as computing the scaled dot product [18] between the original SAM’s output token", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "and our HQ-Output token or restricting the mask loss to only inside the boundary regions, and find", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "they slightly decrease the averaged performance on the four evaluation datasets. Compared to SAM,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 506, + 571 + ], + "score": 1.0, + "content": "HQ-SAM significantly improves the mBIoU on DIS benchmark from 52.8 to 70.4 and also promotes", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 568, + 306, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 306, + 581 + ], + "score": 1.0, + "content": "the mBIoU on the HRSOD dataset for 3.8 points.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "score": 1.0, + "content": "Ablation on the Global-local Fusion for HQ-Features Table 3 tabulates the effect of global-local", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "fusion, where the importance of each feature component is analyzed in HQ-Features during the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "fusion process. Compared to directly using the mask decoder feature of SAM, the entire HQ-Features", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 236, + 630 + ], + "score": 1.0, + "content": "bring an obvious advantage of", + "type": "text" + }, + { + "bbox": [ + 237, + 618, + 285, + 629 + ], + "score": 0.33, + "content": "2 . 6 \\ \\mathrm { m B I o U }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "on four highly accurate segmentation datasets. The", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "final-layer ViT encoder feature with global context increases the mBIoU from 80.1 to 81.3. while", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "the early-layer feature with local details further promotes the mBIoU to 81.8. We also replace the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "proposed global-local fusion with the conventional FPN to build a feature pyramid for fusion, and", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 662, + 428, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 428, + 674 + ], + "score": 1.0, + "content": "found this brought an inferior performance, decreasing from 89.1 to 87.4 mIoU.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5 + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 107, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 107, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "Comparison to SAM finetuning or post-refinement . In Table 4, we compare our efficient token", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "adaptation strategy to adding an extra post-refinement network [6] and model finetuning, including", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "directly finetuning SAM’s mask decoder or only finetuning its output token for mask prediction.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "score": 1.0, + "content": "Adding an extra heavy post-refinement network brings limited averaged performance increase on", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 135, + 122, + 472, + 174 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 77, + 505, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 90 + ], + "score": 1.0, + "content": "Table 1: Training and inference comparison between ViT-L [11] based SAM and HQ-SAM. HQ-SAM", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 366, + 101 + ], + "score": 1.0, + "content": "brings negligible extra computation burden to SAM, with less than", + "type": "text" + }, + { + "bbox": [ + 366, + 88, + 388, + 99 + ], + "score": 0.87, + "content": "0 . 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "increase in model parameters", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 99, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 161, + 111 + ], + "score": 1.0, + "content": "and reaching", + "type": "text" + }, + { + "bbox": [ + 161, + 99, + 181, + 110 + ], + "score": 0.85, + "content": "96 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 100, + 506, + 111 + ], + "score": 1.0, + "content": "of its original speed. SAM-L is trained on 128 A100 GPUs for 180k iterations.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 110, + 462, + 122 + ], + "spans": [ + { + "bbox": [ + 105, + 110, + 462, + 122 + ], + "score": 1.0, + "content": "Based on SAM-L, we only need to train our HQ-SAM on 8 RTX3090 GPUs for 4 hours.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 135, + 122, + 472, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 122, + 472, + 174 + ], + "spans": [ + { + "bbox": [ + 135, + 122, + 472, + 174 + ], + "score": 0.974, + "html": "
MethodTrainingInference
Learnable Params (M)# GPUBatch SizeTime (h)FPSMem.
SAM [21]1191128128N/A5.07.6G
HQ-SAM5.183244.87.6G
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For a comprehen-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 241, + 504, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 504, + 253 + ], + "score": 1.0, + "content": "sive evaluation of the segmentation performance of HQ-SAM, we perform experiments on a wide", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 251, + 505, + 264 + ], + "score": 1.0, + "content": "range of datasets, including four extremely fine-grained segmentation datasets: DIS [35] (validation", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 262, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 506, + 276 + ], + "score": 1.0, + "content": "set), ThinObject-5K [29] (test set), COIFT [29] and HR-SOD [51]. Besides, we experiment on popu-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 273, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 286 + ], + "score": 1.0, + "content": "lar and challenging benchmarks across various image/video-based segmentation tasks in zero-shot", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 284, + 491, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 491, + 297 + ], + "score": 1.0, + "content": "settings, such as COCO [31], SGinW [58], UVO [42], LVIS [14], HQ-YTVIS [20] and BIG [6].", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 229, + 506, + 297 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 300, + 505, + 367 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 505, + 314 + ], + "score": 1.0, + "content": "Evaluation Metrics To accurately quantify improvements in mask quality, instead of only employing", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 507, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 468, + 324 + ], + "score": 1.0, + "content": "the standard mask AP or mask mIoU, we also adopt boundary metrics mBIoU and boundary", + "type": "text" + }, + { + "bbox": [ + 469, + 312, + 489, + 323 + ], + "score": 0.88, + "content": "\\mathsf { A P } _ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 311, + 507, + 324 + ], + "score": 1.0, + "content": "[5].", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 103, + 318, + 509, + 340 + ], + "spans": [ + { + "bbox": [ + 103, + 318, + 225, + 340 + ], + "score": 1.0, + "content": "We also evaluate on stricter", + "type": "text" + }, + { + "bbox": [ + 225, + 323, + 254, + 335 + ], + "score": 0.86, + "content": "\\mathsf { A P } _ { B } ^ { \\mathrm { s t r i c t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 318, + 509, + 340 + ], + "score": 1.0, + "content": "by adjusting the default dilation ratio from 0.02 to 0.01 on", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "UVO [42] and LVIS [14]. For evaluation on the four fine-grained segmentation datasets [35, 29, 51],", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 345, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 506, + 356 + ], + "score": 1.0, + "content": "we also report the averaged boundary and mask IoU among them. For video instance segmentation", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 354, + 460, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 347, + 367 + ], + "score": 1.0, + "content": "evaluation on HQ-YTVIS [20], we use both Tube Boundary", + "type": "text" + }, + { + "bbox": [ + 348, + 355, + 369, + 366 + ], + "score": 0.86, + "content": "\\mathsf { A P } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 354, + 434, + 367 + ], + "score": 1.0, + "content": "and Tube Mask", + "type": "text" + }, + { + "bbox": [ + 434, + 355, + 456, + 366 + ], + "score": 0.8, + "content": "\\mathsf { A P } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 354, + 460, + 367 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 17.5, + "bbox_fs": [ + 103, + 299, + 509, + 367 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 379, + 224, + 391 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 226, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 226, + 393 + ], + "score": 1.0, + "content": "4.2 Ablation Experiments", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 454 + ], + "lines": [ + { + "bbox": [ + 106, + 399, + 507, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 399, + 507, + 413 + ], + "score": 1.0, + "content": "We conduct detailed ablation studies on the proposed HQ-SAM using ViT-Large as the backbone,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "analyzing the impact of the proposed HQ-Output Token and HQ-Features on segmentation quality", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "especially in zero-shot cases. For ablation experiments, we use the four aforementioned extremely", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "accurate segmentation datasets, namely, DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 443, + 309, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 309, + 456 + ], + "score": 1.0, + "content": "HR-SOD [51] as well as the COCO validation set.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 399, + 507, + 456 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 460, + 505, + 580 + ], + "lines": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "Effect of the High-Quality Output Token . HQ-SAM employs HQ-Output Token for high-quality", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 484 + ], + "score": 1.0, + "content": "mask prediction. Table 2 compares our HQ-Output Token to the baseline SAM and other existing", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "prompt/token learning strategies, such as adding an additional three context tokens [56] as learnable", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "vectors into the SAM’s mask decoder for better context learning. Compared to using context tokens,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "the HQ-Output token consistently brings larger performance gains on four high-quality datasets, with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "13.2 mBIoU on DIS and 2.7 mBIoU on COIFT datasets. We also perform other ablation experiment", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "variants, such as computing the scaled dot product [18] between the original SAM’s output token", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "and our HQ-Output token or restricting the mask loss to only inside the boundary regions, and find", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "they slightly decrease the averaged performance on the four evaluation datasets. Compared to SAM,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 506, + 571 + ], + "score": 1.0, + "content": "HQ-SAM significantly improves the mBIoU on DIS benchmark from 52.8 to 70.4 and also promotes", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 568, + 306, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 306, + 581 + ], + "score": 1.0, + "content": "the mBIoU on the HRSOD dataset for 3.8 points.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 459, + 506, + 581 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "score": 1.0, + "content": "Ablation on the Global-local Fusion for HQ-Features Table 3 tabulates the effect of global-local", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "fusion, where the importance of each feature component is analyzed in HQ-Features during the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "fusion process. Compared to directly using the mask decoder feature of SAM, the entire HQ-Features", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 618, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 236, + 630 + ], + "score": 1.0, + "content": "bring an obvious advantage of", + "type": "text" + }, + { + "bbox": [ + 237, + 618, + 285, + 629 + ], + "score": 0.33, + "content": "2 . 6 \\ \\mathrm { m B I o U }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 618, + 506, + 630 + ], + "score": 1.0, + "content": "on four highly accurate segmentation datasets. The", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 641 + ], + "score": 1.0, + "content": "final-layer ViT encoder feature with global context increases the mBIoU from 80.1 to 81.3. while", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "the early-layer feature with local details further promotes the mBIoU to 81.8. We also replace the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 663 + ], + "score": 1.0, + "content": "proposed global-local fusion with the conventional FPN to build a feature pyramid for fusion, and", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 662, + 428, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 428, + 674 + ], + "score": 1.0, + "content": "found this brought an inferior performance, decreasing from 89.1 to 87.4 mIoU.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 584, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 107, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 107, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "Comparison to SAM finetuning or post-refinement . In Table 4, we compare our efficient token", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "adaptation strategy to adding an extra post-refinement network [6] and model finetuning, including", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "directly finetuning SAM’s mask decoder or only finetuning its output token for mask prediction.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "score": 1.0, + "content": "Adding an extra heavy post-refinement network brings limited averaged performance increase on", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "four HQ datasets but leads to very poor performance on COCO, indicating strong overfitting. We", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 388, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 104, + 388, + 506, + 403 + ], + "score": 1.0, + "content": "also observe a similar phenomenon when directly finetuning SAM’s mask decoder. Only finetuning", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "SAM’s output token can address the catastrophic forgetting problem with improvement on the four", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "HQ datasets and COCO. However, the incremental improvement is still much smaller compared to", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 226, + 434 + ], + "score": 1.0, + "content": "ours. HQ-SAM improves 1.1", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 226, + 422, + 248, + 433 + ], + "score": 0.69, + "content": "\\mathsf { A P } _ { B }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 248, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "on COCO while output token finetuning only gives an increase", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 117, + 446 + ], + "score": 1.0, + "content": "of", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 118, + 433, + 153, + 444 + ], + "score": 0.9, + "content": "0 . 4 \\ : \\mathrm { A P } _ { B }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 154, + 432, + 505, + 446 + ], + "score": 1.0, + "content": ". This shows the advantage of HQ-SAM in data-efficient learning while preserving the", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 444, + 225, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 225, + 456 + ], + "score": 1.0, + "content": "zero-shot capability of SAM.", + "type": "text", + "cross_page": true + } + ], + "index": 18 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 678, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 114, + 505, + 216 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 506, + 111 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 76, + 506, + 91 + ], + "spans": [ + { + "bbox": [ + 104, + 76, + 506, + 91 + ], + "score": 1.0, + "content": "Table 2: Ablation study of the HQ-Output Token on four extremely fine-grained segmentation datasets.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "We adopt the boxes converted from their GT masks as the box prompt input. By default, we train the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 99, + 389, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 389, + 112 + ], + "score": 1.0, + "content": "predicted mask of HQ Output-Token by computing full GT mask loss.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 107, + 114, + 505, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 114, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 107, + 114, + 505, + 216 + ], + "score": 0.982, + "html": "
ModelDIS [35]COIFT [29]HRSOD [51]ThinObject [29]Average
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoU
SAM (baseline)62.052.892.186.590.283.173.661.879.571.1
Using SAM's mask decoder feature:
SAM+Context Token [56]71.562.293.087.791.885.084.573.185.277.0
SAM + HQ-Output Token (× Output Token)75.165.8 66.493.988.993.086.186.174.687.078.9
SAM + HQ-Output Token (Boundary Loss) SAM + HQ-Output Token75.2 75.366.094.0 94.288.9 89.292.1 93.085.7 86.187.3 86.876.0 75.487.2 87.379.3
79.2
Using Our HQ-Feature:
SAM + HQ-Output Token (+ Context Token)78.570.494.689.693.687.088.9 89.579.388.9 89.181.6
SAM+ HQ-Output Token78.670.494.890.193.686.979.981.8
", + "type": "table", + "image_path": "ff9b9ede5a8323bc38e1774e419cf448288a66f9151302d35eb1e865c5bc7d57.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 107, + 114, + 505, + 148.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 107, + 148.0, + 505, + 182.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 107, + 182.0, + 505, + 216.0 + ], + "spans": [], + "index": 5 + } + ] + } + ], + "index": 2.5 + }, + { + "type": "table", + "bbox": [ + 127, + 264, + 485, + 372 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 227, + 505, + 261 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 227, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 506, + 239 + ], + "score": 1.0, + "content": "Table 3: Ablation study on the HQ-Features sources. Early-layer denotes the feature after the first", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 237, + 507, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 507, + 250 + ], + "score": 1.0, + "content": "global attention block of the ViT encoder, while final-layer denotes the output of the last ViT block.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 262 + ], + "score": 1.0, + "content": "Four HQ datasets denote DIS (val) [35], ThinObject-5K (test) [29], COIFT [29] and HR-SOD [51].", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "table_body", + "bbox": [ + 127, + 264, + 485, + 372 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 127, + 264, + 485, + 372 + ], + "spans": [ + { + "bbox": [ + 127, + 264, + 485, + 372 + ], + "score": 0.98, + "html": "
ModelFusion convDecoder Mask featureViT Encoder Final-layer Early-layermIoUFour HQ datasets mBIoU
SAM [21]79.571.1
HQ-SAM (Ours)广87.3 79.2
87.880.1
15.19.0
√ √广88.6 81.3
√ √√ √ √ 丁88.6 89.181.1 81.8
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We", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 388, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 104, + 388, + 506, + 403 + ], + "score": 1.0, + "content": "also observe a similar phenomenon when directly finetuning SAM’s mask decoder. Only finetuning", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 413 + ], + "score": 1.0, + "content": "SAM’s output token can address the catastrophic forgetting problem with improvement on the four", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "HQ datasets and COCO. 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The performance gap between SAM and our", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "score": 1.0, + "content": "HQ-SAM increases significantly when we vary from a loose BIoU threshold of 0.5 to a very strict", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "threshold of 0.9, showing the advantage of HQ-SAM in predicting very accurate segmentation masks.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + } + ], + "index": 21.75 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "Accuracy analysis at different BIoU thresholds Figure 4 compares SAM and HQ-SAM from", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "loose to strict BIoU thresholds. 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The large performance gap with strict IoU thresholds", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 676, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 692 + ], + "score": 1.0, + "content": "on both COIFT [29] and HRSOD [51] clearly validates the advantage of HQ-SAM in predicting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 689, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 700 + ], + "score": 1.0, + "content": "very accurate masks. 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This shows that HQ-SAM", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 710, + 484, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 484, + 724 + ], + "score": 1.0, + "content": "predictions are not only substantially more accurate but also more robust in challenging cases.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 114, + 505, + 216 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 506, + 111 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 76, + 506, + 91 + ], + "spans": [ + { + "bbox": [ + 104, + 76, + 506, + 91 + ], + "score": 1.0, + "content": "Table 2: Ablation study of the HQ-Output Token on four extremely fine-grained segmentation datasets.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 506, + 101 + ], + "score": 1.0, + "content": "We adopt the boxes converted from their GT masks as the box prompt input. 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ModelDIS [35]COIFT [29]HRSOD [51]ThinObject [29]Average
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoU
SAM (baseline)62.052.892.186.590.283.173.661.879.571.1
Using SAM's mask decoder feature:
SAM+Context Token [56]71.562.293.087.791.885.084.573.185.277.0
SAM + HQ-Output Token (× Output Token)75.165.8 66.493.988.993.086.186.174.687.078.9
SAM + HQ-Output Token (Boundary Loss) SAM + HQ-Output Token75.2 75.366.094.0 94.288.9 89.292.1 93.085.7 86.187.3 86.876.0 75.487.2 87.379.3
79.2
Using Our HQ-Feature:
SAM + HQ-Output Token (+ Context Token)78.570.494.689.693.687.088.9 89.579.388.9 89.181.6
SAM+ HQ-Output Token78.670.494.890.193.686.979.981.8
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ModelFusion convDecoder Mask featureViT Encoder Final-layer Early-layermIoUFour HQ datasets mBIoU
SAM [21]79.571.1
HQ-SAM (Ours)广87.3 79.2
87.880.1
15.19.0
√ √广88.6 81.3
√ √√ √ √ 丁88.6 89.181.1 81.8
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The performance gap between SAM and our", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "score": 1.0, + "content": "HQ-SAM increases significantly when we vary from a loose BIoU threshold of 0.5 to a very strict", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "threshold of 0.9, showing the advantage of HQ-SAM in predicting very accurate segmentation masks.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + } + ], + "index": 21.75 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "Accuracy analysis at different BIoU thresholds Figure 4 compares SAM and HQ-SAM from", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "loose to strict BIoU thresholds. 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The large performance gap with strict IoU thresholds", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 676, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 692 + ], + "score": 1.0, + "content": "on both COIFT [29] and HRSOD [51] clearly validates the advantage of HQ-SAM in predicting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 689, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 700 + ], + "score": 1.0, + "content": "very accurate masks. 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This shows that HQ-SAM", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 710, + 484, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 484, + 724 + ], + "score": 1.0, + "content": "predictions are not only substantially more accurate but also more robust in challenging cases.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 645, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 127, + 103, + 485, + 227 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 504, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 76, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 76, + 505, + 90 + ], + "score": 1.0, + "content": "Table 4: Comparison with model finetuning or extra post-refinement [6]. For the COCO dataset, we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 87, + 505, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 87, + 505, + 101 + ], + "score": 1.0, + "content": "use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 127, + 103, + 485, + 227 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 103, + 485, + 227 + ], + "spans": [ + { + "bbox": [ + 127, + 103, + 485, + 227 + ], + "score": 0.984, + "html": "
ModelFour HQ datasets mIoU mBIoUCoCo
APBAPAPLAPmAPs
SAM (baseline)79.571.133.348.563.953.134.1
Training the whole SAM38.012.20.25.51-1
Add Context Token [56]85.277.031.947.265.151.231.9
CascadePSP Post-refinement [6]80.974.62.813.443.49.40.0
CRM Post-refinement [37]81.475.415.928.7=--
Finetune SAM's decoder87.679.59.019.545.215.84.7
Finetune SAM's output token87.679.733.748.766.052.333.6
HQ-SAM (Ours)89.181.834.449.566.253.833.9
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ModelAPsictAPAP6APBAPB75APB50AP
SAM8.63.725.617.314.437.729.7
HQ-SAM9.95.028.218.516.338.630.1
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ModelGT Box Prompt mIoUmBIoUMask Prompt mIoUmBIoU
SAM81.170.466.641.8
HQ-SAM86.075.386.975.1
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Note", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 509, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 506, + 523 + ], + "score": 1.0, + "content": "that SGinW contains 25 zero-shot in-the-wild segmentation datasets for evaluation, and Grounded-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 504, + 534 + ], + "score": 1.0, + "content": "HQ-SAM with 49.6 mean AP and outperforms Grounded-SAM obviously using the same detector.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 536, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 536, + 507, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 507, + 549 + ], + "score": 1.0, + "content": "Zero-Shot Open-world Segmentation To evaluate the zero-shot segmentation results in the open-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "score": 1.0, + "content": "world environment, in Table 5, we compare SAM and our HQ-SAM on the challenging UVO [42]", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "benchmark with diverse and dense objects mask annotations. 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For the COCO dataset, we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 87, + 505, + 101 + ], + "spans": [ + { + "bbox": [ + 105, + 87, + 505, + 101 + ], + "score": 1.0, + "content": "use a SOTA detector FocalNet-DINO [53] trained on the COCO dataset as our box prompt generator.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 127, + 103, + 485, + 227 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 103, + 485, + 227 + ], + "spans": [ + { + "bbox": [ + 127, + 103, + 485, + 227 + ], + "score": 0.984, + "html": "
ModelFour HQ datasets mIoU mBIoUCoCo
APBAPAPLAPmAPs
SAM (baseline)79.571.133.348.563.953.134.1
Training the whole SAM38.012.20.25.51-1
Add Context Token [56]85.277.031.947.265.151.231.9
CascadePSP Post-refinement [6]80.974.62.813.443.49.40.0
CRM Post-refinement [37]81.475.415.928.7=--
Finetune SAM's decoder87.679.59.019.545.215.84.7
Finetune SAM's output token87.679.733.748.766.052.333.6
HQ-SAM (Ours)89.181.834.449.566.253.833.9
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ModelAPsictAPAP6APBAPB75APB50AP
SAM8.63.725.617.314.437.729.7
HQ-SAM9.95.028.218.516.338.630.1
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ModelGT Box Prompt mIoUmBIoUMask Prompt mIoUmBIoU
SAM81.170.466.641.8
HQ-SAM86.075.386.975.1
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Note", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 509, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 506, + 523 + ], + "score": 1.0, + "content": "that SGinW contains 25 zero-shot in-the-wild segmentation datasets for evaluation, and Grounded-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 504, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 504, + 534 + ], + "score": 1.0, + "content": "HQ-SAM with 49.6 mean AP and outperforms Grounded-SAM obviously using the same detector.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 476, + 506, + 534 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 536, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 536, + 507, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 507, + 549 + ], + "score": 1.0, + "content": "Zero-Shot Open-world Segmentation To evaluate the zero-shot segmentation results in the open-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 504, + 559 + ], + "score": 1.0, + "content": "world environment, in Table 5, we compare SAM and our HQ-SAM on the challenging UVO [42]", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "benchmark with diverse and dense objects mask annotations. By taking the same pre-trained object", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 567, + 507, + 583 + ], + "spans": [ + { + "bbox": [ + 104, + 568, + 355, + 583 + ], + "score": 1.0, + "content": "detector [53] as box prompt input, our HQ-SAM improves for", + "type": "text" + }, + { + "bbox": [ + 355, + 569, + 398, + 582 + ], + "score": 0.82, + "content": "1 . 3 \\mathrm { A P } _ { B } ^ { \\mathrm { s t r i c t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 567, + 463, + 583 + ], + "score": 1.0, + "content": "t and 2.6 APstrictB50", + "type": "text" + }, + { + "bbox": [ + 460, + 570, + 507, + 582 + ], + "score": 1.0, + "content": "over SAM.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 104, + 536, + 507, + 583 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 586, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "Zero-Shot Segmentation on High-resolution BIG Dataset In Table 6, we compare the zero-shot", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "segmentation quality between SAM and HQ-SAM on the high-resolution BIG benchmark [6] with", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 607, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 505, + 621 + ], + "score": 1.0, + "content": "two types of prompts, including using GT object boxes or the provided coarse masks input. HQ-SAM", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 618, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 505, + 631 + ], + "score": 1.0, + "content": "consistently surpasses SAM, with obvious advantages using different types of prompts, and is much", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 629, + 483, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 483, + 642 + ], + "score": 1.0, + "content": "more robust to coarse masks prompts with partial boundary errors (provided by PSPNet [55]).", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 585, + 505, + 642 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 646, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 659 + ], + "score": 1.0, + "content": "Zero-shot Instance Segmentation on COCO and LVIS In Table 7, we also evaluate HQ-SAM", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 655, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 671 + ], + "score": 1.0, + "content": "on the popular COCO and LVIS benchmarks respectively by feeding box prompts generated by the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 667, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 454, + 681 + ], + "score": 1.0, + "content": "trained detectors of these two datasets. HQ-SAM consistently outperforms SAM by", + "type": "text" + }, + { + "bbox": [ + 455, + 668, + 491, + 679 + ], + "score": 0.7, + "content": "1 . 1 \\mathrm { \\ A P } _ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 667, + 505, + 681 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 103, + 674, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 103, + 674, + 154, + 695 + ], + "score": 1.0, + "content": "COCO and", + "type": "text" + }, + { + "bbox": [ + 154, + 678, + 198, + 691 + ], + "score": 0.83, + "content": "0 . 7 \\mathrm { A P } _ { B 7 5 } ^ { \\mathrm { s t r i c t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 674, + 505, + 695 + ], + "score": 1.0, + "content": "on LVIS, showing the improved mask quality and well-preserved zero-shot", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 689, + 343, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 343, + 703 + ], + "score": 1.0, + "content": "segmentation ability during the HQ-SAM training process.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 103, + 645, + 506, + 703 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 164, + 122, + 443, + 174 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 62, + 504, + 118 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 62, + 506, + 76 + ], + "spans": [ + { + "bbox": [ + 105, + 62, + 506, + 76 + ], + "score": 1.0, + "content": "Table 7: Zero-shot instance segmentation results comparison on COCO [31] and LVISv1 [14]. For", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 73, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 506, + 87 + ], + "score": 1.0, + "content": "the COCO dataset, we use FocalNet-DINO [53] detector trained on COCO. For LVIS, we adopt", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 83, + 506, + 99 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 99 + ], + "score": 1.0, + "content": "ViTDet-H [28] trained on the LVIS dataset as our box prompt generator. For SAM, we use the ViT-L", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 95, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 109 + ], + "score": 1.0, + "content": "backbone and box prompt. We maintain the zero-shot segmentation capability of the original SAM", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 106, + 340, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 340, + 120 + ], + "score": 1.0, + "content": "while improving the mask quality on the boundary region.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 164, + 122, + 443, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 164, + 122, + 443, + 174 + ], + "spans": [ + { + "bbox": [ + 164, + 122, + 443, + 174 + ], + "score": 0.937, + "html": "
ModelCOCOLVIS
APBAPAPsietAPAPBAPB75AP
SAM33.348.532.132.838.540.943.6
HQ-SAM34.449.532.533.538.841.243.9
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ModelAPBAPAP5APMAPAP
SAM30.219.172.960.768.190.5
HQ-SAM34.024.379.563.670.591.1
", + "type": "table", + "image_path": "76c4f6f48b62c8b84480b515aee1bf7fc939ab9c689a94197c1d113d15eaa400.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 187, + 387, + 422, + 401.3333333333333 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 187, + 401.3333333333333, + 422, + 415.66666666666663 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 187, + 415.66666666666663, + 422, + 429.99999999999994 + ], + "spans": [], + "index": 19 + } + ] + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 106, + 437, + 505, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "score": 1.0, + "content": "Point-based Interactive Segmentation Comparison To investigate the segmentation performance", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "score": 1.0, + "content": "of HQ-SAM with interactive point prompts, in Figure 5, we compare HQ-SAM to SAM with varying", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "numbers of input points on COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "outperforms SAM with different point prompts on both two datasets. We note that the relative", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "performance increase is more significant when the prompt contains less object ambiguity with more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 421, + 505 + ], + "score": 1.0, + "content": "input points information (increasing from 1 positive point to 10 positive points", + "type": "text" + }, + { + "bbox": [ + 421, + 493, + 437, + 503 + ], + "score": 0.82, + "content": "+ 5", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "negative points).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 506, + 521 + ], + "score": 1.0, + "content": "Zero-shot High-quality Video Instance Segmentation Besides conducting image-based segmenta-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 520, + 504, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 504, + 532 + ], + "score": 1.0, + "content": "tion evaluation, we also perform video instance segmentation results comparison on the accurately", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "annotated HQ-YTVIS benchmark [20]. We take the pre-trained Mask2Former [4] as our video box", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "score": 1.0, + "content": "prompts and feed it into SAM and our HQ-SAM for mask prediction. In Table 8, HQ-SAM achieves", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 551, + 430, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 551, + 304, + 564 + ], + "score": 1.0, + "content": "remarkable gains of 3.8 points in Tube Boundary", + "type": "text" + }, + { + "bbox": [ + 304, + 552, + 325, + 563 + ], + "score": 0.86, + "content": "\\mathsf { A P } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 551, + 405, + 564 + ], + "score": 1.0, + "content": "and 2.9 Tube Mask", + "type": "text" + }, + { + "bbox": [ + 406, + 552, + 428, + 563 + ], + "score": 0.85, + "content": "\\mathsf { A P } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 551, + 430, + 564 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "score": 1.0, + "content": "Visualization of HQ-Output Token In Figure 6, we provide visual comparison of our HQ-Output", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "Token vs. SAM’s common output token for their cross-attention maps in the last token-to-image", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "score": 1.0, + "content": "layer of the mask decoder. We observe that our HQ-Output Token attends to the boundary and thin", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 602, + 329, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 329, + 614 + ], + "score": 1.0, + "content": "structure regions that are missed by the common token.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "score": 1.0, + "content": "Zero-shot Visual Results Comparison In Figure 7, we compare HQ-SAM to SAM qualitatively in", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "a zero-shot transfer setting, where HQ-SAM significantly promotes the mask details of SAM and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 507, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 507, + 653 + ], + "score": 1.0, + "content": "also improves the masks of broken holes or large portion errors by the enriched semantic context.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 651, + 345, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 345, + 663 + ], + "score": 1.0, + "content": "Refer to the supplemental file for more visual comparisons.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "Comparison with Adapter Tuning Strategy In Table 9, we also compare our efficient token", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "adaptation strategy to the recent Adapter Tuning [48] and LoRA [17]. We introduce lightweight", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "adapters to ViT layers of SAM’s encoder for encoder tuning and identify that this strategy leads to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "overfitting and its zero-shot performance on COCO decreases from 33.3 to 29.6. This validates our", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 711, + 417, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 417, + 723 + ], + "score": 1.0, + "content": "design choice to freeze SAM’s encoder, and mainly focus on SAM’s decoder.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 164, + 122, + 443, + 174 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 62, + 504, + 118 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 62, + 506, + 76 + ], + "spans": [ + { + "bbox": [ + 105, + 62, + 506, + 76 + ], + "score": 1.0, + "content": "Table 7: Zero-shot instance segmentation results comparison on COCO [31] and LVISv1 [14]. For", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 73, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 506, + 87 + ], + "score": 1.0, + "content": "the COCO dataset, we use FocalNet-DINO [53] detector trained on COCO. For LVIS, we adopt", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 83, + 506, + 99 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 99 + ], + "score": 1.0, + "content": "ViTDet-H [28] trained on the LVIS dataset as our box prompt generator. For SAM, we use the ViT-L", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 95, + 506, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 109 + ], + "score": 1.0, + "content": "backbone and box prompt. We maintain the zero-shot segmentation capability of the original SAM", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 106, + 340, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 340, + 120 + ], + "score": 1.0, + "content": "while improving the mask quality on the boundary region.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 164, + 122, + 443, + 174 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 164, + 122, + 443, + 174 + ], + "spans": [ + { + "bbox": [ + 164, + 122, + 443, + 174 + ], + "score": 0.937, + "html": "
ModelCOCOLVIS
APBAPAPsietAPAPBAPB75AP
SAM33.348.532.132.838.540.943.6
HQ-SAM34.449.532.533.538.841.243.9
", + "type": "table", + "image_path": "7e083153f3fa9e72165a56edf3e4d63c6aee23f8c411543437964fcc703677df.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 164, + 122, + 443, + 139.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 164, + 139.33333333333334, + 443, + 156.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 164, + 156.66666666666669, + 443, + 174.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + } + ], + "index": 4.0 + }, + { + "type": "image", + "bbox": [ + 111, + 183, + 497, + 315 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 183, + 497, + 315 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 183, + 497, + 314 + ], + "spans": [ + { + "bbox": [ + 111, + 183, + 497, + 314 + ], + "score": 0.944, + "type": "image", + "image_path": "3e2a649cbc6fa87420afe8afb381fa3922fca11a2410a55b3b7cc6cc7d1af28c.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 111, + 183, + 497, + 227.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 111, + 227.0, + 497, + 271.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 111, + 271.0, + 497, + 315.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 315, + 505, + 348 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "Figure 5: Interactive segmentation results comparison using a varying number of input points on the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently outperforms SAM with various", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 336, + 467, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 467, + 350 + ], + "score": 1.0, + "content": "point numbers, and the relative improvement is more obvious with less prompt ambiguity.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "table", + "bbox": [ + 187, + 387, + 422, + 430 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 349, + 504, + 383 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 505, + 362 + ], + "score": 1.0, + "content": "Table 8: Zero-shot Video Instance Segmentation comparison on the test set of the very accurately", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "labeled HQ-YTVIS [20] benchmark. We utilize pre-trained Swin-L-based Mask2Fromer [4] on", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 370, + 442, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 442, + 385 + ], + "score": 1.0, + "content": "YTVIS [47] as our box prompt input while reusing its object association prediction.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "table_body", + "bbox": [ + 187, + 387, + 422, + 430 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 187, + 387, + 422, + 430 + ], + "spans": [ + { + "bbox": [ + 187, + 387, + 422, + 430 + ], + "score": 0.968, + "html": "
ModelAPBAPAP5APMAPAP
SAM30.219.172.960.768.190.5
HQ-SAM34.024.379.563.670.591.1
", + "type": "table", + "image_path": "76c4f6f48b62c8b84480b515aee1bf7fc939ab9c689a94197c1d113d15eaa400.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 187, + 387, + 422, + 401.3333333333333 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 187, + 401.3333333333333, + 422, + 415.66666666666663 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 187, + 415.66666666666663, + 422, + 429.99999999999994 + ], + "spans": [], + "index": 19 + } + ] + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 106, + 437, + 505, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 451 + ], + "score": 1.0, + "content": "Point-based Interactive Segmentation Comparison To investigate the segmentation performance", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "score": 1.0, + "content": "of HQ-SAM with interactive point prompts, in Figure 5, we compare HQ-SAM to SAM with varying", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "score": 1.0, + "content": "numbers of input points on COIFT [29] (zero-shot) and DIS [35] val set. HQ-SAM consistently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "outperforms SAM with different point prompts on both two datasets. We note that the relative", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "performance increase is more significant when the prompt contains less object ambiguity with more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 421, + 505 + ], + "score": 1.0, + "content": "input points information (increasing from 1 positive point to 10 positive points", + "type": "text" + }, + { + "bbox": [ + 421, + 493, + 437, + 503 + ], + "score": 0.82, + "content": "+ 5", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "negative points).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 437, + 506, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 506, + 521 + ], + "score": 1.0, + "content": "Zero-shot High-quality Video Instance Segmentation Besides conducting image-based segmenta-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 520, + 504, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 504, + 532 + ], + "score": 1.0, + "content": "tion evaluation, we also perform video instance segmentation results comparison on the accurately", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "annotated HQ-YTVIS benchmark [20]. We take the pre-trained Mask2Former [4] as our video box", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 555 + ], + "score": 1.0, + "content": "prompts and feed it into SAM and our HQ-SAM for mask prediction. In Table 8, HQ-SAM achieves", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 551, + 430, + 564 + ], + "spans": [ + { + "bbox": [ + 104, + 551, + 304, + 564 + ], + "score": 1.0, + "content": "remarkable gains of 3.8 points in Tube Boundary", + "type": "text" + }, + { + "bbox": [ + 304, + 552, + 325, + 563 + ], + "score": 0.86, + "content": "\\mathsf { A P } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 551, + 405, + 564 + ], + "score": 1.0, + "content": "and 2.9 Tube Mask", + "type": "text" + }, + { + "bbox": [ + 406, + 552, + 428, + 563 + ], + "score": 0.85, + "content": "\\mathsf { A P } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 551, + 430, + 564 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 509, + 506, + 564 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "score": 1.0, + "content": "Visualization of HQ-Output Token In Figure 6, we provide visual comparison of our HQ-Output", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "Token vs. SAM’s common output token for their cross-attention maps in the last token-to-image", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "score": 1.0, + "content": "layer of the mask decoder. We observe that our HQ-Output Token attends to the boundary and thin", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 602, + 329, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 329, + 614 + ], + "score": 1.0, + "content": "structure regions that are missed by the common token.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 568, + 505, + 614 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 617, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 631 + ], + "score": 1.0, + "content": "Zero-shot Visual Results Comparison In Figure 7, we compare HQ-SAM to SAM qualitatively in", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "a zero-shot transfer setting, where HQ-SAM significantly promotes the mask details of SAM and", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 640, + 507, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 507, + 653 + ], + "score": 1.0, + "content": "also improves the masks of broken holes or large portion errors by the enriched semantic context.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 651, + 345, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 345, + 663 + ], + "score": 1.0, + "content": "Refer to the supplemental file for more visual comparisons.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 617, + 507, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "Comparison with Adapter Tuning Strategy In Table 9, we also compare our efficient token", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "adaptation strategy to the recent Adapter Tuning [48] and LoRA [17]. We introduce lightweight", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "adapters to ViT layers of SAM’s encoder for encoder tuning and identify that this strategy leads to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "overfitting and its zero-shot performance on COCO decreases from 33.3 to 29.6. This validates our", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 711, + 417, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 417, + 723 + ], + "score": 1.0, + "content": "design choice to freeze SAM’s encoder, and mainly focus on SAM’s decoder.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 112, + 53, + 497, + 187 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 53, + 497, + 187 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 112, + 53, + 497, + 187 + ], + "spans": [ + { + "bbox": [ + 112, + 53, + 497, + 187 + ], + "score": 0.973, + "type": "image", + "image_path": "eea1ab449769a73f49fe2b291298358cea5af95b5d5850d38bcc06c26ef6abd8.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 112, + 53, + 497, + 97.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 97.66666666666666, + 497, + 142.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 112, + 142.33333333333331, + 497, + 186.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "image", + "bbox": [ + 109, + 218, + 501, + 375 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 106, + 193, + 503, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 192, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 505, + 207 + ], + "score": 1.0, + "content": "Figure 6: Cross-attention of SAM’s original token vs. HQ-Output Token in the last decoder layer.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 204, + 501, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 501, + 217 + ], + "score": 1.0, + "content": "HQ-Token attends to the boundary and thin structure regions that are missed by the original token.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "image_body", + "bbox": [ + 109, + 218, + 501, + 375 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 218, + 501, + 375 + ], + "spans": [ + { + "bbox": [ + 109, + 218, + 501, + 375 + ], + "score": 0.974, + "type": "image", + "image_path": "a74317947cf626e16a1796294afa6276b45cb3ed3a71f30829443bdd89401bd5.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 109, + 218, + 501, + 270.3333333333333 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 109, + 270.3333333333333, + 501, + 322.66666666666663 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 109, + 322.66666666666663, + 501, + 374.99999999999994 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 108, + 378, + 502, + 412 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 378, + 504, + 391 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 504, + 391 + ], + "score": 1.0, + "content": "Figure 7: Visual results comparison between SAM (top row) vs. HQ-SAM (bottom row) in a zero-shot", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 390, + 504, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 504, + 402 + ], + "score": 1.0, + "content": "transfer setting, given the same red box or point prompt. HQ-SAM produces significantly more", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 400, + 430, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 430, + 412 + ], + "score": 1.0, + "content": "detailed-preserving results and also addresses the mask errors with broken holes.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + } + ], + "index": 6 + }, + { + "type": "table", + "bbox": [ + 137, + 454, + 474, + 524 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 108, + 417, + 503, + 451 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Table 9: Comparison to Adapter Tuning [48] or using LoRA [17] in SAM’s encoder using ViT-L", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 429, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 439 + ], + "score": 1.0, + "content": "based SAM and the same HQSeg-44K. For the COCO dataset, we use the SOTA detector FocalNet-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 439, + 388, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 388, + 452 + ], + "score": 1.0, + "content": "DINO [53] trained on the COCO dataset as our box prompt generator.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "table_body", + "bbox": [ + 137, + 454, + 474, + 524 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 137, + 454, + 474, + 524 + ], + "spans": [ + { + "bbox": [ + 137, + 454, + 474, + 524 + ], + "score": 0.979, + "html": "
ModelCoCoModel Params (MB)
APBAPAPLAPMAPsTotalTrainable
SAM33.348.563.953.134.111911
SAM+LoRA[17]28.643.7---1192.51.5
SAM + Encoder Adapter [48]29.644.863.947.829.0120312.0
HQ-SAM34.449.566.253.833.91196.15.1
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For efficient mobile deployment, we propose Light HQ-SAM based on the tiny", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 564, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 465, + 578 + ], + "score": 1.0, + "content": "ViT image encoder provided by MobileSAM [52]. In Figure 2, achieving running speed of", + "type": "text" + }, + { + "bbox": [ + 465, + 565, + 502, + 575 + ], + "score": 0.37, + "content": "4 1 . 2 \\ : \\mathrm { F P S }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 564, + 506, + 578 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 575, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 506, + 588 + ], + "score": 1.0, + "content": "Light HQ-SAM improves the zero-shot COCO AP of MobileSAM from 44.3 to 45.0 with negligible", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 586, + 339, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 339, + 599 + ], + "score": 1.0, + "content": "additional cost, i.e., 1.7MB increase in model parameters.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 107, + 608, + 183, + 622 + ], + "lines": [ + { + "bbox": [ + 104, + 605, + 185, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 185, + 624 + ], + "score": 1.0, + "content": "5 Conclusion", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "We propose HQ-SAM, the first high-quality zero-shot segmentation model by introducing negligible", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "overhead to the original SAM. We propose a lightweight High-quality Output Token in HQ-SAM to", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "replace the original SAM’s output token for high-quality mask prediction. After training only on 44K", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "highly-accurate masks, HQ-SAM significantly boosts the mask prediction quality of SAM, which", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "was trained on 1.1 billion masks. The zero-shot transfer evaluation is performed on 8 segmentation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "benchmarks across both image and video tasks, spanning diverse objects and scenes. 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HQ-SAM produces significantly more", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 400, + 430, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 430, + 412 + ], + "score": 1.0, + "content": "detailed-preserving results and also addresses the mask errors with broken holes.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + } + ], + "index": 6 + }, + { + "type": "table", + "bbox": [ + 137, + 454, + 474, + 524 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 108, + 417, + 503, + 451 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Table 9: Comparison to Adapter Tuning [48] or using LoRA [17] in SAM’s encoder using ViT-L", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 429, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 439 + ], + "score": 1.0, + "content": "based SAM and the same HQSeg-44K. For the COCO dataset, we use the SOTA detector FocalNet-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 439, + 388, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 388, + 452 + ], + "score": 1.0, + "content": "DINO [53] trained on the COCO dataset as our box prompt generator.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12 + }, + { + "type": "table_body", + "bbox": [ + 137, + 454, + 474, + 524 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 137, + 454, + 474, + 524 + ], + "spans": [ + { + "bbox": [ + 137, + 454, + 474, + 524 + ], + "score": 0.979, + "html": "
ModelCoCoModel Params (MB)
APBAPAPLAPMAPsTotalTrainable
SAM33.348.563.953.134.111911
SAM+LoRA[17]28.643.7---1192.51.5
SAM + Encoder Adapter [48]29.644.863.947.829.0120312.0
HQ-SAM34.449.566.253.833.91196.15.1
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For efficient mobile deployment, we propose Light HQ-SAM based on the tiny", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 564, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 465, + 578 + ], + "score": 1.0, + "content": "ViT image encoder provided by MobileSAM [52]. 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ModelFour HQ datasetsCoCoModel Params (MB)FPSMemory
mIoUmBIoUAPBAPAPLAPMAPsTotalLearnable
SAM-B HQ-SAM-B70.6 86.362.3 78.128.2 31.344.4 46.757.7 62.948.7 50.532.1 32.0358 362.1358 4.110.1 9.85.1G 5.1G
SAM-L79.571.133.348.563.953.134.1119111915.07.6G
HQ-SAM-L SAM-H89.1 75.681.8 68.334.449.566.253.833.91196.15.1 24464.8 3.57.6G 10.3G
HQ-SAM-H89.381.534.0 34.948.9 49.964.553.334.42446 2452.16.13.410.3G
66.554.034.2
MobileSAM
69.058.828.644.3--38.638.644.83.7G
Light HQ-SAM81.471.629.645.0--40.31.741.23.7G
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ModelYTVIS 2019HQ-YTVIS
APAP50AP75APLAPmAPsAPBAPM
SAM51.882.155.465.552.034.230.260.7
HQ-SAM53.282.958.366.453.333.734.063.6
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HQ-SAM consistently outperforms SAM using", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "score": 1.0, + "content": "three different backbones, with over 10 points increase in mBIoU on the four HQ datasets. 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ModelFour HQ datasetsCoCoModel Params (MB)FPSMemory
mIoUmBIoUAPBAPAPLAPMAPsTotalLearnable
SAM-B HQ-SAM-B70.6 86.362.3 78.128.2 31.344.4 46.757.7 62.948.7 50.532.1 32.0358 362.1358 4.110.1 9.85.1G 5.1G
SAM-L79.571.133.348.563.953.134.1119111915.07.6G
HQ-SAM-L SAM-H89.1 75.681.8 68.334.449.566.253.833.91196.15.1 24464.8 3.57.6G 10.3G
HQ-SAM-H89.381.534.0 34.948.9 49.964.553.334.42446 2452.16.13.410.3G
66.554.034.2
MobileSAM
69.058.828.644.3--38.638.644.83.7G
Light HQ-SAM81.471.629.645.0--40.31.741.23.7G
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ModelYTVIS 2019HQ-YTVIS
APAP50AP75APLAPmAPsAPBAPM
SAM51.882.155.465.552.034.230.260.7
HQ-SAM53.282.958.366.453.333.734.063.6
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We adopt the SOTA", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 167, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 505, + 181 + ], + "score": 1.0, + "content": "model XMem [7] as our video boxes prompt generator while reusing its object association prediction.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "table_body", + "bbox": [ + 235, + 182, + 375, + 225 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 235, + 182, + 375, + 225 + ], + "spans": [ + { + "bbox": [ + 235, + 182, + 375, + 225 + ], + "score": 0.973, + "html": "
ModelJ&FJF
SAM82.079.084.9
HQ-SAM83.280.386.1
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ModelNo Noise mIoU mBIoUNoise scale 0.2 mIoU mBIoUNoise scale 0.4 mIoU mBIoU
SAM79.571.165.757.146.439.8
HQ-SAM89.181.8个10.782.873.4个16.369.960.3个20.5
", + "type": "table", + "image_path": "35bb818a68493fba32991111ea95cfb8b6a534888372cff6da6b41bac8df049d.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 162, + 378, + 448, + 396.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 162, + 396.0, + 448, + 414.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 162, + 414.0, + 448, + 432.0 + ], + "spans": [], + "index": 23 + } + ] + } + ], + "index": 20.75 + }, + { + "type": "title", + "bbox": [ + 106, + 451, + 302, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 450, + 302, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 302, + 466 + ], + "score": 1.0, + "content": "7 Additional Implementation details", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 506, + 629 + ], + "lines": [ + { + "bbox": [ + 105, + 475, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 489 + ], + "score": 1.0, + "content": "Training Details During training HQ-SAM on the composed HQSeg-44K, we fix the model", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "parameters of the pre-trained SAM model while only making the proposed HQ-SAM learnable,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 506, + 511 + ], + "score": 1.0, + "content": "including HQ-Output Token, its associated three-layer MLP and three convolutions for HQ-Features", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 339, + 522 + ], + "score": 1.0, + "content": "fusion. Two of them are transposed convolutions (size", + "type": "text" + }, + { + "bbox": [ + 339, + 509, + 359, + 520 + ], + "score": 0.87, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 509, + 505, + 522 + ], + "score": 1.0, + "content": ", stride 2) used to upscale encoder", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 196, + 532 + ], + "score": 1.0, + "content": "embedding size from", + "type": "text" + }, + { + "bbox": [ + 196, + 520, + 226, + 531 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 520, + 238, + 532 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 239, + 520, + 278, + 531 + ], + "score": 0.9, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 520, + 506, + 532 + ], + "score": 1.0, + "content": ". We treat the new HQ-Output Token as the fifth mask", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "token compared to the original four mask tokens in SAM’s mask decoder. During training, this new", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 205, + 554 + ], + "score": 1.0, + "content": "HQ-Output token of size", + "type": "text" + }, + { + "bbox": [ + 206, + 542, + 235, + 552 + ], + "score": 0.89, + "content": "1 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 541, + 430, + 554 + ], + "score": 1.0, + "content": "is concatenated with SAM’s mask tokens (size of", + "type": "text" + }, + { + "bbox": [ + 430, + 542, + 460, + 552 + ], + "score": 0.88, + "content": "4 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "), iou token", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 507, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 139, + 568 + ], + "score": 1.0, + "content": "(size of", + "type": "text" + }, + { + "bbox": [ + 139, + 553, + 169, + 563 + ], + "score": 0.88, + "content": "1 \\times 2 5 6 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 552, + 283, + 568 + ], + "score": 1.0, + "content": ") and prompt tokens (size of", + "type": "text" + }, + { + "bbox": [ + 284, + 553, + 338, + 565 + ], + "score": 0.89, + "content": "\\mathrm { N _ { p r o m p t } } { \\times 2 5 6 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 552, + 507, + 568 + ], + "score": 1.0, + "content": "as the input to the SAM’s mask decoder.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 274, + 577 + ], + "score": 1.0, + "content": "For example, if the input image contains", + "type": "text" + }, + { + "bbox": [ + 275, + 564, + 285, + 573 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 563, + 361, + 577 + ], + "score": 1.0, + "content": "box prompts (size", + "type": "text" + }, + { + "bbox": [ + 361, + 564, + 408, + 574 + ], + "score": 0.88, + "content": "\\Nu { \\times } 2 \\times 2 5 6 )", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "), the final concatenated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 353, + 587 + ], + "score": 1.0, + "content": "input and output shape for the 2-layer mask decoder of SAM is", + "type": "text" + }, + { + "bbox": [ + 354, + 575, + 435, + 586 + ], + "score": 0.89, + "content": "\\Nu \\times ( 1 + 4 + 1 + 2 ) \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 574, + 505, + 587 + ], + "score": 1.0, + "content": ". For experiments", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "using ViT-B, ViT-L, and ViT-H-based models on training, we adopt the same training setting, with", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "a learning rate of 1e-3 and train our HQ-SAM for 12 epochs (learning rate drops to 1e-4 after 10", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "epochs). We supervise mask prediction of the new HQ-Output token with a combination of both BCE", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 618, + 190, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 618, + 190, + 630 + ], + "score": 1.0, + "content": "Loss and Dice Loss.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "Implementation Details We follow the same inference pipeline of SAM but use the mask prediction", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "from HQ-Output token as high-quality mask prediction. Table 10 reports the detailed inference speed", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "comparison using various backbones. For box-prompting-based evaluation, we feed SAM and our", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "HQ-SAM with the same image/video bounding boxes and adopt the single mask output mode of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 104, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "SAM. For interactive segmentation comparison using a single point, we follow SAM and adopt the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 688, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 104, + 688, + 506, + 701 + ], + "score": 1.0, + "content": "“center” point of Ground Truth (GT) masks, which is at a maximal value location in a mask’s interior", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "distance transform. For multiple-point evaluation, we randomly sample the points from the GT masks", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 711, + 298, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 298, + 723 + ], + "score": 1.0, + "content": "and report the averaged results with three trials.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 42.5 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "score": 1.0, + "content": "15", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Zero-shot Video Object Segmentation Comparison Besides video instance segmentation, in", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "Table 12, we further report the comparison of video object segmentation results between HQ-SAM", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 93, + 504, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 504, + 106 + ], + "score": 1.0, + "content": "and SAM on DAVIS validation set in a zero-shot transfer protocol. We take the pre-trained XMem", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 104, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 104, + 104, + 505, + 119 + ], + "score": 1.0, + "content": "as our video box prompts and feed the same prompts into SAM and HQ-SAM. HQ-SAM improves", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 145, + 129 + ], + "score": 1.0, + "content": "SAM the", + "type": "text" + }, + { + "bbox": [ + 145, + 116, + 172, + 127 + ], + "score": 0.84, + "content": "\\mathcal { T } \\& \\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 115, + 276, + 129 + ], + "score": 1.0, + "content": "from 82.0 to 83.2 and the", + "type": "text" + }, + { + "bbox": [ + 276, + 117, + 286, + 126 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 115, + 412, + 129 + ], + "score": 1.0, + "content": "score from 84.9 to 86.1, where", + "type": "text" + }, + { + "bbox": [ + 412, + 117, + 422, + 126 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 115, + 505, + 129 + ], + "score": 1.0, + "content": "is for measuring the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 260, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 260, + 140 + ], + "score": 1.0, + "content": "contour accuracy of the video objects.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5, + "bbox_fs": [ + 104, + 73, + 505, + 140 + ] + }, + { + "type": "table", + "bbox": [ + 235, + 182, + 375, + 225 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 105, + 156, + 505, + 180 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 156, + 504, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 504, + 168 + ], + "score": 1.0, + "content": "Table 12: Results on DAVIS 2017 [34] validation set using ViT-L based SAM. We adopt the SOTA", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 167, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 167, + 505, + 181 + ], + "score": 1.0, + "content": "model XMem [7] as our video boxes prompt generator while reusing its object association prediction.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "table_body", + "bbox": [ + 235, + 182, + 375, + 225 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 235, + 182, + 375, + 225 + ], + "spans": [ + { + "bbox": [ + 235, + 182, + 375, + 225 + ], + "score": 0.973, + "html": "
ModelJ&FJF
SAM82.079.084.9
HQ-SAM83.280.386.1
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ModelNo Noise mIoU mBIoUNoise scale 0.2 mIoU mBIoUNoise scale 0.4 mIoU mBIoU
SAM79.571.165.757.146.439.8
HQ-SAM89.181.8个10.782.873.4个16.369.960.3个20.5
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Two of them are transposed convolutions (size", + "type": "text" + }, + { + "bbox": [ + 339, + 509, + 359, + 520 + ], + "score": 0.87, + "content": "2 \\times 2", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 509, + 505, + 522 + ], + "score": 1.0, + "content": ", stride 2) used to upscale encoder", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 196, + 532 + ], + "score": 1.0, + "content": "embedding size from", + "type": "text" + }, + { + "bbox": [ + 196, + 520, + 226, + 531 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 520, + 238, + 532 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 239, + 520, + 278, + 531 + ], + "score": 0.9, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 520, + 506, + 532 + ], + "score": 1.0, + "content": ". We treat the new HQ-Output Token as the fifth mask", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 544 + ], + "score": 1.0, + "content": "token compared to the original four mask tokens in SAM’s mask decoder. During training, this new", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 205, + 554 + ], + "score": 1.0, + "content": "HQ-Output token of size", + "type": "text" + }, + { + "bbox": [ + 206, + 542, + 235, + 552 + ], + "score": 0.89, + "content": "1 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 541, + 430, + 554 + ], + "score": 1.0, + "content": "is concatenated with SAM’s mask tokens (size of", + "type": "text" + }, + { + "bbox": [ + 430, + 542, + 460, + 552 + ], + "score": 0.88, + "content": "4 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "), iou token", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 507, + 568 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 139, + 568 + ], + "score": 1.0, + "content": "(size of", + "type": "text" + }, + { + "bbox": [ + 139, + 553, + 169, + 563 + ], + "score": 0.88, + "content": "1 \\times 2 5 6 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 552, + 283, + 568 + ], + "score": 1.0, + "content": ") and prompt tokens (size of", + "type": "text" + }, + { + "bbox": [ + 284, + 553, + 338, + 565 + ], + "score": 0.89, + "content": "\\mathrm { N _ { p r o m p t } } { \\times 2 5 6 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 552, + 507, + 568 + ], + "score": 1.0, + "content": "as the input to the SAM’s mask decoder.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 274, + 577 + ], + "score": 1.0, + "content": "For example, if the input image contains", + "type": "text" + }, + { + "bbox": [ + 275, + 564, + 285, + 573 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 563, + 361, + 577 + ], + "score": 1.0, + "content": "box prompts (size", + "type": "text" + }, + { + "bbox": [ + 361, + 564, + 408, + 574 + ], + "score": 0.88, + "content": "\\Nu { \\times } 2 \\times 2 5 6 )", + "type": "inline_equation" + }, + { + "bbox": [ + 408, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "), the final concatenated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 353, + 587 + ], + "score": 1.0, + "content": "input and output shape for the 2-layer mask decoder of SAM is", + "type": "text" + }, + { + "bbox": [ + 354, + 575, + 435, + 586 + ], + "score": 0.89, + "content": "\\Nu \\times ( 1 + 4 + 1 + 2 ) \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 574, + 505, + 587 + ], + "score": 1.0, + "content": ". For experiments", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "using ViT-B, ViT-L, and ViT-H-based models on training, we adopt the same training setting, with", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 610 + ], + "score": 1.0, + "content": "a learning rate of 1e-3 and train our HQ-SAM for 12 epochs (learning rate drops to 1e-4 after 10", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 607, + 506, + 620 + ], + "score": 1.0, + "content": "epochs). 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Table 10 reports the detailed inference speed", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "comparison using various backbones. For box-prompting-based evaluation, we feed SAM and our", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "HQ-SAM with the same image/video bounding boxes and adopt the single mask output mode of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 104, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "SAM. 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For multiple-point evaluation, we randomly sample the points from the GT masks", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 711, + 298, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 298, + 723 + ], + "score": 1.0, + "content": "and report the averaged results with three trials.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 42.5, + "bbox_fs": [ + 104, + 635, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 70, + 270, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 271, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 271, + 87 + ], + "score": 1.0, + "content": "8 More Details of HQSeg-44K", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 96, + 506, + 173 + ], + "lines": [ + { + "bbox": [ + 105, + 95, + 506, + 110 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 110 + ], + "score": 1.0, + "content": "Data compostion of HQSeg-44K In Table 14, we provide more details of our composed new training", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "dataset HQSeg-44K which contains 44,320 extremely accurate image mask annotations, where we", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 118, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 506, + 131 + ], + "score": 1.0, + "content": "show their annotation quality in Figure 8. HQSeg-44K is a collection of six existing image datasets", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "score": 1.0, + "content": "including DIS [35] (train set), ThinObject-5K [29] (train set), FSS [26], ECSSD [38], MSRA-10K [8],", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "score": 1.0, + "content": "DUT-OMRON [46] with extremely fine-grained mask labeling, where each of them contains 7.4K", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 150, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 505, + 164 + ], + "score": 1.0, + "content": "mask labels on average. This composed training set has no images/annotations overlapping with the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 310, + 175 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 310, + 175 + ], + "score": 1.0, + "content": "zero-shot evaluation datasets adopted in our paper.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 178, + 505, + 255 + ], + "lines": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 505, + 192 + ], + "score": 1.0, + "content": "Effect of HQSeg-44K In Table 15, we show the advantage of using HQSeg-44K by comparing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 189, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 505, + 201 + ], + "score": 1.0, + "content": "HQ-SAM training with 44K randomly sampled images and masks from SA-1B [21]. Using the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "score": 1.0, + "content": "same efficient token learning strategy, training with SA-1B (44K) decreases the averaged mBIoU", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 210, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 505, + 223 + ], + "score": 1.0, + "content": "on the four datasets from 71.1 to 70.1, while ours improves it from 71.1 to 81.8. This validates", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "the effectiveness of our constructed HQSeg-44K benchmark in improving mask quality. Note that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 232, + 504, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 504, + 245 + ], + "score": 1.0, + "content": "the ablation experiments in Table 2, Table 3, Table 4, and Table 9 of the paper are all based on the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 244, + 209, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 209, + 255 + ], + "score": 1.0, + "content": "constructed HQSeg-44K.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "table", + "bbox": [ + 109, + 287, + 504, + 317 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 181, + 273, + 428, + 285 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 182, + 272, + 428, + 286 + ], + "spans": [ + { + "bbox": [ + 182, + 272, + 428, + 286 + ], + "score": 1.0, + "content": "Table 14: Data composition of our constructed HQ-Seg-44K.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "table_body", + "bbox": [ + 109, + 287, + 504, + 317 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 287, + 504, + 317 + ], + "spans": [ + { + "bbox": [ + 109, + 287, + 504, + 317 + ], + "score": 0.922, + "html": "
DatasetDIS [35]Thin-Object 5k [29]FSS [26]DUTS [46]ECSSD [38]MSRA-10K [8]Total
Image Num.30004748100001557210001000044320
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Note that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 232, + 504, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 504, + 245 + ], + "score": 1.0, + "content": "the ablation experiments in Table 2, Table 3, Table 4, and Table 9 of the paper are all based on the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 244, + 209, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 244, + 209, + 255 + ], + "score": 1.0, + "content": "constructed HQSeg-44K.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 177, + 505, + 255 + ] + }, + { + "type": "table", + "bbox": [ + 109, + 287, + 504, + 317 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 181, + 273, + 428, + 285 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 182, + 272, + 428, + 286 + ], + "spans": [ + { + "bbox": [ + 182, + 272, + 428, + 286 + ], + "score": 1.0, + "content": "Table 14: Data composition of our constructed HQ-Seg-44K.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "table_body", + "bbox": [ + 109, + 287, + 504, + 317 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 287, + 504, + 317 + ], + "spans": [ + { + "bbox": [ + 109, + 287, + 504, + 317 + ], + "score": 0.922, + "html": "
DatasetDIS [35]Thin-Object 5k [29]FSS [26]DUTS [46]ECSSD [38]MSRA-10K [8]Total
Image Num.30004748100001557210001000044320
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ModelDatasetDISCOIFTHRSODThinObject mBIoUAverage
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmIoUmBIoU
SAMSA-1B62.052.892.186.590.283.173.661.879.571.1
HQ-SAM+ SA-1B-44K60.451.791.186.188.480.973.161.878.370.1
HQ-SAM+ HQ-Seg-44K(Ours)78.670.494.890.193.686.989.579.989.181.8
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Training SettingDIS-mIoUDIS-mBIoUThinObject-mloUThinObject-mBIoU
SAM (baseline)62.052.873.661.8
HQ-SAM (remove both DIS and ThinObject)72.963.182.770.7
HQ-SAM (remove DIS)74.766.2(90.1)(80.4)
HQ-SAM (remove ThinObject)(78.4)(70.3)83.372.1
HQ-SAM (default HQSeg-44K)(78.6)(70.4)(89.5)(79.9)
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ModelDatasetDISCOIFTHRSODThinObject mBIoUAverage
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmIoUmBIoU
SAMSA-1B62.052.892.186.590.283.173.661.879.571.1
HQ-SAM+ SA-1B-44K60.451.791.186.188.480.973.161.878.370.1
HQ-SAM+ HQ-Seg-44K(Ours)78.670.494.890.193.686.989.579.989.181.8
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Training SettingDIS-mIoUDIS-mBIoUThinObject-mloUThinObject-mBIoU
SAM (baseline)62.052.873.661.8
HQ-SAM (remove both DIS and ThinObject)72.963.182.770.7
HQ-SAM (remove DIS)74.766.2(90.1)(80.4)
HQ-SAM (remove ThinObject)(78.4)(70.3)83.372.1
HQ-SAM (default HQSeg-44K)(78.6)(70.4)(89.5)(79.9)
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MethodTrainingInference
Learnable Params (M)# GPUBatch SizeTime (h)FPSMem.
SAM [21]1191128128N/A5.07.6G
HQ-SAM5.183244.87.6G
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ModelDIS [35]COIFT [29]HRSOD [51]ThinObject [29]Average
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmBIoU
SAM (baseline)62.052.892.186.590.283.173.661.879.571.1
Using SAM's mask decoder feature:
SAM+Context Token [56]71.562.293.087.791.885.084.573.185.277.0
SAM + HQ-Output Token (× Output Token)75.165.8 66.493.988.993.086.186.174.687.078.9
SAM + HQ-Output Token (Boundary Loss) SAM + HQ-Output Token75.2 75.366.094.0 94.288.9 89.292.1 93.085.7 86.187.3 86.876.0 75.487.2 87.379.3
79.2
Using Our HQ-Feature:
SAM + HQ-Output Token (+ Context Token)78.570.494.689.693.687.088.9 89.579.388.9 89.181.6
SAM+ HQ-Output Token78.670.494.890.193.686.979.981.8
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ModelFusion convDecoder Mask featureViT Encoder Final-layer Early-layermIoUFour HQ datasets mBIoU
SAM [21]79.571.1
HQ-SAM (Ours)广87.3 79.2
87.880.1
15.19.0
√ √广88.6 81.3
√ √√ √ √ 丁88.6 89.181.1 81.8
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ModelFour HQ datasets mIoU mBIoUCoCo
APBAPAPLAPmAPs
SAM (baseline)79.571.133.348.563.953.134.1
Training the whole SAM38.012.20.25.51-1
Add Context Token [56]85.277.031.947.265.151.231.9
CascadePSP Post-refinement [6]80.974.62.813.443.49.40.0
CRM Post-refinement [37]81.475.415.928.7=--
Finetune SAM's decoder87.679.59.019.545.215.84.7
Finetune SAM's output token87.679.733.748.766.052.333.6
HQ-SAM (Ours)89.181.834.449.566.253.833.9
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ModelGT Box Prompt mIoUmBIoUMask Prompt mIoUmBIoU
SAM81.170.466.641.8
HQ-SAM86.075.386.975.1
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ModelCoCoModel Params (MB)
APBAPAPLAPMAPsTotalTrainable
SAM33.348.563.953.134.111911
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ModelFour HQ datasetsCoCoModel Params (MB)FPSMemory
mIoUmBIoUAPBAPAPLAPMAPsTotalLearnable
SAM-B HQ-SAM-B70.6 86.362.3 78.128.2 31.344.4 46.757.7 62.948.7 50.532.1 32.0358 362.1358 4.110.1 9.85.1G 5.1G
SAM-L79.571.133.348.563.953.134.1119111915.07.6G
HQ-SAM-L SAM-H89.1 75.681.8 68.334.449.566.253.833.91196.15.1 24464.8 3.57.6G 10.3G
HQ-SAM-H89.381.534.0 34.948.9 49.964.553.334.42446 2452.16.13.410.3G
66.554.034.2
MobileSAM
69.058.828.644.3--38.638.644.83.7G
Light HQ-SAM81.471.629.645.0--40.31.741.23.7G
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ModelYTVIS 2019HQ-YTVIS
APAP50AP75APLAPmAPsAPBAPM
SAM51.882.155.465.552.034.230.260.7
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ModelNo Noise mIoU mBIoUNoise scale 0.2 mIoU mBIoUNoise scale 0.4 mIoU mBIoU
SAM79.571.165.757.146.439.8
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ModelJ&FJF
SAM82.079.084.9
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DatasetDIS [35]Thin-Object 5k [29]FSS [26]DUTS [46]ECSSD [38]MSRA-10K [8]Total
Image Num.30004748100001557210001000044320
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Training SettingDIS-mIoUDIS-mBIoUThinObject-mloUThinObject-mBIoU
SAM (baseline)62.052.873.661.8
HQ-SAM (remove both DIS and ThinObject)72.963.182.770.7
HQ-SAM (remove DIS)74.766.2(90.1)(80.4)
HQ-SAM (remove ThinObject)(78.4)(70.3)83.372.1
HQ-SAM (default HQSeg-44K)(78.6)(70.4)(89.5)(79.9)
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ModelDatasetDISCOIFTHRSODThinObject mBIoUAverage
mIoUmBIoUmIoUmBIoUmIoUmBIoUmIoUmIoUmBIoU
SAMSA-1B62.052.892.186.590.283.173.661.879.571.1
HQ-SAM+ SA-1B-44K60.451.791.186.188.480.973.161.878.370.1
HQ-SAM+ HQ-Seg-44K(Ours)78.670.494.890.193.686.989.579.989.181.8
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F. Gales ALTA Institute, Department of Engineering, University of Cambridge pm574@cam.ac.uk, al826@cam.ac.uk, mjfg@eng.cam.ac.uk ", + "bbox": [ + 220, + 154, + 783, + 204 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 263, + 253, + 339, + 268 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Generative Large Language Models (LLMs) such as GPT-3 are capable of generating highly fluent responses to a wide variety of user prompts. However, LLMs are known to hallucinate facts and make non-factual statements which can undermine trust in their output. Existing fact-checking approaches either require access to the output probability distribution (which may not be available for systems such as ChatGPT) or external databases that are interfaced via separate, often complex, modules. In this work, we propose \"SelfCheckGPT\", a simple sampling-based approach that can be used to fact-check the responses of black-box models in a zero-resource fashion, i.e. without an external database. SelfCheckGPT leverages the simple idea that if an LLM has knowledge of a given concept, sampled responses are likely to be similar and contain consistent facts. However, for hallucinated facts, stochastically sampled responses are likely to diverge and contradict one another. We investigate this approach by using GPT-3 to generate passages about individuals from the WikiBio dataset, and manually annotate the factuality of the generated passages. We demonstrate that SelfCheckGPT can: i) detect non-factual and factual sentences; and ii) rank passages in terms of factuality. We compare our approach to several baselines and show that our approach has considerably higher AUC-PR scores in sentence-level hallucination detection and higher correlation scores in passage-level factuality assessment compared to grey-box methods.1 ", + "bbox": [ + 146, + 278, + 458, + 763 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 117, + 776, + 258, + 793 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Large Language Models (LLMs) such as GPT-3 (Brown et al., 2020) and PaLM (Chowdhery et al., 2022) are capable of generating fluent and realistic responses to a variety of user prompts. They have been used in many applications such as automatic tools to draft reports, virtual assistants and summarization systems. Despite the convincing and realistic nature of LLM-generated texts, a growing concern with LLMs is their tendency to hallucinate facts. It has been widely observed that models can confidently generate fictitious information, and worryingly there are few, if any, existing approaches to suitably identify LLM hallucinations. ", + "bbox": [ + 115, + 802, + 485, + 881 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/cb5b8e1a0741e26960754843b50e591e6f027e4dc52a21d2076b47ba9a079266.jpg", + "image_caption": [ + "Figure 1: SelfCheckGPT with Prompt. Each LLM-generated sentence is compared against stochastically generated responses with no external database. A comparison method can be, for example, through LLM prompting as shown above. " + ], + "image_footnote": [], + "bbox": [ + 517, + 254, + 872, + 461 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 550, + 882, + 677 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "A possible approach of hallucination detection is to leverage existing intrinsic uncertainty metrics to determine the parts of the output sequence that the system is least certain of (Yuan et al., 2021; Fu et al., 2023). However, uncertainty metrics such as token probability or entropy require access to token-level probability distributions, information which may not be available to users for example when systems are accessed through limited external APIs. An alternate approach is to leverage fact-verification approaches, where evidence is retrieved from an external database to assess the veracity of a claim (Thorne et al., 2018; Guo et al., 2022). However, facts can only be assessed relative to the knowledge present in the database. Additionally, hallucinations are observed over a wide range of tasks beyond pure fact verification (Kryscinski et al., 2020; Maynez et al., 2020). ", + "bbox": [ + 512, + 680, + 882, + 919 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 85, + 485, + 131 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we propose SelfCheckGPT, a sampling-based approach that can detect whether responses generated by LLMs are hallucinated or factual. To the best of our knowledge, SelfCheckGPT is the first work to analyze model hallucination of general LLM responses, and is the first zero-resource hallucination detection solution that can be applied to black-box systems. The motivating idea of SelfCheckGPT is that when an LLM has been trained on a given concept, the sampled responses are likely to be similar and contain consistent facts. However, for hallucinated facts, stochastically sampled responses are likely to diverge and may contradict one another. By sampling multiple responses from an LLM, one can measure information consistency between the different responses and determine if statements are factual or hallucinated. Since SelfCheckGPT only leverages sampled responses, it has the added benefit that it can be used for black-box models, and it requires no external database. Five variants of SelfCheckGPT for measuring informational consistency are considered: BERTScore, question-answering, $n$ -gram, NLI, and LLM prompting. Through analysis of annotated articles generated by GPT-3, we show that SelfCheckGPT is a highly effective hallucination detection method that can even outperform greybox methods, and serves as a strong first baseline for an increasingly important problem of LLMs. ", + "bbox": [ + 117, + 131, + 487, + 599 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Background and Related Work ", + "text_level": 1, + "bbox": [ + 119, + 613, + 416, + 630 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 Hallucination of Large Language Models ", + "text_level": 1, + "bbox": [ + 117, + 640, + 484, + 656 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Hallucination has been studied in text generation tasks, including summarization (Huang et al., 2021) and dialogue generation (Shuster et al., 2021), as well as in a variety of other natural language generation tasks (Ji et al., 2023). Self-consistency decoding has shown to improve chain-of-thought prompting performance on complex reasoning tasks (Wang et al., 2023). Further, Liu et al. (2022) introduce a hallucination detection dataset, however, texts are obtained by perturbing factual texts and thus may not reflect true LLM hallucination. ", + "bbox": [ + 117, + 662, + 487, + 838 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Recently, Azaria and Mitchell (2023) trained a multi-layer perception classifier where an LLM’s hidden representations are used as inputs to predict the truthfulness of a sentence. However, this approach is a white-box approach that uses the internal states of the LLM, which may not be available through API calls, and requires labelled data for supervised training. Another recent approach is self-evaluation (Kadavath et al., 2022), where an LLM is prompted to evaluate its previous prediction, e.g., to predict the probability that its generated response/answer is true. ", + "bbox": [ + 117, + 840, + 487, + 920 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 85, + 882, + 196 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.2 Sequence Level Uncertainty Estimation ", + "text_level": 1, + "bbox": [ + 512, + 211, + 865, + 227 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Token probabilities have been used as an indication of model certainty. For example, OpenAI’s GPT-3 web interface allows users to display token probabilities (as shown in Figure 2), and further uncertainty estimation approaches based on aleatoric and epistemic uncertainty have been studied for autoregressive generation (Xiao and Wang, 2021; Malinin and Gales, 2021). Additionally, conditional language model scores have been used to evaluate properties of texts (Yuan et al., 2021; Fu et al., 2023). Recently, semantic uncertainty has been proposed to address uncertainty in free-form generation tasks where probabilities are attached to concepts instead of tokens (Kuhn et al., 2023). ", + "bbox": [ + 510, + 234, + 882, + 457 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/7f901ce3f147814de99104bb70cc498151c6324518852cd270c1a5c521c4cfda.jpg", + "image_caption": [ + "Figure 2: Example of OpenAI’s GPT-3 web interface with output token-level probabilities displayed. " + ], + "image_footnote": [], + "bbox": [ + 514, + 475, + 878, + 642 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.3 Fact Verification ", + "text_level": 1, + "bbox": [ + 514, + 711, + 685, + 725 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Existing fact-verification approaches follow a multi-stage pipeline of claim detection, evidence retrieval and verdict prediction (Guo et al., 2022; Zhong et al., 2020). Such methods, however, require access to external databases and can have considerable inference costs. ", + "bbox": [ + 512, + 733, + 882, + 827 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 Grey-Box Factuality Assessment ", + "text_level": 1, + "bbox": [ + 514, + 844, + 821, + 860 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "This section will introduce methods that can be used to determine the factuality of LLM responses in a zero-resource setting when one has full access to output distributions.2 We will use ‘factual’ to define when statements are grounded in valid information, i.e. when hallucinations are avoided, and ‘zero-resource’ when no external database is used. ", + "bbox": [ + 512, + 872, + 880, + 919 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 83, + 487, + 148 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Uncertainty-based Assessment ", + "text_level": 1, + "bbox": [ + 117, + 159, + 398, + 174 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To understand how the factuality of a generated response can be determined in a zero-resource setting, we consider LLM pre-training. During pretraining, the model is trained with next-word prediction over massive corpora of textual data. This gives the model a strong understanding of language (Jawahar et al., 2019; Raffel et al., 2020), powerful contextual reasoning (Zhang et al., 2020), as well as world knowledge (Liusie et al., 2023). Consider the input \"Lionel Messi is a _\". Since Messi is a world-famous athlete who may have appeared multiple times in pre-training, the LLM is likely to know who Messi is. Therefore given the context, the token \"footballer\" may be assigned a high probability while other professions such as \"carpenter\" may be considered improbable. However, for a different input such as \"John Smith is a _\", the system will be unsure of the continuation which may result in a flat probability distribution. During inference, this is likely to lead to a non-factual word being generated. ", + "bbox": [ + 115, + 179, + 487, + 517 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "This insight allows us to understand the connection between uncertainty metrics and factuality. Factual sentences are likely to contain tokens with higher likelihood and lower entropy, while hallucinations are likely to come from positions with flat probability distributions with high uncertainty. ", + "bbox": [ + 115, + 519, + 487, + 615 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Token-level Probability ", + "text_level": 1, + "bbox": [ + 117, + 624, + 302, + 639 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Given the LLM’s response $R$ , let $i$ denote the $i$ -th sentence in $R , j$ denote the $j$ -th token in the $i$ -th sentence, $J$ is the number of tokens in the sentence, and $p _ { i j }$ be the probability of the word generated by the LLM at the $j$ -th token of the $i$ -th sentence. Two probability metrics are used: ", + "bbox": [ + 117, + 643, + 487, + 739 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/bfe09fc6d2615c7c25d4fcb3557fb22a65ea9683d545551c979c37b1775456d7.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\mathrm { A v g } ( - \\log p ) = - \\frac { 1 } { J } \\sum _ { j } \\log p _ { i j } } \\\\ { \\displaystyle \\mathrm { M a x } ( - \\log p ) = \\operatorname* { m a x } _ { j } ( - \\log p _ { i j } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 178, + 749, + 423, + 818 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "$\\mathbf { M a x } ( - \\log p )$ measures the sentence’s likelihood by assessing the least likely token in the sentence. ", + "bbox": [ + 115, + 828, + 487, + 859 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Entropy ", + "text_level": 1, + "bbox": [ + 512, + 85, + 579, + 99 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The entropy of the output distribution is: ", + "bbox": [ + 514, + 105, + 813, + 121 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/f6cff5f61a2533d9d11eb1ae23d109496903be546a103e999b64947285987d36.jpg", + "text": "$$\n\\mathcal { H } _ { i j } = - \\sum _ { \\tilde { w } \\in \\mathcal { W } } p _ { i j } ( \\tilde { w } ) \\log p _ { i j } ( \\tilde { w } )\n$$", + "text_format": "latex", + "bbox": [ + 574, + 133, + 818, + 170 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $p _ { i j } ( \\tilde { w } )$ is the probability of the word $\\tilde { w }$ being generated at the $j$ -th token of the $i$ -th sentence, and $\\mathcal { W }$ is the set of all possible words in the vocabulary. Similar to the probability-based metrics, two entropy-based metrics are used: ", + "bbox": [ + 512, + 183, + 882, + 263 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/1a434c922d0f145207a3f3e246aeb9551edb45ba80fe06b3e03d04335995780a.jpg", + "text": "$$\n\\operatorname { A v g } ( \\mathcal { H } ) = \\frac { 1 } { J } \\sum _ { j } \\mathcal { H } _ { i j } ; \\quad \\operatorname { M a x } ( \\mathcal { H } ) = \\operatorname* { m a x } _ { j } ( \\mathcal { H } _ { i j } )\n$$", + "text_format": "latex", + "bbox": [ + 519, + 274, + 875, + 316 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4 Black-Box Factuality Assessment ", + "text_level": 1, + "bbox": [ + 514, + 329, + 828, + 346 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A drawback of grey-box methods is that they require output token-level probabilities. Though this may seem a reasonable requirement, for massive LLMs only available through limited API calls, such token-level information may not be available (such as with ChatGPT). Therefore, we consider black-box approaches which remain applicable even when only text-based responses are available. ", + "bbox": [ + 510, + 357, + 882, + 486 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Proxy LLMs ", + "text_level": 1, + "bbox": [ + 512, + 500, + 615, + 516 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A simple approach to approximate the grey-box approaches is by using a proxy LLM, i.e. another LLM that we have full access to, such as LLaMA (Touvron et al., 2023). A proxy LLM can be used to approximate the output token-level probabilities of the black-box LLM generating the text. In the next section, we propose SelfCheckGPT, which is also a black-box approach. ", + "bbox": [ + 510, + 523, + 882, + 650 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "5 SelfCheckGPT ", + "text_level": 1, + "bbox": [ + 512, + 665, + 672, + 682 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "SelfCheckGPT is our proposed black-box zeroresource hallucination detection scheme, which operates by comparing multiple sampled responses and measuring consistency. ", + "bbox": [ + 510, + 694, + 882, + 757 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Notation: Let $R$ refer to an LLM response drawn from a given user query. SelfCheckGPT draws a further $N$ stochastic LLM response samples $\\{ S ^ { 1 } , S ^ { 2 } , . . . , S ^ { n } , . . . , S ^ { N } \\}$ using the same query, and then measures the consistency between the response and the stochastic samples. We design SelfCheckGPT to predict the hallucination score of the $i$ -th sentence, $\\boldsymbol { S } ( i )$ , such that $S ( i ) \\in [ 0 . 0 , 1 . 0 ]$ where ${ \\cal S } ( i ) 0 . 0$ if the $i$ -th sentence is grounded in valid information and ${ \\cal S } ( i ) 1 . 0$ if the $i$ -th sentence is hallucinated.3 The following subsections will describe each of the SelfCheckGPT variants. ", + "bbox": [ + 510, + 759, + 882, + 920 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 83, + 487, + 115 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.1 SelfCheckGPT with BERTScore ", + "text_level": 1, + "bbox": [ + 117, + 126, + 413, + 142 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Let $\\textstyle B ( . , . )$ denote the BERTScore between two sentences. SelfCheckGPT with BERTScore finds the average BERTScore of the $i$ -th sentence with the most similar sentence from each drawn sample: ", + "bbox": [ + 115, + 148, + 487, + 211 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/24f00b2f6fbcc694c46390594be61a27ca262cf7574e4400105902b5c845ee44.jpg", + "text": "$$\nS _ { \\mathrm { B E R T } } ( i ) = 1 - \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } \\operatorname* { m a x } _ { k } \\left( \\mathcal { B } ( r _ { i } , s _ { k } ^ { n } ) \\right)\n$$", + "text_format": "latex", + "bbox": [ + 141, + 222, + 440, + 267 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $r _ { i }$ repr ents the $i$ -th sente e in $R$ and $s _ { k } ^ { n }$ $k$ $n$ $S ^ { n }$ This way if the information in a sentence appears in many drawn samples, one may assume that the information is factual, whereas if the statement appears in no other sample, it is likely a hallucination. In this work, RoBERTa-Large (Liu et al., 2019) is used as the backbone of BERTScore. ", + "bbox": [ + 115, + 277, + 487, + 405 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.2 SelfCheckGPT with Question Answering ", + "text_level": 1, + "bbox": [ + 117, + 416, + 480, + 432 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We also consider using the automatic multiplechoice question answering generation (MQAG) framework (Manakul et al., 2023) to measure consistency for SelfCheckGPT. MQAG assesses consistency by generating multiple-choice questions over the main generated response, which an independent answering system can attempt to answer while conditioned on the other sampled responses. If questions on consistent information are queried, the answering system is expected to predict similar answers. MQAG consists of two stages: question generation G and question answering A. For the sentence $r _ { i }$ in the response $R$ , we draw questions $q$ and options $\\mathbf { o }$ : ", + "bbox": [ + 115, + 438, + 489, + 662 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6b3e40fa722407a8344b34d1749d07de41620d8f72d8e1941e424914e288f087.jpg", + "text": "$$\n{ q , \\mathbf { o } } \\sim P _ { \\mathtt { G } } ( q , \\mathbf { o } | r _ { i } , R )\n$$", + "text_format": "latex", + "bbox": [ + 221, + 675, + 381, + 693 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The answering stage A selects the answers: ", + "bbox": [ + 117, + 706, + 433, + 720 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "$\\frac { N _ { \\mathrm { n } } } { N _ { \\mathrm { m } } + N _ { \\mathrm { n } } }$ . To take into account the answerability of generated questions, we show in Appendix B that we can modify the inconsistency score by applying soft-counting, resulting in: ", + "bbox": [ + 510, + 83, + 882, + 148 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/19d319db6842863b8d1a0044cf09ce5858fc487d19063ba3c143d4d9e14181e7.jpg", + "text": "$$\n\\mathcal { S } _ { \\mathrm { Q A } } ( i , q ) = \\frac { \\gamma _ { 2 } ^ { N _ { \\mathrm { n } } ^ { \\prime } } } { \\gamma _ { 1 } ^ { N _ { \\mathrm { n } } ^ { \\prime } } + \\gamma _ { 2 } ^ { N _ { \\mathrm { n } } ^ { \\prime } } }\n$$", + "text_format": "latex", + "bbox": [ + 605, + 158, + 788, + 203 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $N _ { \\mathtt { m } } ^ { \\prime } =$ the effective match count, $N _ { \\mathbf { n } } ^ { \\prime } =$ the effective mismatch count, with $\\gamma _ { 1 }$ and $\\gamma _ { 2 }$ defined in Appendix B.1. Ultimately, SelfCheckGPT with QA is the average of inconsistency scores across $q$ ", + "bbox": [ + 510, + 212, + 882, + 277 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/bdcc720cde0b7253b3838312850090830dd7465b6f9b9bdbc6956bea723eed8d.jpg", + "text": "$$\nS _ { \\mathrm { Q A } } ( i ) = \\mathbb { E } _ { q } \\left[ S _ { \\mathrm { Q A } } ( i , q ) \\right]\n$$", + "text_format": "latex", + "bbox": [ + 605, + 288, + 789, + 307 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.3 SelfCheckGPT with n-gram ", + "text_level": 1, + "bbox": [ + 512, + 319, + 774, + 335 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Given samples $\\{ S ^ { 1 } , . . . , S ^ { N } \\}$ generated by an LLM, one can use the samples to create a new language model that approximates the LLM. In the limit as $N$ gets sufficiently large, the new language model will converge to the LLM that generated the responses. We can therefore approximate the LLM’s token probabilities using the new language model. ", + "bbox": [ + 510, + 340, + 882, + 453 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In practice, due to time and/or cost constraints, there can only be a limited number of samples $N$ . Consequently, we train a simple $n$ -gram model using the samples $\\{ S ^ { 1 } , . . . , S ^ { N } \\}$ as well as the main response $R$ (which is assessed), where we note that including $R$ can be considered as a smoothing method where the count of each token in $R$ is increased by 1. We then compute the average of the log-probabilities of the sentence in response $R$ , ", + "bbox": [ + 510, + 454, + 884, + 598 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/222942ff6fbbb054cd329ad30c828a128f3cb63d6ae9c1a26b7a2bcca38493b1.jpg", + "text": "$$\n\\mathcal { S } _ { n \\mathrm { - g r a m } } ^ { \\mathrm { A v g } } ( i ) = - \\frac { 1 } { J } \\sum _ { j } \\log \\tilde { p } _ { i j }\n$$", + "text_format": "latex", + "bbox": [ + 589, + 607, + 803, + 648 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\tilde { p } _ { i j }$ is the probability (of the $j$ -th token of the $i$ -th sentence) computed using the $n$ -gram model. Similar to the grey-box approach, we can also use the maximum of the negative log probabilities, ", + "bbox": [ + 510, + 658, + 882, + 721 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/425afc44e1aa97cba0df1c3b407a1a0416706ff1d6f6303db50eb42916c47809.jpg", + "text": "$$\n\\begin{array} { r } { a _ { R } = \\underset { k } { \\arg \\operatorname* { m a x } } \\left[ P _ { \\mathrm { A } } ( o _ { k } | q , R , \\mathbf { o } ) \\right] } \\\\ { a _ { S ^ { n } } = \\underset { k } { \\arg \\operatorname* { m a x } } \\left[ P _ { \\mathrm { A } } ( o _ { k } | q , S ^ { n } , \\mathbf { o } ) \\right] } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 731, + 421, + 789 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We compare whether $a _ { R }$ is equal to $a _ { S ^ { n } }$ for each sample in $\\{ S ^ { 1 } , . . . , S ^ { N } \\}$ , yielding #matches $N _ { \\mathtt { m } }$ and #not-matches $N _ { \\mathbf { n } }$ . A simple inconsistency score for the $i$ -th sentence and question $q$ based on the match/not-match counts is defined: $S _ { \\mathrm { Q A } } ( i , q ) =$ ", + "bbox": [ + 115, + 799, + 485, + 878 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/456f56cb06f7afe4ccdd9d3a31f4b37a0d11614e7c77f8e49871adc234fb123d.jpg", + "text": "$$\nS _ { n \\mathrm { - g r a m } } ^ { \\mathrm { M a x } } ( i ) = \\operatorname* { m a x } _ { j } ( - \\log \\tilde { p } _ { i j } )\n$$", + "text_format": "latex", + "bbox": [ + 586, + 732, + 806, + 759 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.4 SelfCheckGPT with NLI ", + "text_level": 1, + "bbox": [ + 512, + 770, + 751, + 785 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Natural Language Inference (NLI) determines whether a hypothesis follows a premise, classified into either entailment/neutral/contradiction. NLI measures have been used to measure faithfulness in summarization, where Maynez et al. (2020) use a textual entailment classifier trained on MNLI (Williams et al., 2018) to determine if a summary contradicts a context or not. Inspired by NLI-based summary assessment, we consider using the NLI contradiction score as a SelfCheckGPT score. ", + "bbox": [ + 510, + 791, + 882, + 920 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 85, + 485, + 115 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For SelfCheck-NLI, we use DeBERTa-v3-large (He et al., 2023) fine-tuned to MNLI as the NLI model. The input for NLI classifiers is typically the premise concatenated to the hypothesis, which for our methodology is the sampled passage $S ^ { n }$ concatenated to the sentence to be assessed $r _ { i }$ Only the logits associated with the ‘entailment’ and ‘contradiction’ classes are considered, ", + "bbox": [ + 115, + 117, + 487, + 244 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/e1ca653f345d864d8372b438eee99c37694745456efcecadc836768ed098c05d.jpg", + "text": "$$\nP ( \\mathrm { c o n t r a d i c t } | r _ { i } , S ^ { n } ) = \\frac { \\exp ( z _ { c } ) } { \\exp ( z _ { e } ) + \\exp ( z _ { c } ) }\n$$", + "text_format": "latex", + "bbox": [ + 129, + 252, + 453, + 288 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $z _ { e }$ and $z _ { c }$ are the logits of the ‘entailment’ and ‘contradiction’ classes, respectively. This normalization ignores the neutral class and ensures that the probability is bounded between 0.0 and 1.0. The SelfCheckGPT with NLI score for each sample $S ^ { n }$ is then defined as, ", + "bbox": [ + 115, + 296, + 487, + 392 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/8126f20df6cffed78e4f15559b5a9ae3c5c0ccc14940ecff8a436ea11d8fcf70.jpg", + "text": "$$\n\\mathcal { S } _ { \\mathrm { N L I } } ( i ) = \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } P ( \\mathrm { c o n t r a d i c t } | r _ { i } , S ^ { n } )\n$$", + "text_format": "latex", + "bbox": [ + 141, + 400, + 431, + 445 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5.5 SelfCheckGPT with Prompt ", + "text_level": 1, + "bbox": [ + 117, + 453, + 381, + 469 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "LLMs have recently been shown to be effective in assessing information consistency between a document and its summary in zero-shot settings (Luo et al., 2023). Thus, we query an LLM to assess whether the $i$ -th sentence is supported by sample $S ^ { n }$ (as the context) using the following prompt. ", + "bbox": [ + 115, + 474, + 485, + 570 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Context: {} \nSentence: {} \nIs the sentence supported by the context above? \nAnswer Yes or No: ", + "bbox": [ + 115, + 586, + 475, + 634 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Initial investigation showed that GPT-3 (textdavinci-003) will output either Yes or $N o 9 8 \\%$ of the time, while any remaining outputs can be set to N/A. The output from prompting when comparing the $i$ -th sentence against sample $S ^ { n }$ is converted to score $\\boldsymbol { x } _ { i } ^ { n }$ through the mapping {Yes: 0.0, No: 1.0, N/A: 0.5}. The final inconsistency score is then calculated as: ", + "bbox": [ + 115, + 652, + 487, + 781 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d61fbf8f361af0f430eae1a20f44dc81ad25bc9c8e72ce81dad9342348b9bb59.jpg", + "text": "$$\nS _ { \\mathrm { { P r o m p t } } } ( i ) = \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } x _ { i } ^ { n }\n$$", + "text_format": "latex", + "bbox": [ + 213, + 787, + 389, + 832 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "SelfCheckGPT-Prompt is illustrated in Figure 1. Note that our initial investigations found that less capable models such as GPT-3 (text-curie-001) or LLaMA failed to effectively perform consistency assessment via such prompting. ", + "bbox": [ + 115, + 840, + 487, + 920 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "6 Data and Annotation ", + "text_level": 1, + "bbox": [ + 512, + 84, + 724, + 99 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "As, currently, there are no standard hallucination detection datasets available, we evaluate our hallucination detection approaches by 1) generating synthetic Wikipedia articles using GPT-3 on the individuals/concepts from the WikiBio dataset (Lebret et al., 2016); 2) manually annotating the factuality of the passage at a sentence level; 3) evaluating the system’s ability to detect hallucinations. ", + "bbox": [ + 510, + 109, + 882, + 237 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "WikiBio is a dataset where each input contains the first paragraph (along with tabular information) of Wikipedia articles of a specific concept. We rank the WikiBio test set in terms of paragraph length and randomly sample 238 articles from the top $20 \\%$ of longest articles (to ensure no very obscure concept is selected). GPT-3 (text-davinci-003) is then used to generate Wikipedia articles on a concept, using the prompt \"This is a Wikipedia passage about {concept}:\". Table 1 provides the statistics of GPT-3 generated passages. ", + "bbox": [ + 510, + 239, + 882, + 414 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/b518f11ebfb86db4abbb04936b7d9aee83bfed34c7378203fd796c3e64d6ac13.jpg", + "table_caption": [ + "Table 1: The statistics of WikiBio GPT-3 dataset where the number of tokens is based on the OpenAI GPT-2 tokenizer. " + ], + "table_footnote": [], + "table_body": "
#Passages#Sentences#Tokens/passage
2381908184.7±36.9
", + "bbox": [ + 522, + 426, + 870, + 476 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We then annotate the sentences of the generated passages using the guidelines shown in Figure 3 such that each sentence is classified as either: ", + "bbox": [ + 510, + 526, + 882, + 573 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Major Inaccurate (Non-Factual, 1): The sentence is entirely hallucinated, i.e. the sentence is unrelated to the topic. ", + "bbox": [ + 532, + 585, + 882, + 631 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Minor Inaccurate (Non-Factual, 0.5): The sentence consists of some non-factual information, but the sentence is related to the topic. ", + "bbox": [ + 534, + 643, + 882, + 690 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• Accurate (Factual, 0): The information presented in the sentence is accurate. ", + "bbox": [ + 532, + 701, + 884, + 732 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Of the 1908 annotated sentences, 761 $( 3 9 . 9 \\% )$ of the sentences were labelled major-inaccurate, 631 $( 3 3 . 1 \\% )$ minor-inaccurate, and 516 $( 2 7 . 0 \\% )$ accurate. 201 sentences in the dataset had annotations from two different annotators. To obtain a single label for this subset, if both annotators agree, then the agreed label is used. However, if there is disagreement, then the worse-case label is selected (e.g., {minor inaccurate, major inaccurate} is mapped to major inaccurate). The inter-annotator agreement, as measured by Cohen’s $\\kappa$ (Cohen, 1960), has $\\kappa$ values of 0.595 and 0.748, indicating moderate and substantial agreement (Viera et al., 2005) for the 3-class and 2-class scenarios, respectively.4 ", + "bbox": [ + 510, + 743, + 884, + 919 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/e8dabeb060075a7ae0131b9109e3c4d97a5c84971c8014294136e1df318e4f60.jpg", + "image_caption": [ + "Figure 3: Flowchart of our annotation process " + ], + "image_footnote": [], + "bbox": [ + 152, + 83, + 438, + 282 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 334, + 485, + 380 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Furthermore, passage-level scores are obtained by averaging the sentence-level labels in each passage. The distribution of passage-level scores is shown in Figure 4, where we observe a large peak at $+ 1 . 0$ . We refer to the points at this peak as total hallucination, which occurs when the information of the response is unrelated to the real concept and is entirely fabricated by the LLM. ", + "bbox": [ + 115, + 382, + 487, + 510 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/bb178fe14e4c1003916087e0f24691c7d0ddb9a095b037ec96711ef288c7382c.jpg", + "image_caption": [ + "Figure 4: Document factuality scores histogram plot " + ], + "image_footnote": [], + "bbox": [ + 139, + 525, + 463, + 681 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "7 Experiments ", + "text_level": 1, + "bbox": [ + 115, + 733, + 258, + 751 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The generative LLM used to generate passages for our dataset is GPT-3 (text-davinci-003), the stateof-the-art system at the time of creating and annotating the dataset. To obtain the main response, we set the temperature to 0.0 and use standard beam search decoding. For the stochastically generated samples, we set the temperature to 1.0 and generate ", + "bbox": [ + 117, + 760, + 487, + 872 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$N { = } 2 0$ samples. For the proxy LLM approach, we use LLaMA (Touvron et al., 2023), one of the bestperforming open-source LLMs currently available. For SelfCheckGPT-Prompt, we consider both GPT3 (which is the same LLM that is used to generate passages) as well as the newly released ChatGPT (gpt-3.5-turbo). More details about the systems in SelfCheckGPT and results using other proxy LLMs can be found in the appendix. ", + "bbox": [ + 512, + 84, + 884, + 228 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "7.1 Sentence-level Hallucination Detection ", + "text_level": 1, + "bbox": [ + 512, + 240, + 857, + 255 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "First, we investigate whether our hallucination detection methods can identify the factuality of sentences. In detecting non-factual sentences, both major-inaccurate labels and minor-inaccurate labels are grouped together into the non-factual class, while the factual class refers to accurate sentences. In addition, we consider a more challenging task of detecting major-inaccurate sentences in passages that are not total hallucination passages, which we refer to as non-factual∗.5 Figure 5 and Table 2 show the performance of our approaches, where the following observations can be made: ", + "bbox": [ + 512, + 261, + 884, + 453 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "1) LLM’s probabilities $p$ correlate well with factuality. Our results show that probability measures (from the LLM generating the texts) are strong baselines for assessing factuality. Factual sentences can be identified with an AUC-PR of 53.97, significantly better than the random baseline of 27.04, with the AUC-PR for hallucination detection also increasing from 72.96 to 83.21. This supports the hypothesis that when the LLMs are uncertain about generated information, generated tokens often have higher uncertainty, paving a promising direction for hallucination detection approaches. Also, the probability $p$ measure performs better than the entropy $\\mathcal { H }$ measure of top-5 tokens. ", + "bbox": [ + 512, + 458, + 882, + 682 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "2) Proxy LLM perform noticeably worse than LLM (GPT-3). The results of proxy LLM (based on LLaMA) show that the entropy $\\mathcal { H }$ measures outperform the probability measures. This suggests that using richer uncertainty information can improve factuality/hallucination detection performance, and that previously the entropy of top-5 tokens is likely to be insufficient. In addition, when using other proxy LLMs such as GPT-NeoX or OPT-30B, the performance is near that of the random baseline. We believe this poor performance occurs as different LLMs have different generating patterns, and so even common tokens may have a low probability in situations where the response is dissimilar to the generation style of the proxy LLM. We note that a weighted conditional LM score such as BARTScore (Yuan et al., 2021) could be incorporated in future investigations. ", + "bbox": [ + 512, + 684, + 882, + 891 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/710ef9b6d6347dd6e28c921f71968a44791746d28d67117d2eaf91f0cc24a310.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 124, + 85, + 878, + 246 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/9c32fcc5570558c3d3240828e215b4af9d930bebc295fe295afc51d1934daac6.jpg", + "table_caption": [ + "Figure 5: PR-Curve of detecting non-factual and factual sentences in the GPT-3 generated WikiBio passages. ", + "Table 2: AUC-PR for sentence-level detection tasks. Passage-level ranking performances are measured by Pearson correlation coefficient and Spearman’s rank correlation coefficient w.r.t. human judgements. The results of other proxy LLMs, in addition to LLaMA, can be found in the appendix. †GPT-3 API returns the top-5 tokens’ probabilities, which are used to compute entropy. " + ], + "table_footnote": [], + "table_body": "
MethodSentence-level (AUC-PR)Passage-level (Corr.) Pearson Spearman
NonFactNonFact*Factual
Random72.9629.7227.04
GPT-3 (text-davinci-003)'s probabilities (LLM, grey-box)
Avg(-logp)83.2138.89 53.9757.0453.93
Avg(H)t80.7337.0952.07 55.5250.87
Max(-logp)87.5135.8850.46 57.8355.69
Max(H)t85.7532.4350.27 52.4849.55
LLaMA-30B's probabilities (Proxy LLM, black-box)
Avg(-logp)75.4330.32 41.2921.7220.20
Avg(H)80.8039.0142.97 33.8039.49
Max(-logp)74.0127.14 31.08-22.83-22.71
Max(H)80.9237.32 37.9035.5738.94
SelfCheckGPT (black-box)
w/BERTScore81.9645.9644.2358.1855.90
w/ QA84.2640.0648.1461.0759.29
w/ Unigram (max)85.6341.0458.4764.7164.91
w/ NLI92.5045.1766.0874.1473.78
w/ Prompt93.4253.1967.0978.3278.30
", + "bbox": [ + 206, + 281, + 789, + 606 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 677, + 485, + 757 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3) SelfCheckGPT outperforms grey-box approaches. It can be seen that SelfCheckGPTPrompt considerably outperforms the grey-box approaches (including GPT-3’s output probabilities) as well as other black-box approaches. Even other variants of SelfCheckGPT, including BERTScore, QA, and $n$ -gram, outperform the grey-box approaches in most setups. Interestingly, despite being the least computationally expensive method, SelfCheckGPT with unigram (max) works well across different setups. Essentially, when assessing a sentence, this method picks up the token with the lowest occurrence given all the samples. This suggests that if a token only appears a few times (or once) within the generated samples $( N { = } 2 0 )$ ), it is likely non-factual. ", + "bbox": [ + 115, + 759, + 487, + 919 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 677, + 882, + 772 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4) SelfCheckGPT with $n$ -gram. When investigating the $n$ -gram performance from 1-gram to 5-gram, the results show that simply finding the least likely token/n-gram is more effective than computing the average $n$ -gram score of the sentence, details in appendix Table 7. Additionally, as $n$ increases, the performance of SelfCheckGPT with $n$ -gram (max) drops. ", + "bbox": [ + 512, + 775, + 882, + 902 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5) SelfCheckGPT with NLI. The NLI-based method outperforms all black-box and grey-box baselines, and its performance is close to the performance of the Prompt method. As SelfCheckGPT with Prompt can be computationally heavy, SelfCheckGPT with NLI could be the most practical method as it provides a good trade-off between performance and computation. ", + "bbox": [ + 526, + 904, + 880, + 919 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/a987398f00db96a439e461cfebff3a11cb21b5eb98dbb49a3cc57d0f07fee3fd.jpg", + "image_caption": [ + "Figure 6: Scatter plot of passage-level scores where Y-axis $=$ Method scores, X-axis $=$ Human scores. Correlations are reported in Table 2. The scatter plots of other SelfCheckGPT variants are provided in Figure 10 in the appendix. " + ], + "image_footnote": [], + "bbox": [ + 122, + 85, + 878, + 244 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 305, + 487, + 417 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7.2 Passage-level Factuality Ranking ", + "text_level": 1, + "bbox": [ + 117, + 431, + 418, + 447 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Previous results demonstrate that SelfCheckGPT is an effective approach for predicting sentencelevel factuality. An additional consideration is whether SelfCheckGPT can also be used to determine the overall factuality of passages. Passagelevel factuality scores are calculated by averaging the sentence-level scores over all sentences. ", + "bbox": [ + 115, + 455, + 487, + 567 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/f232ca3f4f058d2cd04349c54bac5616433f4ad47ad1a500a79eddab6253d45c.jpg", + "text": "$$\nS _ { \\mathrm { p a s s a g e } } = { \\frac { 1 } { | R | } } \\sum _ { i } S ( i )\n$$", + "text_format": "latex", + "bbox": [ + 211, + 576, + 389, + 615 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "where $s ( i )$ is the sentence-level score, and $| R |$ is the number of sentences in the passage. Since human judgement is somewhat subjective, averaging the sentence-level labels would lead to ground truths with less noise. Note that for $\\operatorname { A v g } ( - \\log p )$ and $\\operatorname { A v g } ( { \\mathcal { H } } )$ , we compute the average over all tokens in a passage. Whereas for $\\mathbf { M a x } ( - \\log p )$ and $\\operatorname { M a x } ( \\mathcal { H } )$ , we first take the maximum operation over tokens at the sentence level, and we then average over all sentences following Equation 12. ", + "bbox": [ + 115, + 629, + 487, + 789 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our results in Table 2 and Figure 6 show that all SelfCheckGPT methods correlate far better with human judgements than the other baselines, including the grey-box probability and entropy methods. SelfCheckGPT-Prompt is the best-performing method, achieving the highest Pearson correlation of 78.32. Unsurprisingly, the proxy LLM approach again achieves considerably lower correlations. ", + "bbox": [ + 115, + 791, + 487, + 919 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7.3 Ablation Studies ", + "text_level": 1, + "bbox": [ + 512, + 305, + 685, + 321 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "External Knowledge (instead of SelfCheck) ", + "text_level": 1, + "bbox": [ + 514, + 326, + 852, + 342 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "If external knowledge is available, one can measure the informational consistency between the LLM response and the information source. In this experiment, we use the first paragraph of each concept that is available in WikiBio.6 ", + "bbox": [ + 512, + 346, + 882, + 424 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/4fb6bfa9e7494941cc72f0011becb63f4e3307f1653fe12114e4265d386f98ed.jpg", + "table_caption": [ + "Table 3: The performance when using SelfCheckGPT samples versus external stored knowledge. " + ], + "table_footnote": [], + "table_body": "
MethodSent-lvl AUC-PR NoFac NoFac*FactPassage-lvl Pear. Spear.
SelfCk-BERT81.9645.9644.2358.18 55.90
WikiBio+BERT81.3240.6249.1558.71 55.80
SelfCk-QA84.2640.0648.1461.07 59.29
WikiBio+QA84.1845.4052.0357.26 53.62
SelfCk-1gm85.6341.0458.4764.71 64.91
WikiBio+1gm80.4331.4740.5328.67 26.70
SelfCk-NLI92.5045.1766.0874.14 73.78
WikiBio+NLI91.1848.1471.6178.84 80.00
SelfCk-Prompt93.4253.1967.0978.30
WikiBio+Prompt93.5965.2673.1178.32 85.90 86.11
", + "bbox": [ + 512, + 434, + 882, + 621 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our findings in Table 3 show the following. First, SelfCheckGPT with BERTScore/QA, using selfsamples, can yield comparable or even better performance than when using the reference passage. Second, SelfCheckGPT with $n$ -gram shows a large performance drop when using the WikiBio passages instead of self-samples. This failure is attributed to the fact that the WikiBio reference text alone is not sufficient to train an $n$ -gram model. Third, in contrast, SelfCheckGPT with NLI/Prompt can benefit considerably when access to retrieved information is available. Nevertheless, in practice, it is infeasible to have an external database for every possible use case of LLM generation. ", + "bbox": [ + 512, + 674, + 884, + 866 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 85, + 487, + 115 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The Impact of the Number of Samples ", + "text_level": 1, + "bbox": [ + 119, + 133, + 418, + 148 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Although sample-based methods are expected to perform better when more samples are drawn, this has higher computational costs. Thus, we investigate performance as the number of samples is varied. Our results in Figure 7 show that the performance of SelfCheckGPT increases smoothly as more samples are used, with diminishing gains as more samples are generated. SelfCheckGPT with $n$ -gram requires the highest number of samples before its performance reaches a plateau. ", + "bbox": [ + 117, + 156, + 487, + 316 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/9ea7ff6a53429fc6454bab47de0e19df579c00b2fb4370dd39088e8833ad5a1a.jpg", + "image_caption": [ + "Figure 7: The performance of SelfCheckGPT methods on ranking passages (Spearman’s) versus the number of samples. " + ], + "image_footnote": [], + "bbox": [ + 157, + 335, + 445, + 500 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The Choice of LLM for SelfCheckGPT-Prompt ", + "text_level": 1, + "bbox": [ + 115, + 573, + 485, + 588 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We investigate whether the LLM generating the text can self-check its own text. We conduct this ablation using a reduced set of the samples $( N { = } 4 )$ ", + "bbox": [ + 115, + 596, + 487, + 643 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/7dc55620eedd5f983be8844c4c2f9019d93fea6bf19de893472c7477a873963a.jpg", + "table_caption": [ + "Table 4: Comparison of GPT-3 (text-davinci-003) and ChatGPT (gpt-3.5.turbo) as the prompt-based text evaluator in SelfCheckGPT-Prompt. †Taken from Table 2 for comparison. " + ], + "table_footnote": [], + "table_body": "
Text-GenSelfCk-PromptNPear.Spear.
GPT-3ChatGPT2078.3278.30
GPT-3ChatGPT476.4776.41
GPT-3GPT-3473.1174.69
+ SelfCheck w/ unigram (max)2064.7164.91
+ SelfCheck w/ NLI2074.1473.78
", + "bbox": [ + 124, + 658, + 478, + 757 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The results in Table 4 show that GPT-3 can selfcheck its own text, and is better than the unigram method even when using only 4 samples. However, ChatGPT shows a slight improvement over GPT-3 in evaluating whether the sentence is supported by the context. More details are in Appendix C. ", + "bbox": [ + 115, + 824, + 487, + 920 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "8 Conclusions ", + "text_level": 1, + "bbox": [ + 510, + 84, + 647, + 99 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This paper is the first work to consider the task of hallucination detection for general large language model responses. We propose SelfCheckGPT, a zero-resource approach that is applicable to any black-box LLM without the need for external resources, and demonstrate the efficacy of our method. SelfCheckGPT outperforms a range of considered grey-box and black-box baseline detection methods at both the sentence and passage levels, and we further release an annotated dataset for GPT-3 hallucination detection with sentencelevel factuality labels. ", + "bbox": [ + 512, + 116, + 882, + 307 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Limitations ", + "text_level": 1, + "bbox": [ + 512, + 330, + 613, + 346 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this study, the 238 GPT-3 generated texts were predominantly passages about individuals in the WikiBio dataset. To further investigate the nature of LLM’s hallucination, this study could be extended to a wider range of concepts, e.g., to also consider generated texts about locations and objects. Further, this work considers factuality at the sentence level, but we note that a single sentence may consist of both factual and non-factual information. For example, the following work by Min et al. (2023) considers a fine-grained factuality evaluation by decomposing sentences into atomic facts. Finally, SelfCheckGPT with Prompt, which was convincingly the best selfcheck method, is quite computationally heavy. This might lead to impractical computational costs, which could be addressed in future work to be made more efficient. ", + "bbox": [ + 512, + 361, + 882, + 634 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Ethics Statement ", + "text_level": 1, + "bbox": [ + 512, + 657, + 660, + 674 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "As this work addresses the issue of LLM’s hallucination, we note that if hallucinated contents are not detected, they could lead to misinformation. ", + "bbox": [ + 510, + 690, + 882, + 737 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Acknowledgments ", + "text_level": 1, + "bbox": [ + 514, + 759, + 670, + 775 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "This work is supported by Cambridge University Press & Assessment (CUP&A), a department of The Chancellor, Masters, and Scholars of the University of Cambridge, and the Cambridge Commonwealth, European & International Trust. We would like to thank the anonymous reviewers for their helpful comments. ", + "bbox": [ + 512, + 791, + 882, + 903 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 117, + 84, + 211, + 99 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Amos Azaria and Tom Mitchell. 2023. The internal state of an llm knows when its lying. arXiv preprint arXiv:2304.13734. 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", + "bbox": [ + 512, + 517, + 882, + 569 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Susan Zhang, Stephen Roller, Naman Goyal, Mikel Artetxe, Moya Chen, Shuohui Chen, Christopher Dewan, Mona Diab, Xian Li, Xi Victoria Lin, et al. 2022. Opt: Open pre-trained transformer language models. arXiv preprint arXiv:2205.01068. ", + "bbox": [ + 510, + 580, + 884, + 645 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Zhuosheng Zhang, Yuwei Wu, Hai Zhao, Zuchao Li, Shuailiang Zhang, Xi Zhou, and Xiang Zhou. 2020. Semantics-aware bert for language understanding. In Proceedings of the AAAI Conference on Artificial Intelligence, volume 34, pages 9628–9635. ", + "bbox": [ + 510, + 656, + 882, + 721 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Wanjun Zhong, Jingjing Xu, Duyu Tang, Zenan Xu, Nan Duan, Ming Zhou, Jiahai Wang, and Jian Yin. 2020. Reasoning over semantic-level graph for fact checking. In Proceedings of the 58th Annual Meeting of the Association for Computational Linguistics, pages 6170–6180, Online. Association for Computational Linguistics. ", + "bbox": [ + 512, + 731, + 882, + 824 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A Models and Implementation ", + "text_level": 1, + "bbox": [ + 117, + 83, + 396, + 99 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.1 Entropy ", + "text_level": 1, + "bbox": [ + 117, + 109, + 230, + 124 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The entropy of the output distribution is implemented as follows, ", + "bbox": [ + 115, + 130, + 487, + 160 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/446461c8fb6e2374f98204dd532286392fffa47089b5e7457e5a3b9cb4a81128.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { H } _ { i j } = 2 ^ { - \\sum _ { \\tilde { w } \\in \\mathcal { W } } p _ { i j } \\left( \\tilde { w } \\right) \\log _ { 2 } p _ { i j } \\left( \\tilde { w } \\right) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 170, + 420, + 192 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where $\\mathcal { W }$ is the set of all possible words in the vocabulary. ", + "bbox": [ + 115, + 203, + 487, + 235 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.2 Proxy LLMs ", + "text_level": 1, + "bbox": [ + 117, + 246, + 265, + 261 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The proxy LLMs considered are LLaMA-{7B, 13B, 30B} (Touvron et al., 2023), OPT- $\\{ 1 2 5 \\mathrm { m }$ , 1.3B, 13B, 30B} (Zhang et al., 2022), GPT-J-6B (Wang and Komatsuzaki, 2021) and GPT-NeoX20B (Black et al., 2022). ", + "bbox": [ + 115, + 267, + 489, + 346 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.3 SelfCheckGPT’s Systems ", + "text_level": 1, + "bbox": [ + 117, + 357, + 363, + 373 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Question Answering: The generation systems G1 and G2 are T5-Large fine-tuned to SQuAD (Rajpurkar et al., 2016) and RACE (Lai et al., 2017), respectively. The answering system A is Longformer (Beltagy et al., 2020) fine-tuned to the RACE dataset. The answerability system U is also Longformer, but fine-tuned to SQuAD2.0. ", + "bbox": [ + 115, + 379, + 487, + 491 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "LLM for Prompting: We consider two LLMs, GPT-3 (text-davinci-003) and ChatGPT (gpt-3.5- turbo) We note that during the data creation and annotation, GPT-3 (text-davinci-003) was the stateof-the-art LLM available; hence, GPT-3 was used as the main LLM generating WikiBio passages. ", + "bbox": [ + 115, + 507, + 489, + 604 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B SelfCheckGPT with QA ", + "text_level": 1, + "bbox": [ + 117, + 615, + 357, + 632 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Previous work showed that implementing question generation (in Equation 2) with two generators (G1 generates the question and associated answer, and G2 generates distractors) yields higher-quality distractors (Manakul et al., 2023). Thus, a two-stage generation is adopted in this work as follows: ", + "bbox": [ + 115, + 642, + 487, + 737 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/f1450248643f8d6ba3b4d72586edb25b0566f34721073f795105e340d3ee7ffe.jpg", + "text": "$$\nq , a \\sim P _ { \\mathtt { G 1 } } ( q , a | r _ { i } ) ; \\bullet _ { \\mathtt { V } _ { a } } \\sim P _ { \\mathtt { G 2 } } ( \\mathbf { o } _ { \\backslash a } | q , a , R )\n$$", + "text_format": "latex", + "bbox": [ + 136, + 749, + 468, + 768 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where $\\mathbf { o } = \\{ a , \\mathbf { o } _ { \\backslash a } \\} = \\{ o _ { 1 } , . . . , o _ { 4 } \\}$ . In addition, to filter out bad (unanswerable) questions, we define an answerability score (Raina and Gales, 2022): ", + "bbox": [ + 115, + 783, + 487, + 829 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/01dab842648994a040127a1d15c38b2777f814356f8f4674ecf6e6d80a7c72ab.jpg", + "text": "$$\n\\alpha = P _ { \\mathrm { U } } ( { \\mathrm { a n s w e r a b l e } } | q , { \\mathrm { c o n t e x t } } )\n$$", + "text_format": "latex", + "bbox": [ + 184, + 841, + 418, + 859 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where the context is either the response $R$ or sampled passages $S ^ { n }$ , and $\\alpha 0 . 0$ for unanswerable and $\\alpha 1 . 0$ for answerable. We use $\\alpha$ to filter out unanswerable questions which have $\\alpha$ lower than a threshold. Next, we derive how Bayes’ theorem can be applied to take into account the number of answerable/unanswerable questions. ", + "bbox": [ + 115, + 872, + 487, + 920 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 510, + 84, + 882, + 148 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.1 SelfCheckGPT-QA with Bayes ", + "text_level": 1, + "bbox": [ + 512, + 159, + 796, + 174 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Let $P ( \\mathrm { F } )$ denote the probability of the $i$ -th sentence being non-factual, and $P ( \\mathrm { T } )$ denote the probability of the $i$ -th sentence being factual. For a question $q$ the probability of $i$ -th sentence being non-factual given a set of matched answers $L _ { \\mathtt { m } }$ and a set of not-matched answers $L _ { \\mathtt { n } }$ is: ", + "bbox": [ + 510, + 179, + 882, + 275 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/eca289ef5ea378ca8e953910cdcc180bdca3123f0777127b3358b0c91cc2f08b.jpg", + "text": "$$\n\\begin{array} { r l r } { { P ( \\mathrm { F } | L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } ) } } \\\\ & { = \\frac { P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { F } ) P ( \\mathrm { F } ) } { P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { F } ) P ( \\mathrm { F } ) + P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { T } ) P ( \\mathrm { T } ) } } \\\\ & { = \\frac { P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { F } ) } { P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { F } ) + P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { T } ) } } & \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 534, + 285, + 857, + 379 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where we assume the sentence is equally likely to be False or True, i.e. $P ( \\mathbf { F } ) = P ( \\mathbf { T } )$ . The probability of observing $L _ { \\mathtt { m } } , L _ { \\mathtt { n } }$ when the sentence is False (non-factual): ", + "bbox": [ + 510, + 385, + 882, + 448 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/b6e49863f8f7662343acb42ec43908be13a750bac8d79ad7238faec7583668c9.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle P ( L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } | \\mathrm { F } ) } } \\\\ { { \\displaystyle ~ = \\prod _ { a \\in L _ { \\mathfrak { n } } } P ( a = a _ { R } | F ) \\prod _ { a ^ { \\prime } \\in L _ { \\mathfrak { n } } } P ( a ^ { \\prime } \\neq a _ { R } | F ) } } \\\\ { { \\displaystyle ~ = ( 1 - \\beta _ { 1 } ) ^ { N _ { \\mathfrak { n } } } ( \\beta _ { 1 } ) ^ { N _ { \\mathfrak { n } } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 541, + 456, + 853, + 538 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "and probability of observing $L _ { \\mathtt { m } } , L _ { \\mathtt { n } }$ when the sentence is True (factual): ", + "bbox": [ + 510, + 546, + 884, + 577 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/33410b51ddda5589e5f17457933b7d2595d63472ee9f4d2f8dd6316fb6a41ed1.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle P ( L _ { \\tt m } , L _ { \\tt n } | { \\bf T } ) } } \\\\ { { \\displaystyle ~ = \\prod _ { a \\in L _ { \\tt m } } P ( a = a _ { r } | T ) \\prod _ { a ^ { \\prime } \\in L _ { \\tt n } } P ( a ^ { \\prime } \\not = a _ { r } | T ) } } \\\\ { { \\displaystyle ~ = ( \\beta _ { 2 } ) ^ { N _ { \\tt m } } ( 1 - \\beta _ { 2 } ) ^ { N _ { \\tt n } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 546, + 586, + 848, + 667 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where $N _ { \\mathtt { m } }$ and $N _ { \\mathbf { n } }$ are the number of matched answers and the number of not-matched answers, respectively. Hence, we can simplify Equation 16: ", + "bbox": [ + 510, + 675, + 884, + 722 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/b402d04d8727f070d3e043f603dc0962bae5202d622ff9fb9e02a714793b5b15.jpg", + "text": "$$\nP ( \\mathrm { F } | L _ { \\mathfrak { m } } , L _ { \\mathfrak { n } } ) = \\frac { \\gamma _ { 2 } ^ { N _ { \\mathfrak { n } } } } { \\gamma _ { 1 } ^ { N _ { \\mathfrak { n } } } + \\gamma _ { 2 } ^ { N _ { \\mathfrak { n } } } }\n$$", + "text_format": "latex", + "bbox": [ + 593, + 730, + 800, + 771 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\gamma _ { 1 } = \\frac { \\beta _ { 2 } } { 1 - \\beta _ { 1 } } } \\end{array}$ and $\\begin{array} { r } { \\gamma _ { 2 } = \\frac { \\beta _ { 1 } } { 1 - \\beta _ { 2 } } } \\end{array}$ . Lastly, instead of rejecting samples having an answerability score below a threshold,7 we find empirically that softcounting (defined below) improves the detection performance. We set both $\\beta _ { 1 }$ and $\\beta _ { 2 }$ to 0.8. ", + "bbox": [ + 510, + 780, + 882, + 863 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/c24ff0d3aa3c541109aba17346618460aa118f2c9cd1bcd9d061d99001319ade.jpg", + "text": "$$\nN _ { \\mathfrak { n } } ^ { \\prime } = \\sum _ { n { \\mathrm { ~ s . t . ~ } } a _ { n } \\in L _ { \\mathfrak { n } } } \\alpha _ { n } ; \\ N _ { \\mathfrak { n } } ^ { \\prime } = \\sum _ { n { \\mathrm { ~ s . t . ~ } } a _ { n } \\in L _ { \\mathfrak { n } } } \\alpha _ { n }\n$$", + "text_format": "latex", + "bbox": [ + 129, + 107, + 443, + 142 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "where $\\alpha _ { n } = P _ { \\mathrm { U } } ( { \\mathrm { a n s w e r a b l e } } | q , S ^ { n } )$ . Therefore, the SelfCheckGPT with QA score, ${ \\mathcal { S } } _ { \\mathrm { Q A } }$ , is: ", + "bbox": [ + 115, + 152, + 487, + 183 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/f526ad753b5a7fd6d22cc591673240ebc0c812f25b2cc9f94bc6facdf56650a5.jpg", + "text": "$$\n\\mathcal { S } _ { \\mathrm { Q A } } = P ( \\mathrm { F } | L _ { \\mathfrak { n } } , L _ { \\mathfrak { n } } ) = \\frac { \\gamma _ { 2 } ^ { N _ { \\mathfrak { n } } ^ { \\prime } } } { \\gamma _ { 1 } ^ { N _ { \\mathfrak { n } } ^ { \\prime } } + \\gamma _ { 2 } ^ { N _ { \\mathfrak { n } } ^ { \\prime } } }\n$$", + "text_format": "latex", + "bbox": [ + 154, + 192, + 418, + 236 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In Table 5, we show empically that applying Bayes’ theorem and soft counting $\\alpha$ (in Equation 20) improves the performance of the SelfCheckGPT with QA method. ", + "bbox": [ + 115, + 243, + 489, + 306 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/a0b0214e8c89691d18fab687414ebb373d9407cfc3b336f6810adc02f2264b3e.jpg", + "table_caption": [ + "Table 5: Performance of SelfCheckGPT-QA’s variants. " + ], + "table_footnote": [], + "table_body": "
VaraintSentence-lvlPassage-lvl
NoFNoF*FactPCCSCC
SimpleCount83.9740.0747.7857.3955.15
+ Bayes83.0438.5847.4156.4355.03
+ Bayes + α84.2640.0648.1461.0759.29
", + "bbox": [ + 124, + 317, + 477, + 394 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "C SelfCheckGPT with Prompt ", + "text_level": 1, + "bbox": [ + 117, + 443, + 394, + 460 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We use the prompt template provided in the main text (in Section 5.5) for both GPT-3 (text-davinci003) and ChatGPT (gpt-3.5-turbo). For ChatGPT, a standard system message \"You are a helpful assistant.\" is used in setting up the system. ", + "bbox": [ + 115, + 469, + 487, + 549 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "At the time of conducting experiments, the API costs per 1,000 tokens are $\\$ 0.020$ for GPT-3 and $\\$ 0.002$ for ChatGPT. The estimated costs for running the models to answer Yes/No on all 1908 sentences and 20 samples are around $\\$ 200$ for GPT-3 and $\\$ 20$ for ChatGPT. Given the cost, we conduct the experiments on 4 samples when performing the ablation about LLM choice for SelfCheckGPTPrompt (Section 7.3). Table 6 shows the breakdown of predictions made by GPT-3 and ChatGPT. ", + "bbox": [ + 115, + 550, + 487, + 709 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/19d19277fa62ee7903f66e1efd4e19bf2815fe8d9e51ac107d6a504ca677f45b.jpg", + "table_caption": [ + "Table 6: Breakdown of predictions made by GPT-3/ChatGPT when prompted to answer Yes(supported)/No(not-supported). " + ], + "table_footnote": [], + "table_body": "
ChatGPTYesNo
GPT-3
Yes31791038
No3673048
", + "bbox": [ + 171, + 720, + 431, + 785 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/6f8bbb27ef9bb0dec83bd399e08f6c4175e19abb251769733d1b698135bd1fb4.jpg", + "table_caption": [ + "Table 7: The performance using different $n$ -gram models in the SelfCheckGPT with $_ n$ -gram method. " + ], + "table_footnote": [], + "table_body": "
n-gramSent-lvl AUC-PRPassage-lvl
NoFacNoFac*FactPear.Spear.
Avg(-logp)
1-gram81.52 82.94 83.5640.33 44.3841.76 53.9940.68 58.8439.22
2-gram52.8158.11
3-gram44.64 43.5562.21 63.00
4-gram 83.80 5-gram 83.4554.25 53.9861.98 63.64 60.68 62.96
42.31
Max(-logp) 1-gram85.6341.0458.4764.7164.91
2-gram85.2639.2958.2962.4866.04
3-gram84.9737.1057.0857.3460.49
4-gram84.4936.3755.9655.7757.25
5-gram84.1236.1954.8954.8455.97
", + "bbox": [ + 515, + 105, + 877, + 288 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/9652737ce0d395cd83b4b18ed2b87bbb10af6b710d410c3a6c2d797b5da2b6a2.jpg", + "image_caption": [ + "Figure 8: The performance of SelfCheckGPT methods on sentence-level non-factual detection (AUC-PR) versus the number of samples. This Figure extends the passage-level results in Figure 7. " + ], + "image_footnote": [], + "bbox": [ + 552, + 380, + 842, + 542 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/e05cf974dc3a38ec8f172156a1ed9ac9aeadaf040fd21b5fe0e9556107c827e8.jpg", + "image_caption": [ + "Figure 9: Passage-level ranking performance of the Avg $\\mathcal { H } )$ method using proxy LLM where the sizes are: LLaMA $\\scriptstyle = \\{ 7 \\mathrm { B }$ , 13B, 30B}, $\\bar { \\mathrm { O P T } } { = } \\{ 1 2 5 \\mathrm { m }$ , 1.3B, 13B, 30B}, GPT- $\\scriptstyle \\mathbf { J } = 6 \\mathbf { B }$ , $\\mathrm { N e o X } { = } 2 0 \\mathrm { B }$ . The full results are provided in Table 8. " + ], + "image_footnote": [], + "bbox": [ + 552, + 661, + 840, + 829 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "D Additional Experimental Results ", + "text_level": 1, + "bbox": [ + 117, + 846, + 435, + 863 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Here, we provide experimental results that are complementary to those presented in the main paper. ", + "bbox": [ + 115, + 872, + 489, + 903 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/b7d3c26f859d8ae31a62ff0ec3cbd1ace56a5bb4c3ea8edfb087b4e0f44b6f2e.jpg", + "image_caption": [ + "Figure 10: Scatter plot of passage-level scores where Y-axis $=$ Method scores, X-axis $=$ Human scores. Correlations are reported in Table 2. This figure provides results in addition to Figure 6. " + ], + "image_footnote": [], + "bbox": [ + 117, + 110, + 878, + 234 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/19050b3f918064f28f6f97bea9fe58324800ea362b99e56b601dfecdef6b85a1.jpg", + "table_caption": [ + "Table 8: AUC-PR for Detecting Non-Factual and Factual Sentences in the GPT-3 generated WikiBio passages. Passage-level PCC and SCC with LLMs used to assess GPT-3 responses. This table is an extension to Table 2. " + ], + "table_footnote": [], + "table_body": "
LLMSizeSentence-level (AUC-PR)Passage-level (Corr.)
NonFactNonFact*FactualPearsonSpearman
Random72.9629.7227.04
Avg(-logp) Method
LLaMA30B75.4330.3241.2921.7220.20
LLaMA13B74.1630.0137.3613.3312.89
LLaMA7B71.6927.8731.30-2.71-2.59
OPT30B67.7024.4325.04-32.07-31.45
NeoX20B69.0024.3826.18-31.79-34.15
OPT13B67.4624.3925.20-33.05-32.79
GPT-J6B67.5124.2824.26-38.80-40.05
OPT1.3B66.1924.4723.47-35.20-38.95
OPT125m66.6325.3123.07-30.38-37.54
Avg(H) Method
LLaMA30B80.8039.0142.9733.8039.49
LLaMA13B80.6338.9840.5929.4333.12
LLaMA7B78.6737.2233.8119.4421.79
OPT30B77.1333.6729.55-0.433.43
NeoX20B77.4032.7830.135.417.43
OPT13B76.9333.7129.680.251.39
GPT-J6B76.1533.2928.30-2.50-1.37
OPT1.3B74.0531.9126.33-10.59-10.00
OPT125m71.5130.8825.36-14.16-13.76
Max(-logp) Method
LLaMA30B74.0127.1431.08-22.83-22.71
LLaMA13B71.1226.7828.82-34.93-31.70
LLaMA7B69.5725.9126.54-42.57-38.24
OPT30B67.3224.4024.32-49.51-45.50
NeoX20B67.5123.8824.82-47.96-44.54
OPT13B67.3624.6724.46-50.15-44.42
GPT-J6B67.5823.9423.93-51.23-47.68
OPT1.3B68.1625.8524.66-45.60-42.39
OPT125m69.2327.6624.14-39.22-37.18
Max(H) Method
LLaMA30B80.9237.3237.9035.5738.94
LLaMA13B80.9837.9436.0132.0734.01
LLaMA7B79.6535.5731.3222.1022.53
OPT30B76.5833.4429.311.636.41
NeoX20B76.9831.9629.135.979.31
OPT13B76.2632.8129.251.422.82
GPT-J6B75.3032.5128.13-2.141.41
OPT1.3B73.7931.4226.38-9.84-9.80
OPT125m71.3231.6525.36-18.05-17.37
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#Passages#Sentences#Tokens/passage
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#Passages#Sentences#Tokens/passage
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To obtain the main response, we", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 69, + 694, + 290, + 707 + ], + "spans": [ + { + "bbox": [ + 69, + 694, + 290, + 707 + ], + "score": 1.0, + "content": "set the temperature to 0.0 and use standard beam", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 69, + 707, + 291, + 721 + ], + "spans": [ + { + "bbox": [ + 69, + 707, + 291, + 721 + ], + "score": 1.0, + "content": "search decoding. 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More details about the systems in", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 304, + 166, + 525, + 180 + ], + "spans": [ + { + "bbox": [ + 304, + 166, + 525, + 180 + ], + "score": 1.0, + "content": "SelfCheckGPT and results using other proxy LLMs", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 304, + 180, + 435, + 193 + ], + "spans": [ + { + "bbox": [ + 304, + 180, + 435, + 193 + ], + "score": 1.0, + "content": "can be found in the appendix.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 49 + }, + { + "type": "title", + "bbox": [ + 305, + 202, + 510, + 215 + ], + "lines": [ + { + "bbox": [ + 304, + 202, + 510, + 216 + ], + "spans": [ + { + "bbox": [ + 304, + 202, + 510, + 216 + ], + "score": 1.0, + "content": "7.1 Sentence-level Hallucination Detection", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 54 + }, + { + "type": "text", + "bbox": [ + 305, + 220, + 526, + 381 + ], + "lines": [ + { + "bbox": [ + 304, + 220, + 527, + 232 + ], + "spans": [ + { + "bbox": [ + 304, + 220, + 527, + 232 + ], + "score": 1.0, + "content": "First, we investigate whether our hallucination de-", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 304, + 233, + 527, + 246 + ], + "spans": [ + { + "bbox": [ + 304, + 233, + 527, + 246 + ], + "score": 1.0, + "content": "tection methods can identify the factuality of sen-", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 304, + 248, + 525, + 259 + ], + "spans": [ + { + "bbox": [ + 304, + 248, + 525, + 259 + ], + "score": 1.0, + "content": "tences. In detecting non-factual sentences, both", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 304, + 261, + 526, + 273 + ], + "spans": [ + { + "bbox": [ + 304, + 261, + 526, + 273 + ], + "score": 1.0, + "content": "major-inaccurate labels and minor-inaccurate la-", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 304, + 274, + 527, + 288 + ], + "spans": [ + { + "bbox": [ + 304, + 274, + 527, + 288 + ], + "score": 1.0, + "content": "bels are grouped together into the non-factual class,", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 304, + 288, + 527, + 300 + ], + "spans": [ + { + "bbox": [ + 304, + 288, + 527, + 300 + ], + "score": 1.0, + "content": "while the factual class refers to accurate sentences.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 304, + 300, + 526, + 315 + ], + "spans": [ + { + "bbox": [ + 304, + 300, + 526, + 315 + ], + "score": 1.0, + "content": "In addition, we consider a more challenging task of", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 304, + 315, + 525, + 329 + ], + "spans": [ + { + "bbox": [ + 304, + 315, + 525, + 329 + ], + "score": 1.0, + "content": "detecting major-inaccurate sentences in passages", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 304, + 329, + 526, + 341 + ], + "spans": [ + { + "bbox": [ + 304, + 329, + 526, + 341 + ], + "score": 1.0, + "content": "that are not total hallucination passages, which we", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 303, + 342, + 525, + 354 + ], + "spans": [ + { + "bbox": [ + 303, + 342, + 525, + 354 + ], + "score": 1.0, + "content": "refer to as non-factual∗.5 Figure 5 and Table 2", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 304, + 356, + 525, + 369 + ], + "spans": [ + { + "bbox": [ + 304, + 356, + 525, + 369 + ], + "score": 1.0, + "content": "show the performance of our approaches, where", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 304, + 370, + 483, + 382 + ], + "spans": [ + { + "bbox": [ + 304, + 370, + 483, + 382 + ], + "score": 1.0, + "content": "the following observations can be made:", + "type": "text" + } + ], + "index": 66 + } + ], + "index": 60.5 + }, + { + "type": "text", + "bbox": [ + 305, + 386, + 525, + 574 + ], + "lines": [ + { + "bbox": [ + 316, + 386, + 525, + 398 + ], + "spans": [ + { + "bbox": [ + 316, + 386, + 426, + 398 + ], + "score": 1.0, + "content": "1) LLM’s probabilities", + "type": "text" + }, + { + "bbox": [ + 426, + 388, + 434, + 398 + ], + "score": 0.74, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 386, + 525, + 398 + ], + "score": 1.0, + "content": "correlate well with", + "type": "text" + } + ], + "index": 67 + }, + { + "bbox": [ + 304, + 398, + 527, + 413 + ], + "spans": [ + { + "bbox": [ + 304, + 398, + 527, + 413 + ], + "score": 1.0, + "content": "factuality. 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This sup-", + "type": "text" + } + ], + "index": 74 + }, + { + "bbox": [ + 303, + 494, + 527, + 507 + ], + "spans": [ + { + "bbox": [ + 303, + 494, + 527, + 507 + ], + "score": 1.0, + "content": "ports the hypothesis that when the LLMs are uncer-", + "type": "text" + } + ], + "index": 75 + }, + { + "bbox": [ + 304, + 508, + 526, + 521 + ], + "spans": [ + { + "bbox": [ + 304, + 508, + 526, + 521 + ], + "score": 1.0, + "content": "tain about generated information, generated tokens", + "type": "text" + } + ], + "index": 76 + }, + { + "bbox": [ + 304, + 520, + 526, + 534 + ], + "spans": [ + { + "bbox": [ + 304, + 520, + 526, + 534 + ], + "score": 1.0, + "content": "often have higher uncertainty, paving a promising", + "type": "text" + } + ], + "index": 77 + }, + { + "bbox": [ + 304, + 534, + 527, + 548 + ], + "spans": [ + { + "bbox": [ + 304, + 534, + 527, + 548 + ], + "score": 1.0, + "content": "direction for hallucination detection approaches.", + "type": "text" + } + ], + "index": 78 + }, + { + "bbox": [ + 304, + 549, + 525, + 561 + ], + "spans": [ + { + "bbox": [ + 304, + 549, + 402, + 561 + ], + "score": 1.0, + "content": "Also, the probability", + "type": "text" + }, + { + "bbox": [ + 403, + 551, + 410, + 561 + ], + "score": 0.73, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 549, + 525, + 561 + ], + "score": 1.0, + "content": "measure performs better", + "type": "text" + } + ], + "index": 79 + }, + { + "bbox": [ + 304, + 561, + 500, + 574 + ], + "spans": [ + { + "bbox": [ + 304, + 561, + 378, + 574 + ], + "score": 1.0, + "content": "than the entropy", + "type": "text" + }, + { + "bbox": [ + 378, + 562, + 389, + 573 + ], + "score": 0.75, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 561, + 500, + 574 + ], + "score": 1.0, + "content": "measure of top-5 tokens.", + "type": "text" + } + ], + "index": 80 + } + ], + "index": 73.5 + }, + { + "type": "text", + "bbox": [ + 305, + 576, + 525, + 750 + ], + "lines": [ + { + "bbox": [ + 315, + 575, + 525, + 589 + ], + "spans": [ + { + "bbox": [ + 315, + 575, + 525, + 589 + ], + "score": 1.0, + "content": "2) Proxy LLM perform noticeably worse than", + "type": "text" + } + ], + "index": 81 + }, + { + "bbox": [ + 304, + 588, + 525, + 602 + ], + "spans": [ + { + "bbox": [ + 304, + 588, + 525, + 602 + ], + "score": 1.0, + "content": "LLM (GPT-3). 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For the proxy LLM approach, we", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 304, + 86, + 527, + 98 + ], + "spans": [ + { + "bbox": [ + 304, + 86, + 527, + 98 + ], + "score": 1.0, + "content": "use LLaMA (Touvron et al., 2023), one of the best-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 303, + 100, + 527, + 112 + ], + "spans": [ + { + "bbox": [ + 303, + 100, + 527, + 112 + ], + "score": 1.0, + "content": "performing open-source LLMs currently available.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 303, + 111, + 527, + 125 + ], + "spans": [ + { + "bbox": [ + 303, + 111, + 527, + 125 + ], + "score": 1.0, + "content": "For SelfCheckGPT-Prompt, we consider both GPT-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 303, + 126, + 525, + 140 + ], + "spans": [ + { + "bbox": [ + 303, + 126, + 525, + 140 + ], + "score": 1.0, + "content": "3 (which is the same LLM that is used to generate", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 303, + 140, + 526, + 152 + ], + "spans": [ + { + "bbox": [ + 303, + 140, + 526, + 152 + ], + "score": 1.0, + "content": "passages) as well as the newly released ChatGPT", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 304, + 154, + 525, + 166 + ], + "spans": [ + { + "bbox": [ + 304, + 154, + 525, + 166 + ], + "score": 1.0, + "content": "(gpt-3.5-turbo). More details about the systems in", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 304, + 166, + 525, + 180 + ], + "spans": [ + { + "bbox": [ + 304, + 166, + 525, + 180 + ], + "score": 1.0, + "content": "SelfCheckGPT and results using other proxy LLMs", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 304, + 180, + 435, + 193 + ], + "spans": [ + { + "bbox": [ + 304, + 180, + 435, + 193 + ], + "score": 1.0, + "content": "can be found in the appendix.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 49, + "bbox_fs": [ + 303, + 70, + 527, + 193 + ] + }, + { + "type": "title", + "bbox": [ + 305, + 202, + 510, + 215 + ], + "lines": [ + { + "bbox": [ + 304, + 202, + 510, + 216 + ], + "spans": [ + { + "bbox": [ + 304, + 202, + 510, + 216 + ], + "score": 1.0, + "content": "7.1 Sentence-level Hallucination Detection", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 54 + }, + { + "type": "text", + "bbox": [ + 305, + 220, + 526, + 381 + ], + "lines": [ + { + "bbox": [ + 304, + 220, + 527, + 232 + ], + "spans": [ + { + "bbox": [ + 304, + 220, + 527, + 232 + ], + "score": 1.0, + "content": "First, we investigate whether our hallucination de-", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 304, + 233, + 527, + 246 + ], + "spans": [ + { + "bbox": [ + 304, + 233, + 527, + 246 + ], + "score": 1.0, + "content": "tection methods can identify the factuality of sen-", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 304, + 248, + 525, + 259 + ], + "spans": [ + { + "bbox": [ + 304, + 248, + 525, + 259 + ], + "score": 1.0, + "content": "tences. In detecting non-factual sentences, both", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 304, + 261, + 526, + 273 + ], + "spans": [ + { + "bbox": [ + 304, + 261, + 526, + 273 + ], + "score": 1.0, + "content": "major-inaccurate labels and minor-inaccurate la-", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 304, + 274, + 527, + 288 + ], + "spans": [ + { + "bbox": [ + 304, + 274, + 527, + 288 + ], + "score": 1.0, + "content": "bels are grouped together into the non-factual class,", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 304, + 288, + 527, + 300 + ], + "spans": [ + { + "bbox": [ + 304, + 288, + 527, + 300 + ], + "score": 1.0, + "content": "while the factual class refers to accurate sentences.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 304, + 300, + 526, + 315 + ], + "spans": [ + { + "bbox": [ + 304, + 300, + 526, + 315 + ], + "score": 1.0, + "content": "In addition, we consider a more challenging task of", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 304, + 315, + 525, + 329 + ], + "spans": [ + { + "bbox": [ + 304, + 315, + 525, + 329 + ], + "score": 1.0, + "content": "detecting major-inaccurate sentences in passages", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 304, + 329, + 526, + 341 + ], + "spans": [ + { + "bbox": [ + 304, + 329, + 526, + 341 + ], + "score": 1.0, + "content": "that are not total hallucination passages, which we", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 303, + 342, + 525, + 354 + ], + "spans": [ + { + "bbox": [ + 303, + 342, + 525, + 354 + ], + "score": 1.0, + "content": "refer to as non-factual∗.5 Figure 5 and Table 2", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 304, + 356, + 525, + 369 + ], + "spans": [ + { + "bbox": [ + 304, + 356, + 525, + 369 + ], + "score": 1.0, + "content": "show the performance of our approaches, where", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 304, + 370, + 483, + 382 + ], + "spans": [ + { + "bbox": [ + 304, + 370, + 483, + 382 + ], + "score": 1.0, + "content": "the following observations can be made:", + "type": "text" + } + ], + "index": 66 + } + ], + "index": 60.5, + "bbox_fs": [ + 303, + 220, + 527, + 382 + ] + }, + { + "type": "text", + "bbox": [ + 305, + 386, + 525, + 574 + ], + "lines": [ + { + "bbox": [ + 316, + 386, + 525, + 398 + ], + "spans": [ + { + "bbox": [ + 316, + 386, + 426, + 398 + ], + "score": 1.0, + "content": "1) LLM’s probabilities", + "type": "text" + }, + { + "bbox": [ + 426, + 388, + 434, + 398 + ], + "score": 0.74, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 386, + 525, + 398 + ], + "score": 1.0, + "content": "correlate well with", + "type": "text" + } + ], + "index": 67 + }, + { + "bbox": [ + 304, + 398, + 527, + 413 + ], + "spans": [ + { + "bbox": [ + 304, + 398, + 527, + 413 + ], + "score": 1.0, + "content": "factuality. Our results show that probability mea-", + "type": "text" + } + ], + "index": 68 + }, + { + "bbox": [ + 304, + 413, + 526, + 426 + ], + "spans": [ + { + "bbox": [ + 304, + 413, + 526, + 426 + ], + "score": 1.0, + "content": "sures (from the LLM generating the texts) are", + "type": "text" + } + ], + "index": 69 + }, + { + "bbox": [ + 303, + 426, + 526, + 439 + ], + "spans": [ + { + "bbox": [ + 303, + 426, + 526, + 439 + ], + "score": 1.0, + "content": "strong baselines for assessing factuality. Factual", + "type": "text" + } + ], + "index": 70 + }, + { + "bbox": [ + 304, + 441, + 526, + 451 + ], + "spans": [ + { + "bbox": [ + 304, + 441, + 526, + 451 + ], + "score": 1.0, + "content": "sentences can be identified with an AUC-PR of", + "type": "text" + } + ], + "index": 71 + }, + { + "bbox": [ + 304, + 453, + 525, + 466 + ], + "spans": [ + { + "bbox": [ + 304, + 453, + 525, + 466 + ], + "score": 1.0, + "content": "53.97, significantly better than the random baseline", + "type": "text" + } + ], + "index": 72 + }, + { + "bbox": [ + 304, + 466, + 527, + 480 + ], + "spans": [ + { + "bbox": [ + 304, + 466, + 527, + 480 + ], + "score": 1.0, + "content": "of 27.04, with the AUC-PR for hallucination detec-", + "type": "text" + } + ], + "index": 73 + }, + { + "bbox": [ + 304, + 479, + 527, + 494 + ], + "spans": [ + { + "bbox": [ + 304, + 479, + 527, + 494 + ], + "score": 1.0, + "content": "tion also increasing from 72.96 to 83.21. This sup-", + "type": "text" + } + ], + "index": 74 + }, + { + "bbox": [ + 303, + 494, + 527, + 507 + ], + "spans": [ + { + "bbox": [ + 303, + 494, + 527, + 507 + ], + "score": 1.0, + "content": "ports the hypothesis that when the LLMs are uncer-", + "type": "text" + } + ], + "index": 75 + }, + { + "bbox": [ + 304, + 508, + 526, + 521 + ], + "spans": [ + { + "bbox": [ + 304, + 508, + 526, + 521 + ], + "score": 1.0, + "content": "tain about generated information, generated tokens", + "type": "text" + } + ], + "index": 76 + }, + { + "bbox": [ + 304, + 520, + 526, + 534 + ], + "spans": [ + { + "bbox": [ + 304, + 520, + 526, + 534 + ], + "score": 1.0, + "content": "often have higher uncertainty, paving a promising", + "type": "text" + } + ], + "index": 77 + }, + { + "bbox": [ + 304, + 534, + 527, + 548 + ], + "spans": [ + { + "bbox": [ + 304, + 534, + 527, + 548 + ], + "score": 1.0, + "content": "direction for hallucination detection approaches.", + "type": "text" + } + ], + "index": 78 + }, + { + "bbox": [ + 304, + 549, + 525, + 561 + ], + "spans": [ + { + "bbox": [ + 304, + 549, + 402, + 561 + ], + "score": 1.0, + "content": "Also, the probability", + "type": "text" + }, + { + "bbox": [ + 403, + 551, + 410, + 561 + ], + "score": 0.73, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 549, + 525, + 561 + ], + "score": 1.0, + "content": "measure performs better", + "type": "text" + } + ], + "index": 79 + }, + { + "bbox": [ + 304, + 561, + 500, + 574 + ], + "spans": [ + { + "bbox": [ + 304, + 561, + 378, + 574 + ], + "score": 1.0, + "content": "than the entropy", + "type": "text" + }, + { + "bbox": [ + 378, + 562, + 389, + 573 + ], + "score": 0.75, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 561, + 500, + 574 + ], + "score": 1.0, + "content": "measure of top-5 tokens.", + "type": "text" + } + ], + "index": 80 + } + ], + "index": 73.5, + "bbox_fs": [ + 303, + 386, + 527, + 574 + ] + }, + { + "type": "text", + "bbox": [ + 305, + 576, + 525, + 750 + ], + "lines": [ + { + "bbox": [ + 315, + 575, + 525, + 589 + ], + "spans": [ + { + "bbox": [ + 315, + 575, + 525, + 589 + ], + "score": 1.0, + "content": "2) Proxy LLM perform noticeably worse than", + "type": "text" + } + ], + "index": 81 + }, + { + "bbox": [ + 304, + 588, + 525, + 602 + ], + "spans": [ + { + "bbox": [ + 304, + 588, + 525, + 602 + ], + "score": 1.0, + "content": "LLM (GPT-3). The results of proxy LLM (based", + "type": "text" + } + ], + "index": 82 + }, + { + "bbox": [ + 304, + 603, + 525, + 615 + ], + "spans": [ + { + "bbox": [ + 304, + 603, + 468, + 615 + ], + "score": 1.0, + "content": "on LLaMA) show that the entropy", + "type": "text" + }, + { + "bbox": [ + 468, + 603, + 479, + 614 + ], + "score": 0.66, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 603, + 525, + 615 + ], + "score": 1.0, + "content": "measures", + "type": "text" + } + ], + "index": 83 + }, + { + "bbox": [ + 304, + 616, + 527, + 630 + ], + "spans": [ + { + "bbox": [ + 304, + 616, + 527, + 630 + ], + "score": 1.0, + "content": "outperform the probability measures. This sug-", + "type": "text" + } + ], + "index": 84 + }, + { + "bbox": [ + 304, + 630, + 525, + 642 + ], + "spans": [ + { + "bbox": [ + 304, + 630, + 525, + 642 + ], + "score": 1.0, + "content": "gests that using richer uncertainty information can", + "type": "text" + } + ], + "index": 85 + }, + { + "bbox": [ + 304, + 643, + 526, + 657 + ], + "spans": [ + { + "bbox": [ + 304, + 643, + 526, + 657 + ], + "score": 1.0, + "content": "improve factuality/hallucination detection perfor-", + "type": "text" + } + ], + "index": 86 + }, + { + "bbox": [ + 304, + 657, + 525, + 671 + ], + "spans": [ + { + "bbox": [ + 304, + 657, + 525, + 671 + ], + "score": 1.0, + "content": "mance, and that previously the entropy of top-5", + "type": "text" + } + ], + "index": 87 + }, + { + "bbox": [ + 304, + 670, + 525, + 683 + ], + "spans": [ + { + "bbox": [ + 304, + 670, + 525, + 683 + ], + "score": 1.0, + "content": "tokens is likely to be insufficient. 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We believe this poor performance", + "type": "text" + } + ], + "index": 91 + }, + { + "bbox": [ + 304, + 723, + 525, + 739 + ], + "spans": [ + { + "bbox": [ + 304, + 723, + 525, + 739 + ], + "score": 1.0, + "content": "occurs as different LLMs have different generating", + "type": "text" + } + ], + "index": 92 + }, + { + "bbox": [ + 303, + 738, + 526, + 752 + ], + "spans": [ + { + "bbox": [ + 303, + 738, + 526, + 752 + ], + "score": 1.0, + "content": "patterns, and so even common tokens may have a", + "type": "text" + } + ], + "index": 93 + }, + { + "bbox": [ + 68, + 570, + 291, + 585 + ], + "spans": [ + { + "bbox": [ + 68, + 570, + 291, + 585 + ], + "score": 1.0, + "content": "low probability in situations where the response", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 68, + 583, + 290, + 598 + ], + "spans": [ + { + "bbox": [ + 68, + 583, + 290, + 598 + ], + "score": 1.0, + "content": "is dissimilar to the generation style of the proxy", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 68, + 598, + 291, + 610 + ], + "spans": [ + { + "bbox": [ + 68, + 598, + 291, + 610 + ], + "score": 1.0, + "content": "LLM. 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MethodSentence-level (AUC-PR)Passage-level (Corr.) Pearson Spearman
NonFactNonFact*Factual
Random72.9629.7227.04
GPT-3 (text-davinci-003)'s probabilities (LLM, grey-box)
Avg(-logp)83.2138.89 53.9757.0453.93
Avg(H)t80.7337.0952.07 55.5250.87
Max(-logp)87.5135.8850.46 57.8355.69
Max(H)t85.7532.4350.27 52.4849.55
LLaMA-30B's probabilities (Proxy LLM, black-box)
Avg(-logp)75.4330.32 41.2921.7220.20
Avg(H)80.8039.0142.97 33.8039.49
Max(-logp)74.0127.14 31.08-22.83-22.71
Max(H)80.9237.32 37.9035.5738.94
SelfCheckGPT (black-box)
w/BERTScore81.9645.9644.2358.1855.90
w/ QA84.2640.0648.1461.0759.29
w/ Unigram (max)85.6341.0458.4764.7164.91
w/ NLI92.5045.1766.0874.1473.78
w/ Prompt93.4253.1967.0978.3278.30
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Passage-level ranking performances are measured by Pearson correlation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 69, + 529, + 525, + 539 + ], + "spans": [ + { + "bbox": [ + 69, + 529, + 525, + 539 + ], + "score": 1.0, + "content": "coefficient and Spearman’s rank correlation coefficient w.r.t. human judgements. The results of other proxy LLMs, in addition to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 68, + 536, + 526, + 552 + ], + "spans": [ + { + "bbox": [ + 68, + 536, + 526, + 552 + ], + "score": 1.0, + "content": "LLaMA, can be found in the appendix. †GPT-3 API returns the top-5 tokens’ probabilities, which are used to compute entropy.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 69, + 570, + 289, + 637 + ], + "lines": [ + { + "bbox": [ + 68, + 570, + 291, + 585 + ], + "spans": [ + { + "bbox": [ + 68, + 570, + 291, + 585 + ], + "score": 1.0, + "content": "low probability in situations where the response", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 68, + 583, + 290, + 598 + ], + "spans": [ + { + "bbox": [ + 68, + 583, + 290, + 598 + ], + "score": 1.0, + "content": "is dissimilar to the generation style of the proxy", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 68, + 598, + 291, + 610 + ], + "spans": [ + { + "bbox": [ + 68, + 598, + 291, + 610 + ], + "score": 1.0, + "content": "LLM. 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MethodSentence-level (AUC-PR)Passage-level (Corr.) Pearson Spearman
NonFactNonFact*Factual
Random72.9629.7227.04
GPT-3 (text-davinci-003)'s probabilities (LLM, grey-box)
Avg(-logp)83.2138.89 53.9757.0453.93
Avg(H)t80.7337.0952.07 55.5250.87
Max(-logp)87.5135.8850.46 57.8355.69
Max(H)t85.7532.4350.27 52.4849.55
LLaMA-30B's probabilities (Proxy LLM, black-box)
Avg(-logp)75.4330.32 41.2921.7220.20
Avg(H)80.8039.0142.97 33.8039.49
Max(-logp)74.0127.14 31.08-22.83-22.71
Max(H)80.9237.32 37.9035.5738.94
SelfCheckGPT (black-box)
w/BERTScore81.9645.9644.2358.1855.90
w/ QA84.2640.0648.1461.0759.29
w/ Unigram (max)85.6341.0458.4764.7164.91
w/ NLI92.5045.1766.0874.1473.78
w/ Prompt93.4253.1967.0978.3278.30
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In this exper-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 304, + 332, + 525, + 345 + ], + "spans": [ + { + "bbox": [ + 304, + 332, + 525, + 345 + ], + "score": 1.0, + "content": "iment, we use the first paragraph of each concept", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 305, + 345, + 432, + 357 + ], + "spans": [ + { + "bbox": [ + 305, + 345, + 432, + 357 + ], + "score": 1.0, + "content": "that is available in WikiBio.6", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44 + }, + { + "type": "table", + "bbox": [ + 305, + 365, + 525, + 523 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 305, + 365, + 525, + 523 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 305, + 365, + 525, + 523 + ], + "spans": [ + { + "bbox": [ + 305, + 365, + 525, + 523 + ], + "score": 0.982, + "html": "
MethodSent-lvl AUC-PR NoFac NoFac*FactPassage-lvl Pear. Spear.
SelfCk-BERT81.9645.9644.2358.18 55.90
WikiBio+BERT81.3240.6249.1558.71 55.80
SelfCk-QA84.2640.0648.1461.07 59.29
WikiBio+QA84.1845.4052.0357.26 53.62
SelfCk-1gm85.6341.0458.4764.71 64.91
WikiBio+1gm80.4331.4740.5328.67 26.70
SelfCk-NLI92.5045.1766.0874.14 73.78
WikiBio+NLI91.1848.1471.6178.84 80.00
SelfCk-Prompt93.4253.1967.0978.30
WikiBio+Prompt93.5965.2673.1178.32 85.90 86.11
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Unsurprisingly, the proxy LLM approach", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 68, + 761, + 278, + 774 + ], + "spans": [ + { + "bbox": [ + 68, + 761, + 278, + 774 + ], + "score": 1.0, + "content": "again achieves considerably lower correlations.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5, + "bbox_fs": [ + 68, + 666, + 291, + 774 + ] + }, + { + "type": "title", + "bbox": [ + 305, + 257, + 408, + 270 + ], + "lines": [ + { + "bbox": [ + 303, + 255, + 410, + 272 + ], + "spans": [ + { + "bbox": [ + 303, + 255, + 410, + 272 + ], + "score": 1.0, + "content": "7.3 Ablation Studies", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "title", + "bbox": [ + 306, + 275, + 507, + 288 + ], + "lines": [ + { + "bbox": [ + 304, + 275, + 507, + 289 + ], + "spans": [ + { + "bbox": [ + 304, + 275, + 507, + 289 + ], + "score": 1.0, + "content": "External Knowledge (instead of SelfCheck)", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 305, + 291, + 525, + 357 + ], + "lines": [ + { + "bbox": [ + 304, + 291, + 525, + 304 + ], + "spans": [ + { + "bbox": [ + 304, + 291, + 525, + 304 + ], + "score": 1.0, + "content": "If external knowledge is available, one can measure", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 304, + 305, + 526, + 317 + ], + "spans": [ + { + "bbox": [ + 304, + 305, + 526, + 317 + ], + "score": 1.0, + "content": "the informational consistency between the LLM", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 304, + 319, + 527, + 331 + ], + "spans": [ + { + "bbox": [ + 304, + 319, + 527, + 331 + ], + "score": 1.0, + "content": "response and the information source. In this exper-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 304, + 332, + 525, + 345 + ], + "spans": [ + { + "bbox": [ + 304, + 332, + 525, + 345 + ], + "score": 1.0, + "content": "iment, we use the first paragraph of each concept", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 305, + 345, + 432, + 357 + ], + "spans": [ + { + "bbox": [ + 305, + 345, + 432, + 357 + ], + "score": 1.0, + "content": "that is available in WikiBio.6", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44, + "bbox_fs": [ + 304, + 291, + 527, + 357 + ] + }, + { + "type": "table", + "bbox": [ + 305, + 365, + 525, + 523 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 305, + 365, + 525, + 523 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 305, + 365, + 525, + 523 + ], + "spans": [ + { + "bbox": [ + 305, + 365, + 525, + 523 + ], + "score": 0.982, + "html": "
MethodSent-lvl AUC-PR NoFac NoFac*FactPassage-lvl Pear. Spear.
SelfCk-BERT81.9645.9644.2358.18 55.90
WikiBio+BERT81.3240.6249.1558.71 55.80
SelfCk-QA84.2640.0648.1461.07 59.29
WikiBio+QA84.1845.4052.0357.26 53.62
SelfCk-1gm85.6341.0458.4764.71 64.91
WikiBio+1gm80.4331.4740.5328.67 26.70
SelfCk-NLI92.5045.1766.0874.14 73.78
WikiBio+NLI91.1848.1471.6178.84 80.00
SelfCk-Prompt93.4253.1967.0978.30
WikiBio+Prompt93.5965.2673.1178.32 85.90 86.11
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Text-GenSelfCk-PromptNPear.Spear.
GPT-3ChatGPT2078.3278.30
GPT-3ChatGPT476.4776.41
GPT-3GPT-3473.1174.69
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We", + "type": "text" + } + ], + "index": 84 + }, + { + "bbox": [ + 304, + 734, + 525, + 747 + ], + "spans": [ + { + "bbox": [ + 304, + 734, + 525, + 747 + ], + "score": 1.0, + "content": "would like to thank the anonymous reviewers for", + "type": "text" + } + ], + "index": 85 + }, + { + "bbox": [ + 304, + 747, + 411, + 761 + ], + "spans": [ + { + "bbox": [ + 304, + 747, + 411, + 761 + ], + "score": 1.0, + "content": "their helpful comments.", + "type": "text" + } + ], + "index": 86 + } + ], + "index": 83 + } + ], + "page_idx": 8, + "page_size": [ + 595, + 841 + ], + "discarded_blocks": [], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 69, + 72, + 290, + 97 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 68, + 71, + 291, + 99 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 71, + 112, + 249, + 125 + ], + "lines": [ + { + "bbox": [ + 69, + 111, + 250, + 127 + ], + "spans": [ + { + "bbox": [ + 69, + 111, + 250, + 127 + ], + "score": 1.0, + "content": "The Impact of the Number of Samples", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 70, + 132, + 290, + 266 + ], + "lines": [ + { + "bbox": [ + 68, + 131, + 291, + 146 + ], + "spans": [ + { + "bbox": [ + 68, + 131, + 291, + 146 + ], + "score": 1.0, + "content": "Although sample-based methods are expected to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 68, + 146, + 290, + 159 + ], + "spans": [ + { + "bbox": [ + 68, + 146, + 290, + 159 + ], + "score": 1.0, + "content": "perform better when more samples are drawn, this", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 68, + 159, + 291, + 172 + ], + "spans": [ + { + "bbox": [ + 68, + 159, + 291, + 172 + ], + "score": 1.0, + "content": "has higher computational costs. 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n-gramSent-lvl AUC-PRPassage-lvl
NoFacNoFac*FactPear.Spear.
Avg(-logp)
1-gram81.52 82.94 83.5640.33 44.3841.76 53.9940.68 58.8439.22
2-gram52.8158.11
3-gram44.64 43.5562.21 63.00
4-gram 83.80 5-gram 83.4554.25 53.9861.98 63.64 60.68 62.96
42.31
Max(-logp) 1-gram85.6341.0458.4764.7164.91
2-gram85.2639.2958.2962.4866.04
3-gram84.9737.1057.0857.3460.49
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The full results are provided in Table 8.", + "type": "text" + } + ], + "index": 85 + } + ], + "index": 83.5 + } + ], + "index": 78.25 + }, + { + "type": "title", + "bbox": [ + 70, + 712, + 259, + 726 + ], + "lines": [ + { + "bbox": [ + 67, + 711, + 260, + 730 + ], + "spans": [ + { + "bbox": [ + 67, + 711, + 260, + 730 + ], + "score": 1.0, + "content": "D Additional Experimental Results", + "type": "text" + } + ], + "index": 79 + } + ], + "index": 79 + }, + { + "type": "text", + "bbox": [ + 69, + 734, + 291, + 760 + ], + "lines": [ + { + "bbox": [ + 69, + 734, + 292, + 748 + ], + "spans": [ + { + "bbox": [ + 69, + 734, + 292, + 748 + ], + "score": 1.0, + "content": "Here, we provide experimental results that are com-", + "type": "text" + } + ], + "index": 80 + }, + { + "bbox": [ + 68, + 747, + 292, + 761 + ], + "spans": [ + { + "bbox": [ + 68, + 747, + 292, + 761 + ], + "score": 1.0, + "content": "plementary to those presented in the main paper.", + "type": "text" + } + ], + "index": 81 + } + ], + "index": 80.5, + "bbox_fs": [ + 68, + 734, + 292, + 761 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 70, + 93, + 523, + 197 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 70, + 93, + 523, + 197 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 70, + 93, + 523, + 197 + ], + "spans": [ + { + "bbox": [ + 70, + 93, + 523, + 197 + ], + "score": 0.97, + "type": "image", + "image_path": "b7d3c26f859d8ae31a62ff0ec3cbd1ace56a5bb4c3ea8edfb087b4e0f44b6f2e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 70, + 93, + 523, + 127.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 70, + 127.66666666666666, + 523, + 162.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 70, + 162.33333333333331, + 523, + 196.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 66, + 206, + 523, + 227 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 69, + 205, + 525, + 218 + ], + "spans": [ + { + "bbox": [ + 69, + 205, + 283, + 218 + ], + "score": 1.0, + "content": "Figure 10: Scatter plot of passage-level scores where Y-axis", + "type": "text" + }, + { + "bbox": [ + 284, + 208, + 292, + 215 + ], + "score": 0.76, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 205, + 372, + 218 + ], + "score": 1.0, + "content": "Method scores, X-axis", + "type": "text" + }, + { + "bbox": [ + 372, + 208, + 380, + 215 + ], + "score": 0.78, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 205, + 525, + 218 + ], + "score": 1.0, + "content": "Human scores. Correlations are reported", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 69, + 216, + 295, + 227 + ], + "spans": [ + { + "bbox": [ + 69, + 216, + 295, + 227 + ], + "score": 1.0, + "content": "in Table 2. This figure provides results in addition to Figure 6.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "table", + "bbox": [ + 149, + 276, + 444, + 722 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 149, + 276, + 444, + 722 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 149, + 276, + 444, + 722 + ], + "spans": [ + { + "bbox": [ + 149, + 276, + 444, + 722 + ], + "score": 0.968, + "html": "
LLMSizeSentence-level (AUC-PR)Passage-level (Corr.)
NonFactNonFact*FactualPearsonSpearman
Random72.9629.7227.04
Avg(-logp) Method
LLaMA30B75.4330.3241.2921.7220.20
LLaMA13B74.1630.0137.3613.3312.89
LLaMA7B71.6927.8731.30-2.71-2.59
OPT30B67.7024.4325.04-32.07-31.45
NeoX20B69.0024.3826.18-31.79-34.15
OPT13B67.4624.3925.20-33.05-32.79
GPT-J6B67.5124.2824.26-38.80-40.05
OPT1.3B66.1924.4723.47-35.20-38.95
OPT125m66.6325.3123.07-30.38-37.54
Avg(H) Method
LLaMA30B80.8039.0142.9733.8039.49
LLaMA13B80.6338.9840.5929.4333.12
LLaMA7B78.6737.2233.8119.4421.79
OPT30B77.1333.6729.55-0.433.43
NeoX20B77.4032.7830.135.417.43
OPT13B76.9333.7129.680.251.39
GPT-J6B76.1533.2928.30-2.50-1.37
OPT1.3B74.0531.9126.33-10.59-10.00
OPT125m71.5130.8825.36-14.16-13.76
Max(-logp) Method
LLaMA30B74.0127.1431.08-22.83-22.71
LLaMA13B71.1226.7828.82-34.93-31.70
LLaMA7B69.5725.9126.54-42.57-38.24
OPT30B67.3224.4024.32-49.51-45.50
NeoX20B67.5123.8824.82-47.96-44.54
OPT13B67.3624.6724.46-50.15-44.42
GPT-J6B67.5823.9423.93-51.23-47.68
OPT1.3B68.1625.8524.66-45.60-42.39
OPT125m69.2327.6624.14-39.22-37.18
Max(H) Method
LLaMA30B80.9237.3237.9035.5738.94
LLaMA13B80.9837.9436.0132.0734.01
LLaMA7B79.6535.5731.3222.1022.53
OPT30B76.5833.4429.311.636.41
NeoX20B76.9831.9629.135.979.31
OPT13B76.2632.8129.251.422.82
GPT-J6B75.3032.5128.13-2.141.41
OPT1.3B73.7931.4226.38-9.84-9.80
OPT125m71.3231.6525.36-18.05-17.37
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LLMSizeSentence-level (AUC-PR)Passage-level (Corr.)
NonFactNonFact*FactualPearsonSpearman
Random72.9629.7227.04
Avg(-logp) Method
LLaMA30B75.4330.3241.2921.7220.20
LLaMA13B74.1630.0137.3613.3312.89
LLaMA7B71.6927.8731.30-2.71-2.59
OPT30B67.7024.4325.04-32.07-31.45
NeoX20B69.0024.3826.18-31.79-34.15
OPT13B67.4624.3925.20-33.05-32.79
GPT-J6B67.5124.2824.26-38.80-40.05
OPT1.3B66.1924.4723.47-35.20-38.95
OPT125m66.6325.3123.07-30.38-37.54
Avg(H) Method
LLaMA30B80.8039.0142.9733.8039.49
LLaMA13B80.6338.9840.5929.4333.12
LLaMA7B78.6737.2233.8119.4421.79
OPT30B77.1333.6729.55-0.433.43
NeoX20B77.4032.7830.135.417.43
OPT13B76.9333.7129.680.251.39
GPT-J6B76.1533.2928.30-2.50-1.37
OPT1.3B74.0531.9126.33-10.59-10.00
OPT125m71.5130.8825.36-14.16-13.76
Max(-logp) Method
LLaMA30B74.0127.1431.08-22.83-22.71
LLaMA13B71.1226.7828.82-34.93-31.70
LLaMA7B69.5725.9126.54-42.57-38.24
OPT30B67.3224.4024.32-49.51-45.50
NeoX20B67.5123.8824.82-47.96-44.54
OPT13B67.3624.6724.46-50.15-44.42
GPT-J6B67.5823.9423.93-51.23-47.68
OPT1.3B68.1625.8524.66-45.60-42.39
OPT125m69.2327.6624.14-39.22-37.18
Max(H) Method
LLaMA30B80.9237.3237.9035.5738.94
LLaMA13B80.9837.9436.0132.0734.01
LLaMA7B79.6535.5731.3222.1022.53
OPT30B76.5833.4429.311.636.41
NeoX20B76.9831.9629.135.979.31
OPT13B76.2632.8129.251.422.82
GPT-J6B75.3032.5128.13-2.141.41
OPT1.3B73.7931.4226.38-9.84-9.80
OPT125m71.3231.6525.36-18.05-17.37
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PropertiesDeepLabV3+HRNet SETRSegFormerSegNeXt
Strong encoder Multi-scale interactionXX
Spatial attentionX√ XX×
Computational complexity0(n)0(n)O(n2)O(n2)
O(n)
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PropertiesDeepLabV3+HRNet SETRSegFormerSegNeXt
Strong encoder Multi-scale interactionXX
Spatial attentionX√ XX×
Computational complexity0(n)0(n)O(n2)O(n2)
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Based on the above observation, we argue a successful", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "semantic segmentation model should have the following characteristics: (i) A strong backbone", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 336, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 505, + 347 + ], + "score": 1.0, + "content": "network as encoder. Compared to previous CNN-based models, the performance improvement of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "transformer-based models is mostly from a stronger backbone network. 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This is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "especially crucial when dealing with high-resolution images from remote sensing and urban scenes.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 416, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Taking the aforementioned analysis into account, in this paper, we rethink the design of convolutional", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 429, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 440 + ], + "score": 1.0, + "content": "attention and propose an efficient yet effective architecture for semantic segmentation. 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We found", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "such a simple way to build spatial attention is more efficient than both the standard convolutions", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 494, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 505, + 505 + ], + "score": 1.0, + "content": "and self-attention in spatial information encoding. For decoder, we collect multi-level features from", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "score": 1.0, + "content": "different stages and use Hamburger [22] to further extract global context. Under this setting, our", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "method can obtain multi-scale context from local to global, achieve adaptability in spatial and channel", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 526, + 361, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 361, + 539 + ], + "score": 1.0, + "content": "dimensions, and aggregate information from low to high levels.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 542, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 106, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "Our network, termed SegNeXt, is mostly composed of convolutional operations except the decoder", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "score": 1.0, + "content": "part, which contains a decomposition-based Hamburger module [22] (Ham) for global information", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "extraction. This makes our SegNeXt much more efficient than previous segmentation methods that", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "score": 1.0, + "content": "heavily rely on transformers. As shown in Fig. 1, SegNeXt outperforms recent transformer-based", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 431, + 599 + ], + "score": 1.0, + "content": "methods significantly. 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Larger circles mean more parameters.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "We can see that our SegNeXt achieves the best trade-off between segmentation performance and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 267, + 214, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 214, + 280 + ], + "score": 1.0, + "content": "computational complexity.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 505, + 412 + ], + "lines": [ + { + "bbox": [ + 105, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "By revisiting previous successful semantic segmentation works, we summarize several key properties", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "different models possess as shown in Tab. 1. Based on the above observation, we argue a successful", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "semantic segmentation model should have the following characteristics: (i) A strong backbone", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 336, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 505, + 347 + ], + "score": 1.0, + "content": "network as encoder. Compared to previous CNN-based models, the performance improvement of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "transformer-based models is mostly from a stronger backbone network. (ii) Multi-scale information", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "interaction. Different from the image classification task that mostly identifies a single object, semantic", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 368, + 507, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 507, + 381 + ], + "score": 1.0, + "content": "segmentation is a dense prediction task and hence needs to process objects of varying sizes in a", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "single image. (iii) Spatial attention. Spatial attention allows models to perform segmentation through", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "prioritization of areas within the semantic regions. (iv) Low computational complexity. This is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "especially crucial when dealing with high-resolution images from remote sensing and urban scenes.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 303, + 507, + 414 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 416, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Taking the aforementioned analysis into account, in this paper, we rethink the design of convolutional", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 429, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 106, + 429, + 505, + 440 + ], + "score": 1.0, + "content": "attention and propose an efficient yet effective architecture for semantic segmentation. Unlike previous", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 439, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "transformer-based models that use convolutions in decoders as feature refiners, our method inverts", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "score": 1.0, + "content": "the transformer-convolution encoder-decoder architecture. Specifically, for each block in our encoder,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 473 + ], + "score": 1.0, + "content": "we renovate the design of conventional convolutional blocks and utilize multi-scale convolutional", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "features to evoke spatial attention via a simple element-wise multiplication following [25]. We found", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 483, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 495 + ], + "score": 1.0, + "content": "such a simple way to build spatial attention is more efficient than both the standard convolutions", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 494, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 494, + 505, + 505 + ], + "score": 1.0, + "content": "and self-attention in spatial information encoding. For decoder, we collect multi-level features from", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "score": 1.0, + "content": "different stages and use Hamburger [22] to further extract global context. Under this setting, our", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "method can obtain multi-scale context from local to global, achieve adaptability in spatial and channel", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 526, + 361, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 361, + 539 + ], + "score": 1.0, + "content": "dimensions, and aggregate information from low to high levels.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 417, + 506, + 539 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 542, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 106, + 542, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 505, + 555 + ], + "score": 1.0, + "content": "Our network, termed SegNeXt, is mostly composed of convolutional operations except the decoder", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "score": 1.0, + "content": "part, which contains a decomposition-based Hamburger module [22] (Ham) for global information", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 577 + ], + "score": 1.0, + "content": "extraction. This makes our SegNeXt much more efficient than previous segmentation methods that", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 587 + ], + "score": 1.0, + "content": "heavily rely on transformers. As shown in Fig. 1, SegNeXt outperforms recent transformer-based", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 586, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 431, + 599 + ], + "score": 1.0, + "content": "methods significantly. 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(13.9M vs. 27.6M)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 608, + 414, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 414, + 621 + ], + "score": 1.0, + "content": "when dealing with high-resolution urban scenes from the Cityscapes dataset.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 542, + 506, + 621 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 624, + 303, + 635 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 304, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 304, + 637 + ], + "score": 1.0, + "content": "Our contributions can be summarized as follows:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36, + "bbox_fs": [ + 106, + 623, + 304, + 637 + ] + }, + { + "type": "list", + "bbox": [ + 132, + 648, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 133, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 133, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "• 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Since FCN [60] was proposed,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 174, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 506, + 189 + ], + "score": 1.0, + "content": "convolutional neural networks (CNNs) [1, 71, 98, 106, 20, 99, 79, 21, 51] have achieved great", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "success and become a popular architecture for semantic segmentation. Recently, transformer-based", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "methods [108, 90, 100, 73, 70, 50, 10, 9] have shown great potentials and outperform CNN-based", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 207, + 146, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 146, + 221 + ], + "score": 1.0, + "content": "methods.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 224, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "score": 1.0, + "content": "In the era of deep learning, the architecture of segmentation models can be roughly divided into", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 248 + ], + "score": 1.0, + "content": "two parts: encoder and decoder. For the encoder, researchers usually adopt popular classification", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 246, + 507, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 507, + 259 + ], + "score": 1.0, + "content": "networks (e.g., ResNet [28], ResNeXt [91] and DenseNet [33]) instead of tailored architecture.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 256, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 271 + ], + "score": 1.0, + "content": "However, semantic segmentation is a kind of dense prediction task, which is different from image", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "score": 1.0, + "content": "classification. The improvement in classification may not appear in the challenging segmentation", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "task [29]. Thus, some tailored encoders appear, including Res2Net [21], HRNet [79], SETR [108],", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "SegFormer [90], HRFormer [100], MPViT [44], DPT [70], etc. For the decoder, it is often used in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "score": 1.0, + "content": "cooperating with encoders to achieve better results. There are different types of decoders for different", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "goals, including achieving multi-scale receptive fields [106, 6, 88], collecting multi-scale semantics", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "[71, 90, 7], enlarging receptive field [4, 4, 69], strengthening edge features [107, 2, 15, 48, 102], and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 334, + 327, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 327, + 346 + ], + "score": 1.0, + "content": "capturing global context [20, 35, 101, 46, 24, 27, 103].", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 350, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "In this paper, we summarize the characteristics of those successful models designed for semantic", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 360, + 507, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 507, + 375 + ], + "score": 1.0, + "content": "segmentation and present a CNN-based model, named SegNeXt. The most related work to our paper,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 221, + 384 + ], + "score": 1.0, + "content": "is [69], which decomposes a", + "type": "text" + }, + { + "bbox": [ + 221, + 372, + 246, + 383 + ], + "score": 0.88, + "content": "k \\times k", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 372, + 349, + 384 + ], + "score": 1.0, + "content": "convolution into a pair of", + "type": "text" + }, + { + "bbox": [ + 349, + 372, + 373, + 383 + ], + "score": 0.9, + "content": "k \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 372, + 390, + 384 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 391, + 372, + 415, + 383 + ], + "score": 0.91, + "content": "1 \\times k", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "convolutions. Though", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "this work has shown large convolutional kernels matter in semantic segmentation, it ignores the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "importance of multi-scale receptive field and does not consider how to leverage these multi-scale", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 412, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 412, + 416 + ], + "score": 1.0, + "content": "features extracted by large kernels for segmentation in the form of attention.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5 + }, + { + "type": "title", + "bbox": [ + 108, + 428, + 223, + 440 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 224, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 224, + 442 + ], + "score": 1.0, + "content": "2.2 Multi-Scale Networks", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 106, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "Designing multi-scale network is one of the popular directions in computer vision. For segmentation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "models, multi-scale blocks appear in both the encoder [79, 21, 75] and the decoder [106, 98, 5] parts.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "GoogleNet [75] is one of the most related multi-scale architectures to our method, which uses a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "multi-branch structure to achieve multi-scale feature extraction. Another work that is related to our", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "method is HRNet [79]. 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These", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 541, + 495, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 495, + 555 + ], + "score": 1.0, + "content": "enable our model to achieve higher performance than the aforementioned segmentation methods.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 107, + 565, + 226, + 577 + ], + "lines": [ + { + "bbox": [ + 105, + 563, + 227, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 227, + 578 + ], + "score": 1.0, + "content": "2.3 Attention Mechanisms", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "Attention mechanism is a kind of adaptive selection process, which aims to make the network", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "score": 1.0, + "content": "focus on the important part. 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Since FCN [60] was proposed,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 174, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 506, + 189 + ], + "score": 1.0, + "content": "convolutional neural networks (CNNs) [1, 71, 98, 106, 20, 99, 79, 21, 51] have achieved great", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "success and become a popular architecture for semantic segmentation. Recently, transformer-based", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "methods [108, 90, 100, 73, 70, 50, 10, 9] have shown great potentials and outperform CNN-based", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 207, + 146, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 207, + 146, + 221 + ], + "score": 1.0, + "content": "methods.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 163, + 506, + 221 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 224, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 505, + 237 + ], + "score": 1.0, + "content": "In the era of deep learning, the architecture of segmentation models can be roughly divided into", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 505, + 248 + ], + "score": 1.0, + "content": "two parts: encoder and decoder. For the encoder, researchers usually adopt popular classification", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 246, + 507, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 507, + 259 + ], + "score": 1.0, + "content": "networks (e.g., ResNet [28], ResNeXt [91] and DenseNet [33]) instead of tailored architecture.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 256, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 506, + 271 + ], + "score": 1.0, + "content": "However, semantic segmentation is a kind of dense prediction task, which is different from image", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "score": 1.0, + "content": "classification. The improvement in classification may not appear in the challenging segmentation", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "task [29]. Thus, some tailored encoders appear, including Res2Net [21], HRNet [79], SETR [108],", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "SegFormer [90], HRFormer [100], MPViT [44], DPT [70], etc. For the decoder, it is often used in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "score": 1.0, + "content": "cooperating with encoders to achieve better results. There are different types of decoders for different", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "goals, including achieving multi-scale receptive fields [106, 6, 88], collecting multi-scale semantics", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 335 + ], + "score": 1.0, + "content": "[71, 90, 7], enlarging receptive field [4, 4, 69], strengthening edge features [107, 2, 15, 48, 102], and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 334, + 327, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 327, + 346 + ], + "score": 1.0, + "content": "capturing global context [20, 35, 101, 46, 24, 27, 103].", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 225, + 507, + 346 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 350, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 505, + 362 + ], + "score": 1.0, + "content": "In this paper, we summarize the characteristics of those successful models designed for semantic", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 360, + 507, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 507, + 375 + ], + "score": 1.0, + "content": "segmentation and present a CNN-based model, named SegNeXt. The most related work to our paper,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 221, + 384 + ], + "score": 1.0, + "content": "is [69], which decomposes a", + "type": "text" + }, + { + "bbox": [ + 221, + 372, + 246, + 383 + ], + "score": 0.88, + "content": "k \\times k", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 372, + 349, + 384 + ], + "score": 1.0, + "content": "convolution into a pair of", + "type": "text" + }, + { + "bbox": [ + 349, + 372, + 373, + 383 + ], + "score": 0.9, + "content": "k \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 372, + 390, + 384 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 391, + 372, + 415, + 383 + ], + "score": 0.91, + "content": "1 \\times k", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "convolutions. Though", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 505, + 395 + ], + "score": 1.0, + "content": "this work has shown large convolutional kernels matter in semantic segmentation, it ignores the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "importance of multi-scale receptive field and does not consider how to leverage these multi-scale", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 405, + 412, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 412, + 416 + ], + "score": 1.0, + "content": "features extracted by large kernels for segmentation in the form of attention.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 351, + 507, + 416 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 428, + 223, + 440 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 224, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 224, + 442 + ], + "score": 1.0, + "content": "2.2 Multi-Scale Networks", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 106, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "Designing multi-scale network is one of the popular directions in computer vision. For segmentation", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 459, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 506, + 472 + ], + "score": 1.0, + "content": "models, multi-scale blocks appear in both the encoder [79, 21, 75] and the decoder [106, 98, 5] parts.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "GoogleNet [75] is one of the most related multi-scale architectures to our method, which uses a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "multi-branch structure to achieve multi-scale feature extraction. Another work that is related to our", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "method is HRNet [79]. 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Differently, the goal of using channel attention is to make the network selectively attend", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "to those important objects, which has been demonstrated important in previous works [31, 8, 80].", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "Speaking of the recent popular vision transformers [16, 58, 94, 81, 82, 57, 90, 34, 56, 100, 93], they", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 662, + 306, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 306, + 674 + ], + "score": 1.0, + "content": "usually ignore adaptability in channel dimension.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 585, + 506, + 674 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "Visual attention network (VAN) [25] is the most related work to SegNeXt, which also proposes to", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "leverage the large-kernel attention (LKA) mechanism to build both channel and spatial attention.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "Though VAN has achieved great performance in image classification, it neglects the role of multi-scale", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 711, + 473, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 473, + 724 + ], + "score": 1.0, + "content": "feature aggregation during the network design, which is crucial for segmentation-like tasks.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 678, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 127, + 69, + 484, + 250 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 127, + 69, + 484, + 250 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 127, + 69, + 484, + 250 + ], + "spans": [ + { + "bbox": [ + 127, + 69, + 484, + 250 + ], + "score": 0.976, + "type": "image", + "image_path": "78097cf1e13ceb076b8e713af871442ecfc2004f49ff0e1f52fd52242eaec869.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 127, + 69, + 484, + 129.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 127, + 129.33333333333334, + 484, + 189.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 127, + 189.66666666666669, + 484, + 250.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 256, + 506, + 290 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 256, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 377, + 270 + ], + "score": 1.0, + "content": "Figure 2: Illustration of the proposed MSCA and MSCAN. Here,", + "type": "text" + }, + { + "bbox": [ + 378, + 257, + 420, + 268 + ], + "score": 0.92, + "content": "d , k _ { 1 } \\times k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 256, + 506, + 270 + ], + "score": 1.0, + "content": "means a depth-wise", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 157, + 280 + ], + "score": 1.0, + "content": "convolution", + "type": "text" + }, + { + "bbox": [ + 157, + 268, + 170, + 279 + ], + "score": 0.61, + "content": "( d )", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 268, + 260, + 280 + ], + "score": 1.0, + "content": "using a kernel size of", + "type": "text" + }, + { + "bbox": [ + 260, + 268, + 293, + 279 + ], + "score": 0.91, + "content": "k _ { 1 } \\times k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 268, + 505, + 280 + ], + "score": 1.0, + "content": ". We extract multi-scale features using convolutions", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 279, + 400, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 400, + 291 + ], + "score": 1.0, + "content": "and then utilize them as attention weights to reweigh the input of MSCA.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 107, + 302, + 166, + 315 + ], + "lines": [ + { + "bbox": [ + 104, + 300, + 168, + 317 + ], + "spans": [ + { + "bbox": [ + 104, + 300, + 168, + 317 + ], + "score": 1.0, + "content": "3 Method", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 326, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "In this section, we describe the architecture of the proposed SegNeXt in detail. Basically, we adopt", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 336, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 350 + ], + "score": 1.0, + "content": "an encoder-decoder architecture following most previous works, which is simple and easy to follow.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "title", + "bbox": [ + 107, + 361, + 228, + 373 + ], + "lines": [ + { + "bbox": [ + 105, + 360, + 230, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 230, + 374 + ], + "score": 1.0, + "content": "3.1 Convolutional Encoder", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 381, + 505, + 469 + ], + "lines": [ + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 381, + 505, + 393 + ], + "score": 1.0, + "content": "We adopt the pyramid structure for our encoder following most previous work [90, 4, 20]. 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As depicted in Fig. 2 (a), MSCA contains three parts: a depth-wise", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 505, + 437 + ], + "score": 1.0, + "content": "convolution to aggregate local information, multi-branch depth-wise strip convolutions to capture", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 436, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 215, + 448 + ], + "score": 1.0, + "content": "multi-scale context, and an", + "type": "text" + }, + { + "bbox": [ + 216, + 437, + 239, + 447 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 436, + 505, + 448 + ], + "score": 1.0, + "content": "convolution to model relationship between different channels. The", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 447, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 160, + 459 + ], + "score": 1.0, + "content": "output of the", + "type": "text" + }, + { + "bbox": [ + 160, + 447, + 184, + 457 + ], + "score": 0.9, + "content": "1 \\times 1", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 447, + 506, + 459 + ], + "score": 1.0, + "content": "convolution is used as attention weights directly to reweigh the input of MSCA.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 457, + 293, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 293, + 470 + ], + "score": 1.0, + "content": "Mathematically, our MSCA can be written as:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5 + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 468, + 396, + 517 + ], + "lines": [ + { + "bbox": [ + 215, + 468, + 396, + 517 + ], + "spans": [ + { + "bbox": [ + 215, + 468, + 396, + 517 + ], + "score": 0.88, + "content": "\\begin{array} { r l } & { \\mathrm { A t t } = \\mathrm { C o n v } _ { 1 \\times 1 } ( \\displaystyle \\sum _ { i = 0 } ^ { 3 } \\mathrm { S c a l e } _ { i } ( \\mathrm { D W } \\mathrm { - C o n v } ( F ) ) ) , } \\\\ & { \\mathrm { O u t } = \\mathrm { A t t } \\otimes F . } \\end{array}", + "type": "interline_equation", + "image_path": "361b84d5ce6f7f029cc145b2eca706927140e2fe172f4a622a97e517bd91321b.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 215, + 468, + 396, + 484.3333333333333 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 215, + 484.3333333333333, + 396, + 500.66666666666663 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 215, + 500.66666666666663, + 396, + 517.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 519, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 108, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 108, + 519, + 137, + 532 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 137, + 520, + 146, + 530 + ], + "score": 0.83, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "represents the input feature. 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Scale", + "type": "text" + }, + { + "bbox": [ + 392, + 545, + 397, + 553 + ], + "score": 0.42, + "content": "^ 0", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "is the identity connection.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "Following [69], in each branch, we use two depth-wise strip convolutions to approximate standard", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "depth-wise convolutions with large kernels. Here, the kernel size for each branch is set to 7, 11, and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "21, respectively. The reasons why we choose depth-wise strip convolutions are two-fold. On one", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 479, + 598 + ], + "score": 1.0, + "content": "hand, strip convolution is lightweight. 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On the other hand, there are some strip-like", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 607, + 505, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 620 + ], + "score": 1.0, + "content": "objects, such as human and telephone pole in the segmentation scenes. Thus, strip convolution can be", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 618, + 427, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 618, + 427, + 630 + ], + "score": 1.0, + "content": "a complement of grid convolutions and helps extract strip-like features [69, 30].", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 634, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 506, + 646 + ], + "score": 1.0, + "content": "Stacking a sequence of building blocks yields the proposed convolutional encoder, named MSCAN.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "score": 1.0, + "content": "For MSCAN, we adopt a common hierarchical structure, which contains four stages with decreasing", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 653, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 653, + 180, + 671 + ], + "score": 1.0, + "content": "spatial resolutions", + "type": "text" + }, + { + "bbox": [ + 180, + 655, + 213, + 669 + ], + "score": 0.88, + "content": "\\begin{array} { l } { \\frac { H } { 4 } ^ { \\bullet } \\times \\frac { W } { 4 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 653, + 218, + 671 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 218, + 655, + 251, + 669 + ], + "score": 0.78, + "content": "{ \\frac { H } { 8 } } \\times { \\frac { W } { 8 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 653, + 255, + 671 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 255, + 655, + 289, + 669 + ], + "score": 0.88, + "content": "\\begin{array} { r } { \\frac { H } { 1 6 } \\times \\frac { W } { 1 6 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 657, + 309, + 667 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 308, + 655, + 342, + 669 + ], + "score": 0.93, + "content": "\\textstyle { \\frac { H } { 3 2 } } \\times { \\frac { W } { 3 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 655, + 370, + 670 + ], + "score": 1.0, + "content": ". 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Here,", + "type": "text" + }, + { + "bbox": [ + 378, + 257, + 420, + 268 + ], + "score": 0.92, + "content": "d , k _ { 1 } \\times k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 256, + 506, + 270 + ], + "score": 1.0, + "content": "means a depth-wise", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 268, + 505, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 157, + 280 + ], + "score": 1.0, + "content": "convolution", + "type": "text" + }, + { + "bbox": [ + 157, + 268, + 170, + 279 + ], + "score": 0.61, + "content": "( d )", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 268, + 260, + 280 + ], + "score": 1.0, + "content": "using a kernel size of", + "type": "text" + }, + { + "bbox": [ + 260, + 268, + 293, + 279 + ], + "score": 0.91, + "content": "k _ { 1 } \\times k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 268, + 505, + 280 + ], + "score": 1.0, + "content": ". We extract multi-scale features using convolutions", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 279, + 400, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 400, + 291 + ], + "score": 1.0, + "content": "and then utilize them as attention weights to reweigh the input of MSCA.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 107, + 302, + 166, + 315 + ], + "lines": [ + { + "bbox": [ + 104, + 300, + 168, + 317 + ], + "spans": [ + { + "bbox": [ + 104, + 300, + 168, + 317 + ], + "score": 1.0, + "content": "3 Method", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 326, + 505, + 349 + ], + "lines": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 339 + ], + "score": 1.0, + "content": "In this section, we describe the architecture of the proposed SegNeXt in detail. 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Scale", + "type": "text" + }, + { + "bbox": [ + 392, + 545, + 397, + 553 + ], + "score": 0.42, + "content": "^ 0", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "is the identity connection.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "Following [69], in each branch, we use two depth-wise strip convolutions to approximate standard", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "depth-wise convolutions with large kernels. 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stageoutput size|e.r.SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-L
1C=32,L=3C =64,L=2C = 64,L =3C =64,L=3
2xxC8C=64,L=3C =128,L = 2C=128,L=3C=128,L=5
3C = 160,L = 5C = 320,L = 4C = 320,L = 12C = 320,L = 27
4×wxC4C = 256,L = 2C = 512,L = 2C = 512,L =3C =512,L =3
Decoder dimension2562565121,024
Parameters (M)4.313.927.648.9
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stageoutput size|e.r.SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-L
1C=32,L=3C =64,L=2C = 64,L =3C =64,L=3
2xxC8C=64,L=3C =128,L = 2C=128,L=3C=128,L=5
3C = 160,L = 5C = 320,L = 4C = 320,L = 12C = 320,L = 27
4×wxC4C = 256,L = 2C = 512,L = 2C = 512,L =3C =512,L =3
Decoder dimension2562565121,024
Parameters (M)4.313.927.648.9
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The second one is mostly adopted", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "CNN-based models. In this kind of structure, the output of the encoder is directly used as the input", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "to a heavy decoder head, like ASPP [4], PSP [106], and DANet [20]. The last one is the structure", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "adopted in our SegNeXt. 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This is because our SegNeXt", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "is based on convolutions. The features from Stage 1 contain too much low-level information and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "score": 1.0, + "content": "hurts the performance. Besides, operations on Stage 1 bring heavy computational overhead. In our", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "experiment section, we will show that our convolutional SegNeXt performs much better than the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 636, + 424, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 424, + 647 + ], + "score": 1.0, + "content": "recent state-of-the-art transformer-based SegFormer [90] and HRFormer [100].", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 581, + 506, + 647 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 663, + 191, + 677 + ], + "lines": [ + { + "bbox": [ + 104, + 661, + 193, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 661, + 193, + 680 + ], + "score": 1.0, + "content": "4 Experiments", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 702 + ], + "score": 1.0, + "content": "Dataset. 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ImageNet [14] is the best-known dataset for image classification, which contains", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 687, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 104, + 288, + 300 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 64, + 291, + 97 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 63, + 291, + 76 + ], + "spans": [ + { + "bbox": [ + 105, + 63, + 291, + 76 + ], + "score": 1.0, + "content": "Table 3: Comparison with state-of-the-art", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 75, + 292, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 75, + 292, + 87 + ], + "score": 1.0, + "content": "methods on ImageNet validation set. ‘Acc.’", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 85, + 205, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 85, + 205, + 99 + ], + "score": 1.0, + "content": "denotes Top-1 accuracy.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 107, + 104, + 288, + 300 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 104, + 288, + 300 + ], + "spans": [ + { + "bbox": [ + 107, + 104, + 288, + 300 + ], + "score": 0.98, + "html": "
MethodParams. (M)Acc. (%)
MiT-B0 [90]VAN-Tiny [25]MSCAN-T3.74.14.270.575.475.9
MiT-B1 [90]VAN-Small [25]MSCAN-S14.013.914.078.781.181.2
MiT-B2 [90]Swin-T[58]ConvNeXt-T[59]VAN-Base [25]MSCAN-B25.428.328.626.626.881.681.382.182.883.0
MiT-B3 [28]Swin-S [58]ConvNeXt-S [58]VAN-Large [25]MSCAN-L45.283.1
49.683.0
50.183.183.9
5]44.8
45.283.9
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MethodBackbonemIoU (%)
DenseASPP[95]PSPNet [106]ResNet5057.3
ResNet5060.3
SemanticFPN [40]ResNet5062.1
RefineNet [54]ResNet5060.2
HRNet [79]HRNetW-1861.5
GSCNN[76]SFNet [49]ResNet5063.4
ResNet5064.3
RANet [66]ResNet5062.1
PointRend [41]ResNet5062.8
FarSeg[109]ResNet5063.7
UperNet [89]PointFlow [47]Swin-T64.6
ResNet5066.9
SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-LMSCAN-T68.3
MSCAN-S68.8
MSCAN-B69.9
MSCAN-L70.3
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Similar to most segmentation methods, we use it to pretrain our MSCAN en-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 332, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 506, + 344 + ], + "score": 1.0, + "content": "coder. ADE20K [111] is a challenging dataset which contains 150 semantic classes. It consists", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "of 20,210/2,000/3,352 images in the training, validation and test sets. Cityscapes [12] mainly fo-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 354, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 366 + ], + "score": 1.0, + "content": "cuses on urban scenes and contains 5.000 high-resolution images with 19 categories. There are", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 506, + 377 + ], + "score": 1.0, + "content": "2,975/500/1,525 images for training, validation and testing, respectively. Pascal VOC [17] involves", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 375, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 389 + ], + "score": 1.0, + "content": "20 foreground classes and a background class. After augmentation, it has 10, 582/1, 449/1, 456", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 387, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 506, + 398 + ], + "score": 1.0, + "content": "images for training, validation and testing, respectively. Pascal Context [65] contains 59 foreground", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 396, + 507, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 507, + 410 + ], + "score": 1.0, + "content": "classes and a background class. The training set and validation set contain 4,996 and 5,104 images,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "score": 1.0, + "content": "respectively. COCO-Stuff [3] is also a challenging benchmark, which contains 172 semantic cate-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "gories and 164k images in total. iSAID [84] is a large-scale aerial image segmentation benchmark,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 506, + 442 + ], + "score": 1.0, + "content": "which includes 15 foreground classes and a background class. Its training, validation and test sets", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 441, + 275, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 275, + 455 + ], + "score": 1.0, + "content": "separately involve 1,411/458/937 images.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 41.5 + }, + { + "type": "text", + "bbox": [ + 107, + 457, + 505, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 457, + 506, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 506, + 470 + ], + "score": 1.0, + "content": "Implementation details. We conduct experiments by using Jittor [32] and Pytorch [68]. Our", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "score": 1.0, + "content": "implementation is based on timm (Apache-2.0) [85] and mmsegmentation (Apache-2.0) [11] libraries", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 492 + ], + "score": 1.0, + "content": "for classification and segmentation, respectively. All encoders of our segmentation models are", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 490, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 506, + 503 + ], + "score": 1.0, + "content": "pretrained on the ImageNet-1K dataset [14]. We adopt Top-1 accuracy and mean Intersection over", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "Union (mIoU) as our evaluation metrics for classification and segmentation, respectively. All models", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 512, + 293, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 293, + 524 + ], + "score": 1.0, + "content": "are trained on a node with 8 RTX 3090 GPUs.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 50.5 + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "For ImageNet pretraining, our data augmentation method and training settings are the same as", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 538, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 552 + ], + "score": 1.0, + "content": "DeiT [78]. 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MethodParams. (M)Acc. (%)
MiT-B0 [90]VAN-Tiny [25]MSCAN-T3.74.14.270.575.475.9
MiT-B1 [90]VAN-Small [25]MSCAN-S14.013.914.078.781.181.2
MiT-B2 [90]Swin-T[58]ConvNeXt-T[59]VAN-Base [25]MSCAN-B25.428.328.626.626.881.681.382.182.883.0
MiT-B3 [28]Swin-S [58]ConvNeXt-S [58]VAN-Large [25]MSCAN-L45.283.1
49.683.0
50.183.183.9
5]44.8
45.283.9
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MethodBackbonemIoU (%)
DenseASPP[95]PSPNet [106]ResNet5057.3
ResNet5060.3
SemanticFPN [40]ResNet5062.1
RefineNet [54]ResNet5060.2
HRNet [79]HRNetW-1861.5
GSCNN[76]SFNet [49]ResNet5063.4
ResNet5064.3
RANet [66]ResNet5062.1
PointRend [41]ResNet5062.8
FarSeg[109]ResNet5063.7
UperNet [89]PointFlow [47]Swin-T64.6
ResNet5066.9
SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-LMSCAN-T68.3
MSCAN-S68.8
MSCAN-B69.9
MSCAN-L70.3
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For segmentation experiments, we adopt some common data augmentation including", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 563 + ], + "score": 1.0, + "content": "random horizontal flipping, random scaling (from 0.5 to 2) and random cropping. The batch size", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 574 + ], + "score": 1.0, + "content": "is set to 8 for the Cityscapes dataset and 16 for all the other datasets. AdamW [61] is applied to", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 585 + ], + "score": 1.0, + "content": "train our models. 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More details can be", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 615, + 261, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 261, + 628 + ], + "score": 1.0, + "content": "found in our supplementary materials.", + "type": "text" + } + ], + "index": 62 + } + ], + "index": 58, + "bbox_fs": [ + 105, + 528, + 506, + 628 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 645, + 281, + 657 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 282, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 282, + 658 + ], + "score": 1.0, + "content": "4.1 Encoder Performance on ImageNet", + "type": "text" + } + ], + "index": 63 + } + ], + "index": 63 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "ImageNet pretraining is a common strategy for training segmentation models [106, 5, 90, 100, 4].", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "Here, we compare the performance of our MSCAN with several recent popular CNN-based and", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "transformer-based classification models. 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7 × 7branch11 ×11 branch|21 × 21 branch1×1ConvAttentionTop-1mIoU
<xx<<>x<x<<>xx<<<><<<x<><<<<x>74.739.6
75.239.7
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ArchitectureParams. (M)GFLOPsmIoU (SS)mIoU (MS)
SegNeXt-T (a)4.410.040.341.1
SegNeXt-T (b)4.24.930.940.6
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SegNeXt-T (c) w/ stage 14.312.140.742.2
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Unlike image classification, segmentation models need high-resolution outputs.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 632, + 507, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 507, + 645 + ], + "score": 1.0, + "content": "We ablate three different decoder designs for segmentation, all of which have been shown in Fig. 3.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "The corresponding results are listed in Tab. 7. We can see that SegNeXt (c) achieves the best", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 655, + 316, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 316, + 667 + ], + "score": 1.0, + "content": "performance and the computational cost is also low.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 621, + 507, + 667 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "Importance of Our MSCA. Here, we conduct experiments to demonstrate the importance of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "MSCA for segmentation. As a comparison, we follow VAN [25] and replace the multiple branches in", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "our MSCA with a single convolution with a large kernel. As shown in Tab. 8 and Tab. 3, we can", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "observe that though the performance of the two encoders is close in ImageNet classification, SegNeXt", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 349, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 365 + ], + "score": 1.0, + "content": "w/ MSCA yields much better results than the setting w/o MSCA. This indicates that aggregating", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 361, + 380, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 380, + 375 + ], + "score": 1.0, + "content": "multi-scale features is crucial in encoder for semantic segmentation.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 678, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 109, + 109, + 503, + 300 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 109, + 503, + 300 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 109, + 503, + 300 + ], + "spans": [ + { + "bbox": [ + 109, + 109, + 503, + 300 + ], + "score": 0.566, + "type": "image", + "image_path": "07ffe41d77e1fd50ff9518bdff049fe3c5a9352c40788dbef09d84f261c4dd11.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 109, + 503, + 172.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 172.66666666666666, + 503, + 236.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 236.33333333333331, + 503, + 300.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 306, + 504, + 329 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 304, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 319 + ], + "score": 1.0, + "content": "Figure 4: Qualitative Comparison of SegNeXt-B and SegFormer-B2 on the Cityscapes dataset. More", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 316, + 344, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 344, + 329 + ], + "score": 1.0, + "content": "visual results can be found in our supplementary materials.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 504, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 349, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 365 + ], + "score": 1.0, + "content": "w/ MSCA yields much better results than the setting w/o MSCA. This indicates that aggregating", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 361, + 380, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 380, + 375 + ], + "score": 1.0, + "content": "multi-scale features is crucial in encoder for semantic segmentation.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 108, + 389, + 310, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 311, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 311, + 402 + ], + "score": 1.0, + "content": "4.3 Comparison with state-of-the-art methods", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 108, + 410, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "In this subsection, we compare our method with state-of-the-art CNN-based methods, such as", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "HRNet [79], ResNeSt [104], and EfficientNet [77], and transformer-based methods, like Swin", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 432, + 487, + 445 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 487, + 445 + ], + "score": 1.0, + "content": "Transformer [58], SegFormer [90], HRFormer [100], MaskFormer [10], and Mask2Former [9].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "Performance-computation trade-off. ADE20K and Cityscapes are two widely used benchmarks", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "in semantic segmentation. As shown in Fig. 1, we plot the performance-computation curves of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "different methods on the Cityscape and ADE20K validation set. Clearly, our method achieves the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 480, + 507, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 507, + 494 + ], + "score": 1.0, + "content": "best trade-off between performance and computations compared to other state-of-the-art methods,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 491, + 356, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 356, + 506 + ], + "score": 1.0, + "content": "like SegFormer [90], HRFormer [100], and MaskFormer [10].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 106, + 508, + 507, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 507, + 521 + ], + "score": 1.0, + "content": "Comparison with state-of-the-art transformers. We compare SegNeXt with state-of-the-art trans-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "former models on the ADE20K, Cityscapes, COCO-Stuff and Pascal Context benchmarks. As shown", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "in Tab. 9, SegNeXt-L surpasses Mask2Former with Swin-T backbone by 3.3 mIoU (51.0 v.s. 47.7)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "with similar parameters and computational cost on he ADE20K dataset. Moreover, SegNeXt-B yields", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 147, + 563 + ], + "score": 0.26, + "content": "2 . 0 \\mathrm { m I o U }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 552, + 426, + 565 + ], + "score": 1.0, + "content": "improvement (48.5 v.s. 46.5) compared to SegFormer-B2 using only", + "type": "text" + }, + { + "bbox": [ + 427, + 553, + 447, + 563 + ], + "score": 0.86, + "content": "56 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "computations", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "on the ADE20K dataset. In particular, since the self-attention in SegFormer [90] is of quadratic", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "complexity w.r.t., the input size while our method uses convolutions, this makes our method perform", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 585, + 507, + 599 + ], + "spans": [ + { + "bbox": [ + 104, + 585, + 507, + 599 + ], + "score": 1.0, + "content": "greatly well when dealing with high-resolution images from the Cityscapes dataset. For instance,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 407, + 609 + ], + "score": 1.0, + "content": "SegNeXt-B gains 1.6 mIoU (81.0 v.s. 82.6) over SegFormer-B2 but uses", + "type": "text" + }, + { + "bbox": [ + 407, + 596, + 428, + 607 + ], + "score": 0.87, + "content": "40 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "less computations.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 606, + 505, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 620 + ], + "score": 1.0, + "content": "In Fig. 4, we also show a qualitative comparison with SegFormer. We can see that thanks to the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 618, + 419, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 419, + 631 + ], + "score": 1.0, + "content": "proposed MSCA, our method recognizes well when processing object details.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Comparison with state-of-the-art CNNs. As shown in Tab. 4, Tab. 10, and Tab. 12, we compare our", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "SegNeXt with state-of-the-art CNNs such as ResNeSt-269 [104], EfficientNet-L2 [112], and HRNet-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "W48 [79] on the Pascal VOC 2012, Pascal Context, and iSAID datasets. SegNeXt-L outperforms the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 666, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 507, + 681 + ], + "score": 1.0, + "content": "popular HRNet (OCR) [79, 99] model (60.3 v.s. 56.3) using even less parameters and computations,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "which is elaborately designed for the segmentation task. Moreover, SegNeXt-L performs even better", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 686, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 507, + 703 + ], + "score": 1.0, + "content": "than EfficientNet-L2 (NAS-FPN), which is pretrained on additional 300 million unavailable images,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "on the Pascal VOC 2012 test leaderboard. It is worth noting that EfficientNet-L2 (NAS-FPN) has", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 710, + 367, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 367, + 723 + ], + "score": 1.0, + "content": "485M parameters, while SegNeXt-L has only 48.7M parameters.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5 + } + ], + "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": [ + 109, + 109, + 503, + 300 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 109, + 503, + 300 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 109, + 503, + 300 + ], + "spans": [ + { + "bbox": [ + 109, + 109, + 503, + 300 + ], + "score": 0.566, + "type": "image", + "image_path": "07ffe41d77e1fd50ff9518bdff049fe3c5a9352c40788dbef09d84f261c4dd11.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 109, + 109, + 503, + 172.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 109, + 172.66666666666666, + 503, + 236.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 109, + 236.33333333333331, + 503, + 300.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 306, + 504, + 329 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 304, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 319 + ], + "score": 1.0, + "content": "Figure 4: Qualitative Comparison of SegNeXt-B and SegFormer-B2 on the Cityscapes dataset. More", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 316, + 344, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 344, + 329 + ], + "score": 1.0, + "content": "visual results can be found in our supplementary materials.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 504, + 374 + ], + "lines": [], + "index": 5.5, + "bbox_fs": [ + 105, + 349, + 506, + 375 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 389, + 310, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 388, + 311, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 311, + 402 + ], + "score": 1.0, + "content": "4.3 Comparison with state-of-the-art methods", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 108, + 410, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "In this subsection, we compare our method with state-of-the-art CNN-based methods, such as", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "HRNet [79], ResNeSt [104], and EfficientNet [77], and transformer-based methods, like Swin", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 432, + 487, + 445 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 487, + 445 + ], + "score": 1.0, + "content": "Transformer [58], SegFormer [90], HRFormer [100], MaskFormer [10], and Mask2Former [9].", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 410, + 505, + 445 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "Performance-computation trade-off. ADE20K and Cityscapes are two widely used benchmarks", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "in semantic segmentation. As shown in Fig. 1, we plot the performance-computation curves of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 483 + ], + "score": 1.0, + "content": "different methods on the Cityscape and ADE20K validation set. Clearly, our method achieves the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 480, + 507, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 507, + 494 + ], + "score": 1.0, + "content": "best trade-off between performance and computations compared to other state-of-the-art methods,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 491, + 356, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 356, + 506 + ], + "score": 1.0, + "content": "like SegFormer [90], HRFormer [100], and MaskFormer [10].", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 448, + 507, + 506 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 629 + ], + "lines": [ + { + "bbox": [ + 106, + 508, + 507, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 507, + 521 + ], + "score": 1.0, + "content": "Comparison with state-of-the-art transformers. We compare SegNeXt with state-of-the-art trans-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "former models on the ADE20K, Cityscapes, COCO-Stuff and Pascal Context benchmarks. As shown", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "in Tab. 9, SegNeXt-L surpasses Mask2Former with Swin-T backbone by 3.3 mIoU (51.0 v.s. 47.7)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 505, + 554 + ], + "score": 1.0, + "content": "with similar parameters and computational cost on he ADE20K dataset. Moreover, SegNeXt-B yields", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 147, + 563 + ], + "score": 0.26, + "content": "2 . 0 \\mathrm { m I o U }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 552, + 426, + 565 + ], + "score": 1.0, + "content": "improvement (48.5 v.s. 46.5) compared to SegFormer-B2 using only", + "type": "text" + }, + { + "bbox": [ + 427, + 553, + 447, + 563 + ], + "score": 0.86, + "content": "56 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "computations", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "on the ADE20K dataset. In particular, since the self-attention in SegFormer [90] is of quadratic", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "complexity w.r.t., the input size while our method uses convolutions, this makes our method perform", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 585, + 507, + 599 + ], + "spans": [ + { + "bbox": [ + 104, + 585, + 507, + 599 + ], + "score": 1.0, + "content": "greatly well when dealing with high-resolution images from the Cityscapes dataset. For instance,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 407, + 609 + ], + "score": 1.0, + "content": "SegNeXt-B gains 1.6 mIoU (81.0 v.s. 82.6) over SegFormer-B2 but uses", + "type": "text" + }, + { + "bbox": [ + 407, + 596, + 428, + 607 + ], + "score": 0.87, + "content": "40 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "less computations.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 606, + 505, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 620 + ], + "score": 1.0, + "content": "In Fig. 4, we also show a qualitative comparison with SegFormer. We can see that thanks to the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 618, + 419, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 419, + 631 + ], + "score": 1.0, + "content": "proposed MSCA, our method recognizes well when processing object details.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21, + "bbox_fs": [ + 104, + 508, + 507, + 631 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "Comparison with state-of-the-art CNNs. As shown in Tab. 4, Tab. 10, and Tab. 12, we compare our", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 657 + ], + "score": 1.0, + "content": "SegNeXt with state-of-the-art CNNs such as ResNeSt-269 [104], EfficientNet-L2 [112], and HRNet-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "W48 [79] on the Pascal VOC 2012, Pascal Context, and iSAID datasets. SegNeXt-L outperforms the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 666, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 507, + 681 + ], + "score": 1.0, + "content": "popular HRNet (OCR) [79, 99] model (60.3 v.s. 56.3) using even less parameters and computations,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "which is elaborately designed for the segmentation task. Moreover, SegNeXt-L performs even better", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 686, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 507, + 703 + ], + "score": 1.0, + "content": "than EfficientNet-L2 (NAS-FPN), which is pretrained on additional 300 million unavailable images,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "on the Pascal VOC 2012 test leaderboard. It is worth noting that EfficientNet-L2 (NAS-FPN) has", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 710, + 367, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 367, + 723 + ], + "score": 1.0, + "content": "485M parameters, while SegNeXt-L has only 48.7M parameters.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 633, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 108, + 114, + 504, + 285 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 69, + 505, + 103 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 506, + 82 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 506, + 82 + ], + "score": 1.0, + "content": "Table 9: Comparison with state-of-the-art methods on the ADE20K, Cityscapes and COCO-Stuff", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 80, + 505, + 92 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 395, + 92 + ], + "score": 1.0, + "content": "benchmarks. 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ModelParams (M)ADE20KCityscapesCOCO-Stuff
GFLOPsmIoU (SS/MS)GFLOPsmloU (SS/MS)GFLOPsmIoU (SS/MS)
Segformer-B0 [90]3.88.437.438.0125.576.278.18.435.6-
SegNeXt-T4.36.641.142.250.579.881.46.638.739.1
Segformer-B1 [90]13.715.942.243.1243.778.580.015.940.2
HRFormer-S[100]13.5109.544.045.1835.780.081.0109.537.938.9
SegNeXt-S13.915.944.345.8124.681.382.715.942.242.8
Segformer-B2 [90]27.562.446.547.5717.181.082.262.444.6-
MaskFormer [10]425546.748.8-=-
SegNeXt-B27.634.948.549.9275.782.683.834.945.846.3
SETR-MLA+[108]310.6-48.650.1-79.382.2---
DPT-Hybrid [70]124.0307.9-49.0----
Segformer-B3 [90]47.379.049.450.0962.981.783.379.045.5-
Mask2Former[9]477447.749.6==-
HRFormer-B[100]56.2280.048.750.02223.881.982.6280.042.443.3
MaskFormer [10]637949.851.0-==-=-
SegNeXt-L48.970.051.052.1577.583.283.970.046.547.2
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MethodBackbonemIoU
DANet [20]OCRNet [99]HamNet [22]EncNet*[103]EMANet* [46]DeepLabV3+*[7]DeepLabV3+†[7]NAS-FPN$[112]ResNet101HRNetV2-W4882.684.5
ResNet10185.9
ResNet101ResNet101Xception-71Xception-JFT85.9
87.7
Xception-7187.8
Xception-JFT89.0
EfficientNet-L290.5
SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-L*MSCAN-TMSCAN-SMSCAN-BMSCAN-L82.7
85.3
87.590.6
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MethodInput sizemIoU
ESPNet [62] ESPNetv2 [63]512×1,024 512×1,02460.3 66.2
ICNet [105] DFANet [45]1,024 × 2,048 1,024 × 1,02469.5 71.3
BiSeNet [97]768 × 1,53674.6
BiSeNetv2 [96]512 × 1,024
DF2-Seg [52]1,024 × 2.04875.3
SwiftNet [67]74.8
1,024 × 2.04875.5
SFNet [49]1,024 × 2,04877.8
SegNeXt-T768 × 1,53678.0
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ModelParams (M)ADE20KCityscapesCOCO-Stuff
GFLOPsmIoU (SS/MS)GFLOPsmloU (SS/MS)GFLOPsmIoU (SS/MS)
Segformer-B0 [90]3.88.437.438.0125.576.278.18.435.6-
SegNeXt-T4.36.641.142.250.579.881.46.638.739.1
Segformer-B1 [90]13.715.942.243.1243.778.580.015.940.2
HRFormer-S[100]13.5109.544.045.1835.780.081.0109.537.938.9
SegNeXt-S13.915.944.345.8124.681.382.715.942.242.8
Segformer-B2 [90]27.562.446.547.5717.181.082.262.444.6-
MaskFormer [10]425546.748.8-=-
SegNeXt-B27.634.948.549.9275.782.683.834.945.846.3
SETR-MLA+[108]310.6-48.650.1-79.382.2---
DPT-Hybrid [70]124.0307.9-49.0----
Segformer-B3 [90]47.379.049.450.0962.981.783.379.045.5-
Mask2Former[9]477447.749.6==-
HRFormer-B[100]56.2280.048.750.02223.881.982.6280.042.443.3
MaskFormer [10]637949.851.0-==-=-
SegNeXt-L48.970.051.052.1577.583.283.970.046.547.2
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MethodBackbonemIoU
DANet [20]OCRNet [99]HamNet [22]EncNet*[103]EMANet* [46]DeepLabV3+*[7]DeepLabV3+†[7]NAS-FPN$[112]ResNet101HRNetV2-W4882.684.5
ResNet10185.9
ResNet101ResNet101Xception-71Xception-JFT85.9
87.7
Xception-7187.8
Xception-JFT89.0
EfficientNet-L290.5
SegNeXt-TSegNeXt-SSegNeXt-BSegNeXt-L*MSCAN-TMSCAN-SMSCAN-BMSCAN-L82.7
85.3
87.590.6
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MethodInput sizemIoU
ESPNet [62] ESPNetv2 [63]512×1,024 512×1,02460.3 66.2
ICNet [105] DFANet [45]1,024 × 2,048 1,024 × 1,02469.5 71.3
BiSeNet [97]768 × 1,53674.6
BiSeNetv2 [96]512 × 1,024
DF2-Seg [52]1,024 × 2.04875.3
SwiftNet [67]74.8
1,024 × 2.04875.5
SFNet [49]1,024 × 2,04877.8
SegNeXt-T768 × 1,53678.0
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In addition to the state-of-the-art performance, our method is", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 550, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 506, + 564 + ], + "score": 1.0, + "content": "also suitable for real-time deployments. 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As shown in Tab. 11, our method sets new state-of-the-art results for", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 585, + 305, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 305, + 596 + ], + "score": 1.0, + "content": "real-time segmentation on the Cityscapes test set.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 541, + 506, + 596 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 612, + 315, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 317, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 317, + 628 + ], + "score": 1.0, + "content": "4.4 Weakly-Supervised Semantic Segmentation", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 106, + 634, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 646 + ], + "score": 1.0, + "content": "In this subsection, we apply the proposed network to the weakly-supervised semantic segmentation", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "task. In this task, a pseudo segmentation map is often generated by a classification model using", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "CAM [110]. Previous works mostly utilize VGGNet [72] or ResNets [28, 87] as the CAM generator.", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 506, + 679 + ], + "score": 1.0, + "content": "Here, we test the performance of the CAMs produced by our MSCAN. We use the EPS [43]", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "score": 1.0, + "content": "architecture and follow the training strategies and recipes. The numerical results are shown in Tab. 13.", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "We can see that simply replacing the ResNet38 backbone with our MSCAN can clearly improve the", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "performance compared to the EPS baseline. When using our SegNeXt as the segmentation network,", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 712, + 263, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 712, + 263, + 722 + ], + "score": 1.0, + "content": "the performance gain increases further.", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 635, + 507, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 135, + 98, + 474, + 256 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 69, + 504, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 69, + 505, + 81 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 505, + 81 + ], + "score": 1.0, + "content": "Table 12: Comparison on Pascal Context benchmark. The number of FLOPs is calculated with the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 79, + 476, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 158, + 94 + ], + "score": 1.0, + "content": "input size of", + "type": "text" + }, + { + "bbox": [ + 158, + 81, + 197, + 91 + ], + "score": 0.87, + "content": "5 1 2 \\times 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 79, + 476, + 94 + ], + "score": 1.0, + "content": ". ∗ means ImageNet-22K pretraining. † denotes ADE20K pretraining.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 135, + 98, + 474, + 256 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 135, + 98, + 474, + 256 + ], + "spans": [ + { + "bbox": [ + 135, + 98, + 474, + 256 + ], + "score": 0.984, + "html": "
MethodBackboneParams.(M)GFLOPsmIoU (SS/MS)
DANet [20]ResNet10169.1277.7= 52.6
EMANet [46]ResNet10161.1246.153.1
HamNet [22]HRNet (OCR) [79]DeepLabV3+[7]SETR-MLA*[108]HRFormer-B [100]DPT-Hybrid+[70]ResNet101HRNetW48ResNeSt-269ViT-LargeHRFormer-B69.174.5277.955.2
-= 56.2
1309.556.2== 58.954.9 55.8
309.5=54.9
56.2280.057.6 58.5
ViT-Hybrid124.01- 60.5
SegNeXt-TSegNeXt-SMSCAN-T4.26.651.2 53.3
SegNeXt-SMSCAN-S13.915.954.2 56.1
SegNeXt-BSegNeXt-LSegNeXt-LtSegNeXt-BMSCAN-B27.634.9
SegNeXt-LMSCAN-L48.870.058.7 60.3
MSCAN-L48.870.059.2 60.9
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MethodsNetworkSupervisionmIoU (%) on Val.
FickleNet2019 [42]DeeplabV2Image + Saliency64.9
OAA2019 [37]DeeplabV1Image + Saliency65.2
ICD2020 [18]DeeplabV1Image + Saliency67.8
Multi-Est.2020 [19]DeeplabV1Image + Saliency67.2
DRS2021 [39]DeeplabV2Image+ Saliency71.2
Group-WSSS2021 [53]DeeplabV2Image+ Saliency68.2
AuxSegNet2021 [92]DeeplabV1Image + Saliency69.0
EDAM2021 [86]DeeplabV1Image + Saliency70.9
EPS2021 [43]DeeplabV2Image + Saliency70.9
L2G2022 [38]DeeplabV1Image + Saliency72.0
MSCAN + EPS [43](Ours)DeeplabV2Image + Saliency71.7
MSCAN + EPS [43] (Ours)SegNeXtImage + Saliency72.2
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Based on the findings, we present a tailored convolutional attention module MSCA", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "and a CNN-style network SegNeXt. Experimental results demonstrate that SegNeXt surpasses current", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 544, + 385, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 385, + 558 + ], + "score": 1.0, + "content": "state-of-the-art transformer-based methods by a considerable margin.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "Recently, transformer-based models have dominated various segmentation leaderboards. Instead, this", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "score": 1.0, + "content": "paper shows that CNN-based methods can still perform better than transformer-based methods when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "using a proper design. We hope this paper could encourage researchers to further investigate the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 594, + 185, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 185, + 605 + ], + "score": 1.0, + "content": "potential of CNNs.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 108, + 610, + 505, + 643 + ], + "lines": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 505, + 622 + ], + "score": 1.0, + "content": "Our model also has its limitations, for example, extending this method to large-scale models with", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 621, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 136, + 632 + ], + "score": 0.84, + "content": "1 0 0 \\mathbf { M } +", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 621, + 506, + 633 + ], + "score": 1.0, + "content": "parameters and the performance on other vision or NLP tasks. These will be addressed in our", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 631, + 162, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 162, + 644 + ], + "score": 1.0, + "content": "future works.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 108, + 662, + 197, + 676 + ], + "lines": [ + { + "bbox": [ + 105, + 660, + 199, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 199, + 678 + ], + "score": 1.0, + "content": "Acknowledgment", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 108, + 689, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "This work was supported by the National Key R&D Program of China (NO. 2018AAA0100400) and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "the Natural Science Foundation of China (No. 62220106003, No. 62176130, and No. 62276145).", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 710, + 468, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 468, + 724 + ], + "score": 1.0, + "content": "We would like to thank Yi Zhang and Zhengyang Geng for their kind help in experiments.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 301, + 742, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 135, + 98, + 474, + 256 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 69, + 504, + 92 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 69, + 505, + 81 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 505, + 81 + ], + "score": 1.0, + "content": "Table 12: Comparison on Pascal Context benchmark. 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MethodBackboneParams.(M)GFLOPsmIoU (SS/MS)
DANet [20]ResNet10169.1277.7= 52.6
EMANet [46]ResNet10161.1246.153.1
HamNet [22]HRNet (OCR) [79]DeepLabV3+[7]SETR-MLA*[108]HRFormer-B [100]DPT-Hybrid+[70]ResNet101HRNetW48ResNeSt-269ViT-LargeHRFormer-B69.174.5277.955.2
-= 56.2
1309.556.2== 58.954.9 55.8
309.5=54.9
56.2280.057.6 58.5
ViT-Hybrid124.01- 60.5
SegNeXt-TSegNeXt-SMSCAN-T4.26.651.2 53.3
SegNeXt-SMSCAN-S13.915.954.2 56.1
SegNeXt-BSegNeXt-LSegNeXt-LtSegNeXt-BMSCAN-B27.634.9
SegNeXt-LMSCAN-L48.870.058.7 60.3
MSCAN-L48.870.059.2 60.9
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MethodsNetworkSupervisionmIoU (%) on Val.
FickleNet2019 [42]DeeplabV2Image + Saliency64.9
OAA2019 [37]DeeplabV1Image + Saliency65.2
ICD2020 [18]DeeplabV1Image + Saliency67.8
Multi-Est.2020 [19]DeeplabV1Image + Saliency67.2
DRS2021 [39]DeeplabV2Image+ Saliency71.2
Group-WSSS2021 [53]DeeplabV2Image+ Saliency68.2
AuxSegNet2021 [92]DeeplabV1Image + Saliency69.0
EDAM2021 [86]DeeplabV1Image + Saliency70.9
EPS2021 [43]DeeplabV2Image + Saliency70.9
L2G2022 [38]DeeplabV1Image + Saliency72.0
MSCAN + EPS [43](Ours)DeeplabV2Image + Saliency71.7
MSCAN + EPS [43] (Ours)SegNeXtImage + Saliency72.2
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Based on the findings, we present a tailored convolutional attention module MSCA", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "and a CNN-style network SegNeXt. Experimental results demonstrate that SegNeXt surpasses current", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 544, + 385, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 385, + 558 + ], + "score": 1.0, + "content": "state-of-the-art transformer-based methods by a considerable margin.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 512, + 506, + 558 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "Recently, transformer-based models have dominated various segmentation leaderboards. Instead, this", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 584 + ], + "score": 1.0, + "content": "paper shows that CNN-based methods can still perform better than transformer-based methods when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 596 + ], + "score": 1.0, + "content": "using a proper design. 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KTH[10→ pred; trained on k]|k pred|FVD↓PSNR↑SSIM↑
SAVP [Lee et al., 2018]10 30374±326.50.756
MCVD concat (Ours)5 30323±327.50.835
SLAMP [Akan et al., 2021]10 30228±529.40.865
SRVP [Franceschi et al., 2020]10 30222±329.70.870
MCVD concat (Ours)540 276.726.400.812
SAVP-VAE [Lee et al., 2018]1040 145.726.000.806
Grid-keypoints [Gao et al., 2021]1040144.227.11 0.837
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SMMNIST[5 →10; trained on k]kFVD↓SSIM↑
SVG [Denton and Fergus, ,2018]1090.810.688
vRNN 1L [Castrej6n et al., 2019]1063.810.763
Hier-vRNN [Castrej6n et al., 2019]1057.170.760
MCVD concat (Ours)525.630.786
MCVD : spatin (Ours)523.860.780
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BAIR(64 × 64) [past p → pred ; trained on k]|pkpredFVD↓PSNR↑SSIM↑
LVT [Rakhimov et al., 2020]11515125.811
DVD-GAN-FP [Clark et al., 2019]11515109.811
MCVD spatin (Ours)1515103.818.80.826
TrIVD-GAN-FP [Luc et al., 2020]11515103.311
VideoGPT[Yan et al., 2021]11515103.311
CCVS [Le Moing et al., 2021]1151599.01
MCVD concat (Ours)151598.818.80.829
MCVD spatin past-mask (Ours)151596.518.80.828
MCVD concat past-mask (Ours)151595.618.80.832
Video Transformer [Weissenborn et al., 2019]1151594-96a11
FitVid [Babaeizadeh et al., 2021]1151593.6
MCVD concat past-future-mask (Ours)151589.516.90.780
SAVP [Lee et al., 2018]21414116.411
MCVD spatin (Ours)51494.119.10.836
MCVD spatin past-mask (Ours)2222251490.519.20.837
MCVD concat (Ours)51490.519.10.834
MCVD concat past-future-mask (Ours)51489.617.10.787
MCVD concat past-mask (Ours)51487.919.10.838
SAVP [Lee et al., 2018]21028143.410.795
Hier-vRNN [Castrej6n et al., 2019]1028143.410.822
MCVD spatin (Ours)528132.117.50.779
MCVD spatin past-mask (Ours)222222528127.917.70.789
MCVD concat (Ours)528120.617.60.785
MCVD concat past-mask (Ours)528119.017.70.797
MCVD concat past-future-mask (Ours)528118.416.20.745
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Cityscapes (128 × 128)[2 -→28; trained on k]kFVD↓LPIPS↓SSIM↑
SVG-LP Denton and Fergus [2018]101300.260.549 ± 0.060.574 ± 0.08
vRNN 1L Castrej6n et al. [2019]10682.080.304 ± 0.100.609 ± 0.11
Hier-vRNN Castrej6n et al. [2019]10567.510.264 ± 0.070.628 ± 0.10
GHVAE Wu et al. [2021]10418.000.193 ± 0.0140.740 ± 0.04
MCVD spatin past-mask (Ours)5184.810.121 ± 0.050.720 ± 0.11
MCVD concat past-mask (Ours)5141.310.112 ± 0.050.690 ± 0.12
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SMMNIST (64× 64) p+fknKTH(64× 64)BAIR (64× 64)
|PSNR↑ SSIM↑p+fkn|PSNR↑SSIM↑p+fkn|PSNR↑ SSIM↑
SVG-LP Denton and Fergus [2018]18 710013.5430.74118710028.131 0.88318710018.648 0.846
FSTN Lu et al. [2017]18710014.7300.76518710029.431 0.89918710019.9080.850
SepConv Niklaus et al. [2017]18 710014.7590.77518710029.210 0.90418710021.615 0.877
SuperSloMo Jiang et al. [2018]18 710013.3870.74918710028.756 0.8931 二
SDVI full Xu et al. [2020]18 710016.0250.84218710029.190 0.90118 710021.4320.880
SDVI Xu et al. [2020]16710014.8570.78216710026.907 0.83116 710019.6940.852
MCVD (Ours)10 10 10020.9440.85415 1010034.669 0.9434510025.1620.932
1051027.6930.94134.0680.942
pure18.3850.8021015 10 10 51035.6110.963451023.4080.914
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BAIR (64 × 64) [0 → pred; trained on 5]|pred|FVD↓
MCVD spatin past-mask (Ours)16267.8
MCVD concat past-mask (Ours)16228.5
MCVD spatin past-mask (Ours)30399.8
MCVD concat past-mask (Ours)30348.2
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UCF-101 (64 × 64) [0→ 16; trained on k]kFVD↓
MoCoGAN-MDP [Yushchenko et al., 2019]161277.0
MCVD concat past-mask (Ours)41228.3
TGANv2 [Saito et al., 2020]161209.0
MCVD spatin past-mask (Ours)41143.0
DIGAN [Yu et al., 2022]16655.0
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