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Recently it has been shown that backprop in multilayer-perceptrons (MLPs) can be approximated using predictive coding, a biologically-plausible process theory of cortical computation which relies solely on local and Hebbian updates. The power of backprop, however, lies not in its instantiation in MLPs, but rather in the concept of automatic differentiation which allows for the optimisation of any differentiable program expressed as a computation graph. Here, we demonstrate that predictive coding converges asymptotically (and in practice rapidly) to exact backprop gradients on arbitrary computation graphs using only local learning rules. We apply this result to develop a straightforward strategy to translate core machine learning architectures into their predictive coding equivalents. We construct predictive coding CNNs, RNNs, and the more complex LSTMs, which include a non-layer-like branching internal graph structure and multiplicative interactions. Our models perform equivalently to backprop on challenging machine learning benchmarks, while utilising only local and (mostly) Hebbian plasticity. Our method raises the potential that standard machine learning algorithms could in principle be directly implemented in neural circuitry, and may also contribute to the development of completely distributed neuromorphic architectures. + +# 1 INTRODUCTION + +Deep learning has seen stunning successes in the last decade in computer vision (Krizhevsky et al., 2012; Szegedy et al., 2015), natural language processing and translation (Vaswani et al., 2017; Radford et al., 2019; Kaplan et al., 2020), and computer game playing (Mnih et al., 2015; Silver et al., 2017; Schrittwieser et al., 2019; Vinyals et al., 2019). While there is a great variety of architectures and models, they are all trained by gradient descent using gradients computed by automatic differentiation (AD). The key insight of AD is that it suffices to define a forward model which maps inputs to predictions according to some parameters. Then, using the chain rule of calculus, it is possible, as long as every operation of the forward model is differentiable, to differentiate back through the computation graph of the model so as to compute the sensitivity of every parameter in the model to the error at the output, and thus adjust every single parameter to best minimize the total loss. Early models were typically simple artificial neural networks where the computation graph is simply a composition of matrix multiplications and elementwise nonlinearities, and for which the implementation of automatic differentation has become known as ‘backpropagation’ (or ’backprop’). However, automatic differentiation allows for substantially more complicated graphs to be differentiated through, up to, and including, arbitrary programs (Griewank et al., 1989; Baydin et al., 2017; Paszke et al., 2017; Revels et al., 2016; Innes et al., 2019; Werbos, 1982; Rumelhart and Zipser, 1985; Linnainmaa, 1970). In recent years this has enabled the differentiation through differential equation solvers (Chen et al., 2018; Tzen and Raginsky, 2019; Rackauckas et al., 2019), physics engines (Degrave et al., 2019; Heiden et al., 2019), raytracers (Pal, 2019), and planning algorithms (Amos and Yarats, 2019; Okada et al., 2017). These advances allow the straightforward training of models which intrinsically embody complex processes and which can encode significantly more prior knowledge and structure about a given problem domain than previously possible. + +Modern deep learning has also been closely intertwined with neuroscience (Hassabis et al., 2017; Hawkins and Blakeslee, 2007; Richards et al., 2019). The backpropagation algorithm itself arose as a technique for training multi-layer perceptrons – simple hierarchical models of neurons inspired by the brain (Werbos, 1982). Despite this origin, and its empirical successes, a consensus has emerged that the brain cannot directly implement backprop, since to do so would require biologically implausible connection rules (Crick, 1989). There are two principal problems. Firstly, backprop in the brain appears to require non-local information (since the activity of any specific neuron affects all subsequent neurons down to the final output neuron). It is difficult to see how this information could be transmitted ’backwards’ throughout the brain with the required fidelity without precise connectivity constraints. The second problem – the ‘weight transport problem’ is that backprop through MLP style networks requires identical forward and backwards weights. In recent years, however, a succession of models have been introduced which claim to implement backprop in MLP-style models using only biologically plausible connectivity schemes, and Hebbian learning rules (Liao et al., 2016; Guerguiev et al., 2017; Sacramento et al., 2018; Bengio and Fischer, 2015; Bengio et al., 2017; Ororbia et al., 2020; Whittington and Bogacz, 2019). Of particular significance is Whittington and Bogacz (2017) who show that predictive coding networks – a type of biologically plausible network which learn through a hierarchical process of prediction error minimization – are mathematically equivalent to backprop in MLP models. In this paper we extend this work, showing that predictive coding can not only approximate backprop in MLPs, but can approximate automatic differentiation along arbitrary computation graphs. This means that in theory there exist potentially biologically plausible algorithms for differentiating through arbitrary programs, utilizing only local connectivity. Moreover, in a class of models which we call parameter-linear, which includes many current machine learning models, the required update rules are Hebbian, raising the possibility that a wide range of current machine learning architectures may be faithfully implemented in the brain, or in neuromorphic hardware. + +In this paper we provide two main contributions. (i) We show that predictive coding converges to automatic differentiation across arbitrary computation graphs. (ii) We showcase this result by implementing three core machine learning architectures (CNNs, RNNs, and LSTMs) in a predictive coding framework which utilises only local learning rules and mostly Hebbian plasticity. + +# 2 PREDICTIVE CODING ON ARBITRARY COMPUTATION GRAPHS + +![](images/b90a726f3cc2d48f3bf69f7fbaa9154d96df283d5548a86d09bd45a4b09d4f4a.jpg) +Figure 1: Top: Backpropagation on a chain. Backprop proceeds backwards sequentially and explicitly computes the gradient at each step on the chain. Bottom: Predictive coding on a chain. Predictions, and prediction errors are updated in parallel using only local information. + +Predictive coding is an influential theory of cortical function in theoretical and computational neuroscience. Central to the theory is the idea that the core function of the brain is to minimize prediction errors between what is expected to happen and what actually happens. Predictive coding views the brain as composed of multiple hierarchical layers which predict the activities of the layers below. Unpredicted activity is registered as prediction error which is then transmitted upwards for a higher layer to process. Over time, synaptic connections are adjusted so that the system improves at minimizing prediction error. Predictive coding possesses a wealth of empirical support (Friston, 2003; 2005; Bogacz, 2017; Whittington and Bogacz, 2019) and offers a single mechanism that accounts for diverse perceptual phenomena such as repetition-suppression (Auksztulewicz and Friston, 2016), endstopping (Rao and Ballard, 1999), bistable perception (Hohwy et al., 2008; Weilnhammer et al., 2017) and illusory motions (Lotter et al., 2016; Watanabe et al., 2018), and even attentional modulation of neural activity (Feldman and Friston, 2010; Kanai et al., 2015). Moreover, the central role of top-down predictions is consistent with the ubiquity, and importance of, top-down diffuse connections between cortical areas. Predictive coding is consistent with many known aspects of neurophysiology, and has been translated into biologically plausible process theories which define candidate cortical microcircuits which can implement the algorithm. (Spratling, 2008; Bastos et al., 2012; Kanai et al., 2015; Shipp, 2016). + +In previous work, predictive coding has always been conceptualised as operating on hierarchies of layers (Bogacz, 2017; Whittington and Bogacz, 2017). Here we present a generalized form of predictive coding applied to arbitrary computation graphs. A computation graph $\mathcal { G } = \{ \mathbb { E } , \mathbb { V } \}$ is a directed acyclic graph (DAG) which can represent the computational flow of essentially any program or computable function as a composition of elementary functions. Each edge $e _ { i } \in \mathbb { E }$ of the graph corresponds to an intermediate step – the application of an elementary function – while each vertex $v _ { i } \in \mathbb { V }$ is an intermediate variable computed by applying the functions of the edges to the values of their originating vertices. In this paper, $v _ { i }$ denotes the vector of activations within a layer and we denote the set of all vertices as $\{ v _ { i } \}$ . Effectively, computation flows ’forward’ from parent nodes to all their children through the edge functions until the leaf nodes give the final output of the program as a whole (see Figure 1 and 2 for an example). Given a target $T$ and a loss function $L = g ( \mathbf { \bar { \mathit { T } } } , \mathbf { \bar { v } } _ { o u t } )$ , the graph’s output can be evaluated and, and if every edge function is differentiable, automatic differentiation can be performed on the computation graph. + +Predictive coding can be derived elegantly as a variational inference algorithm under a hierarchical Gaussian generative model (Friston, 2005; Buckley et al., 2017). We extend this approach to arbitrary computation graphs in a supervised setting by defining the inference problem to be solved as that of inferring the vertex value $v _ { i }$ of each node in the graph given fixed start nodes $v _ { 0 }$ (the data), and end nodes $v _ { N }$ (the targets). We define a generative model which parametrises the value of each vertex given the feedforward prediction of its parents, $\begin{array} { r } { p ( \{ v _ { i } \} ) = p ( v _ { 0 } \cdot . . . v _ { N } ) = \prod _ { i } ^ { N } p ( v _ { i } | \mathcal { P } ( v _ { i } ) ) ^ { \ 1 } } \end{array}$ , and a factorised, variational posterior $\begin{array} { r } { Q ( \{ v _ { i } \} | v _ { 0 } , v _ { N } ) = Q ( v _ { 1 } \ldots v _ { N - 1 } | v _ { 0 } , v _ { N } ) = \prod _ { i } ^ { N } Q ( v _ { i } | \mathcal { P } ( v _ { i } ) , \mathcal { C } ( v _ { i } ) ) } \end{array}$ , where $\mathcal { P } ( v _ { i } )$ denotes the set of parents and $\mathcal { C } ( v _ { i } )$ denotes the set of children of a given node $v _ { i }$ . From this, we can define a suitable objective functional, the variational free-energy $\mathcal { F }$ (VFE), which acts as an upper bound on the divergence between the true and variational posteriors. + +$$ +\begin{array} { l } { \mathcal { F } = K L [ ( Q ( v _ { 1 } \dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) \| p ( v _ { 0 } \dots v _ { N } ) ] \geq K L [ ( Q ( v _ { 1 } \dots v _ { N - 1 } ) | v _ { 0 } , v _ { N } ) \| p ( v _ { 1 } \dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) ] } \\ { \approx \displaystyle \sum _ { i = 0 } ^ { N } \epsilon _ { i } ^ { T } \epsilon _ { i } } \end{array} +$$ + +Under Gaussian assumptions for the generative model $\begin{array} { r } { p ( \{ v _ { i } \} ) = \prod _ { i } ^ { N } \mathcal { N } ( v _ { i } ; \hat { v } _ { i } , \Sigma _ { i } ) } \end{array}$ , and the variational posterior $\begin{array} { r } { Q ( \{ v _ { i } \} ) = \prod _ { i } ^ { N } \mathcal { N } ( v _ { i } ) } \end{array}$ , where the ‘predictions’ $\hat { v _ { i } } = f ( \mathcal { P } ( v _ { i } ) ; \theta _ { i } )$ are defined as the feedforward value of the vertex produced by running the graph forward, and all the precisions, or inverse variances, $\Sigma _ { i } ^ { - 1 }$ are fixed at the identity, we can write $\mathcal { F }$ as simply a sum of prediction errors (see Appendix D or (Friston, 2003; Bogacz, 2017; Buckley et al., 2017) for full derivations), with the prediction errors defined as $\epsilon _ { i } = v _ { i } - \hat { v } _ { i }$ . These prediction errors play a core role in the framework and, in the biological process theories (Friston, 2005; Bastos et al., 2012), are generally considered to be represented by a distinct population of ‘error units’. Since $\mathcal { F }$ is an upper bound on the divergence between true and approximate posteriors, by minimizing $\mathcal { F }$ , we reduce this divergence, thus improving the quality of the variational posterior and approximating exact Bayesian inference. Predictive coding minimizes $\mathcal { F }$ by employing the Cauchy method of steepest descent to set the dynamics of the vertex variables $v _ { i }$ as a gradient descent directly on $\mathcal { F }$ (Bogacz, 2017). + +$$ +\frac { d v _ { i } } { d t } = \frac { \partial \mathcal { F } } { \partial v _ { i } } = \epsilon _ { i } - \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \hat { v } _ { j } } { \partial v _ { i } } +$$ + +The dynamics of the parameters of the edge functions $\theta$ such that $\hat { v _ { i } } = f ( \mathcal { P } ( v _ { i } ) ; \theta )$ , can also be derived as a gradient descent on $\mathcal { F }$ . Importantly these dynamics require only information (the current vertex value, prediction error, and prediction errors of child vertices) locally available at the vertex. + +$$ +\frac { d \theta _ { i } } { d t } = \frac { \partial \mathcal { F } } { \partial \theta _ { i } } = \epsilon _ { i } \frac { \partial \hat { v } _ { i } } { \partial \theta _ { i } } +$$ + +To run generalized predictive coding in practice on a given computation graph $\mathcal { G } = \{ \mathbb { E } , \mathbb { V } \}$ , we augment the graph with error units $\epsilon \in { \mathcal { E } }$ to obtain an augumented computation graph $\tilde { \mathcal { G } } = \{ \mathbb { E } , \mathbb { V } , \mathcal { E } \}$ . The predictive coding algorithm then operates in two phases – a feedforward sweep and a backwards iteration phase. In the feedforward sweep, the augmented computation graph is run forward to obtain the set of predictions $\{ \hat { v } _ { i } \}$ , and prediction errors $\{ \epsilon _ { i } \} = \{ \bar { v } _ { i } - \hat { v } _ { i } \}$ for every vertex. Following Whittington and Bogacz (2017), to achieve exact equivalence with the backprop gradients computed on the original computation graph, we initialize $v _ { i } = \hat { v } _ { i }$ in the initial feedforward sweep so that the output error computed by the predictive coding network and the original graph are identical. + +In the backwards iteration phase, the vertex activities $\{ v _ { i } \}$ and prediction errors $\left\{ \epsilon _ { i } \right\}$ are updated with Equation 2 for all vertices in parallel until the vertex values converge to a minimum of $\mathcal { F }$ . After convergence the parameters are updated according to Equation 3. Note we also assume, following Whittington and Bogacz (2017), that the predictions at each layer are fixed at the values assigned during the feedforward pass throughout the optimisation of the vs. We call this the fixed-prediction assumption. In effect, by removing the coupling between the vertex activities of the parents and the prediction at the child, this assumption separates the global optimisation problem into a local one for each vertex. We implement these dynamics with a simple forward Euler integration scheme so that the update rule for the vertices became $\begin{array} { r } { \boldsymbol { v } _ { i } ^ { t + 1 } \boldsymbol { v } _ { i } ^ { t } - \eta \frac { d \mathcal { F } } { d \boldsymbol { v } _ { i } ^ { t } } } \end{array}$ where $\eta$ is the step-size parameter. Importantly, if the edge function linearly combines the activities and the parameters followed by an elementwise nonlinearity – a condition which we call ‘parameter-linear’ – then both the update rule for the vertices (Equation 2) and the parameters (Equation 3) become Hebbian. Specifically, the update rules for the vertices and weights become $\begin{array} { r } { \frac { d v _ { i } } { d t } = \epsilon _ { i } - \sum _ { j } \epsilon _ { j } f ^ { \prime } ( \theta _ { j } \hat { v _ { j } } ) \theta _ { j } ^ { T } } \end{array}$ and $\begin{array} { r } { \frac { d \bar { \theta } _ { i } } { d t } = \epsilon _ { i } f ^ { \prime } ( \theta _ { i } \hat { v _ { i } } ) \bar { \hat { v _ { i } } } ^ { T } } \end{array}$ , respectively. + +# 2.1 APPROXIMATION TO BACKPROP + +Here we show that at the equilibrium of the dynamics, the prediction errors $\boldsymbol { \epsilon } _ { i } ^ { * }$ converge to the correct backpropagated gradients $\frac { \partial L } { \partial v _ { i } }$ , and consequently the parameter updates (Equation 3) become precisely those of a backprop trained network. Standard backprop works by computing the gradient of a vertex $\frac { \partial L } { \partial v _ { L } }$ he sum of the gradients of the child vertices. Beginning with the gradient of the output vertex, it recursively computes the gradients of vertices deeper in the graph by the chain rule: + +$$ +\frac { \partial L } { \partial v _ { i } } = \sum _ { j = \mathcal { C } ( v _ { i } ) } \frac { \partial L } { \partial v _ { j } } \frac { \partial v _ { j } } { \partial v _ { i } } +$$ + +In comerrors arison, in our predictive coding framework, at the equilibrium point become, $\begin{array} { r } { \cdot \frac { d v _ { i } } { d t } = 0 \rangle } \end{array}$ ) the prediction $\boldsymbol { \epsilon } _ { i } ^ { * }$ + +$$ +\epsilon _ { i } ^ { * } = \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } ^ { * } \frac { \partial \hat { v } _ { i } } { \partial v _ { j } } +$$ + +Importantly, this means that the equilibrium value of the prediction error at a given vertex (Equation 5) satisfies the same recursive structure as the chain rule of backprop (Equation 4). Since this relationship is recursive, all that is needed for the prediction errors throughout the graph to converge to the backpropagated derivatives is for the prediction errors at the final layer to be equal to the output gradient: $\begin{array} { r } { \dot { \epsilon } _ { L } ^ { * } = \frac { { \partial } L } { { \partial } \hat { v } _ { L } } } \end{array}$ . To see this explicitly, consider a mean-squared-error loss function 2. at the + +# Algorithm 1: Generalized Predictive Coding + +Data: Dataset ${ \mathcal { D } } = \{ { \mathbf { X } } , { \mathbf { L } } \}$ , Augmented Computation Graph $\tilde { \mathcal { G } } = \{ \mathbb { E } , \mathbb { V } , \mathcal { E } \}$ , inference learning rate $\eta _ { v }$ , weight learning rate $\eta _ { \theta }$ +begin $/ \star$ For each minibatch in the dataset \*/ for $( x , L ) \in \mathcal { D }$ do $/ \star$ Fix start of graph to inputs \*/ $\hat { v _ { 0 } } \gets x$ $/ \star$ Forward pass to compute predictions \*/ for $\hat { v } _ { i } \in \mathbb { V }$ do $\lfloor \hat { v } _ { i } f ( \{ \mathcal { P } ( \hat { v } _ { i } ) ; \theta \}$ $/ \star$ Compute output error \*/ $\epsilon _ { L } L - \hat { v } _ { L }$ /\* Begin backwards iteration phase of the descent on the free energy \*/ while not converged do for $( v _ { i } , \epsilon _ { i } ) \in \tilde { \mathcal { G } }$ do $/ \star$ Compute prediction errors \*/ $\boldsymbol { \epsilon } _ { i } \gets \boldsymbol { v } _ { i } - \boldsymbol { \hat { v } } _ { i }$ $/ \star$ vertex values \*/ $\begin{array} { r } { v _ { i } ^ { t + 1 } v _ { i } ^ { t } + \eta _ { v } \frac { d \mathcal { F } } { d v _ { i } ^ { t } } } \end{array}$ /\* Update weights at equilibrium \*/ for i θ t +1i ← θ ti + η θ d Fdθ ti $\theta _ { i } \in \mathbb { E }$ do + +output layer $\begin{array} { r } { L = \frac 1 2 ( T - \hat { v } _ { L } ) ^ { 2 } } \end{array}$ with $\mathrm { T }$ as a vector of targets, and defining $\epsilon _ { L } = T - \hat { v } _ { L }$ . We then consider the equilibrium value of the prediction error unit at a penultimate vertex $\epsilon _ { L - 1 }$ . By Equation 5, we can see that at equilibrium, + +$$ +\epsilon _ { L - 1 } ^ { * } = \epsilon _ { L } ^ { * } \frac { \partial \hat { v } _ { L } } { \partial v _ { L - 1 } } = ( T - \hat { v } _ { L } ^ { * } ) \frac { \partial \hat { v } _ { L } } { \partial v _ { L - 1 } } +$$ + +since, $\begin{array} { r } { ( T - \hat { v } _ { L } ) = \frac { \partial L } { \partial \hat { v } _ { L } } } \end{array}$ , we can then write, + +$$ +\epsilon _ { L - 1 } ^ { * } = { \frac { \partial L } { \partial { \hat { v } } _ { L } } } { \frac { \partial { \hat { v } } _ { L } } { \partial v _ { L - 1 } } } = { \frac { \partial L } { \partial v _ { L - 1 } } } +$$ + +Thus the prediction errors of the penultimate nodes converge to the correct backpropagated gradient. Furthermore, recursing through the graph from children to parents allows the correct gradients to be computed3. Thus, by induction, we have shown that the fixed points of the prediction errors of the global optimization correspond exactly to the backpropagated gradients. Intuitively, if we imagine the computation-graph as a chain and the error as ’tension’ in the chain, backprop loads all the tension at the end (the output) and then systematically propagates it backwards. Predictive coding, however, spreads the tension throughout the entire chain until it reaches an equilibrium where the amount of tension at each link is precisely the backpropagated gradient. The full algorithm for training the predictive coding network is explicitly set out in Algorithm 1. Inference is just a forward pass through the network, and is identical to the corresponding ANN. + +By a similar argument, it is apparent that the dynamics of the parameters $\theta _ { i }$ as a gradient descent on $\mathcal { F }$ also exactly match the backpropagated parameter gradients. + +$$ +\begin{array} { r } { \frac { d \theta _ { i } } { d t } = \frac { d \mathcal { F } } { d \theta _ { i } } = \epsilon _ { i } ^ { * } \frac { d \epsilon _ { i } ^ { * } } { d \theta _ { i } } } \\ { = \frac { d L } { d \hat { v } _ { i } } \frac { d \hat { v } _ { i } } { d \theta _ { i } } = \frac { d L } { d \theta _ { i } } } \end{array} +$$ + +Which follows from the fact that $\begin{array} { r } { \epsilon _ { i } ^ { * } = \frac { d L } { d \hat { v } _ { i } } } \end{array}$ and that $\begin{array} { r } { \frac { d \epsilon _ { i } ^ { * } } { d \theta } = \frac { d \hat { v } _ { i } } { d \theta _ { i } } } \end{array}$ . + +# 3 RELATED WORK + +A number of recent works have tried to provide biologically plausible approximations to backprop. The requirement of symmetry between the forwards and backwards weights has been questioned by Lillicrap et al. (2016) who show that random fixed feedback weights suffice for effective learning. Recent additional work has shown that learning the backwards weights also helps (Amit, 2019; Akrout et al., 2019). Several schemes have also been proposed to approximate backprop using only local learning rules and/or Hebbian connectivity. These include target-prop (Lee et al., 2015) which approximate the backward gradients with trained inverse functions, but which fails to asymptotically compute the exact backprop gradients, and contrastive Hebbian (Seung, 2003; Scellier and Bengio, 2017; Scellier et al., 2018) approaches which do exactly approximate backprop, but which require two separate learning phases and the storing of information across successive phases. There are also dendritic error theories (Guerguiev et al., 2017; Sacramento et al., 2018) which are computationally similar to predictive coding (Whittington and Bogacz, 2019; Lillicrap et al., 2020). Whittington and Bogacz (2017) showed that predictive coding can approximate backprop in MLP models, and demonstrated comparable performance on MNIST. We advance upon this work by extending the proof to arbitrary computation graphs, enabling the design of predictive coding variants of a range of standard machine learning architectures, which we show perform comparably to backprop on considerably more difficult tasks than MNIST. Our algorithm evinces asymptotic (and in practice rapid) convergence to the exact backprop gradients, does not require separate learning phases, and utilises only local information and largely Hebbian plasticity. + +# 4 RESULTS + +# 4.1 NUMERICAL RESULTS + +To demonstrate the correctness of our derivation and empirical convergence to the true gradients, we present a numerical test in the simple scalar case, where we use predictive coding to derive the√ gradients of an arbitrary, highly nonlinear test function $v _ { L } = \tan ( \sqrt { \theta v _ { 0 } } ) + \sin ( v _ { 0 } ^ { 2 } )$ where $\theta$ is an arbitrary parameter. For our tests, we set $v _ { 0 }$ to 5 and $\theta$ to 2. The computation graph for this function is presented in Figure 2. Although simple, this is a good test of predictive coding because the function is highly nonlinear, and its computation graph does not follow a simple layer structure but includes some branching. An arbitrary target of $T = 3$ was set at the output and the gradient of the loss $L = ( v _ { L } - T ) ^ { 2 }$ with respect to the input $v _ { 0 }$ was computed by predictive coding. We show (Figure 2) that the predictive coding optimisation rapidly converges to the exact numerical gradients computed by automatic differentiation, and that moreover this optimization is very robust and can handle even exceptionally high learning rates (up to 0.5) without divergence. + +In summary, we have shown and numerically verified that at the equilibrium point of the global free-energy $\mathcal { F }$ on an arbitrary computation graph, the error units exactly equal the backpropagated gradients, and that this descent requires only local connectivity, does not require a separate phases or a sequential backwards sweep, and in the case of parameter-linear functions, requires only Hebbian plasticity. Our results provide a straightforward recipe for the direct implementation of predictive coding algorithms to approximate certain computation graphs, such as those found in common machine learning algorithms, in a potentially biologically plausible manner. Next, we showcase this capability by developing predictive coding variants of core machine learning architectures - convolutional neural networks (CNNs) recurrent neural networks (RNNs) and LSTMs (Hochreiter and Schmidhuber, 1997), and show performance comparable with backprop on tasks substantially more challenging than MNIST. + +![](images/9292bbe1ae88d409a9f3b91bda3253d79ee3cee4f06cd726f87d6fc16ddfe1e2.jpg) +Figure 2: Top: The computation graph of the nonlinear test function $v _ { L } = \tan ( \sqrt { \theta v _ { 0 } } ) + \sin ( v _ { 0 } ^ { 2 } )$ . Bottom: graphs of the log mean divergence from the true gradient and the divergence for different learning rates. Convergence to the exact gradients is exponential and robust to high learning rates. + +![](images/f9a6b6083a67fa6d2cb4502bc302488ebf2dcac1a82f7188dbbfd139f701ba51.jpg) +Figure 3: Training and test accuracy plots for the Predictive Coding and Backprop CNN on SVHN,CIFAR10, and CIFAR10 dataest over 5 seeds. Performance is largely indistinguishable. Due to the need to iterate the vs until convergence, the predictive coding network had roughly a $1 0 0 \mathrm { x }$ greater computational cost than the backprop network. + +First, we constructed predictive coding CNN models (see Appendix B for full implementation details). In the predictive coding CNN, each filter kernel was augmented with ‘error maps’ which measured the difference between the forward convolutional predictions and the backwards messages. Our CNN was composed of a convolutional layer, followed by a max-pooling layer, then two further convolutional layers followed by 3 fully-connected layers. We compared our predictive coding CNN to a backprop-trained CNN with the exact same architecture and hyperparameters. We tested our models on three image classification datasets significantly more challenging than MNIST – SVHN, CIFAR10, and CIFAR100. SVHN is a digit recognition task like MNIST, but has more naturalistic backgrounds, is in colour with continuously varying inputs and contains distractor digits. CIFAR10 and CIFAR100 are large image datasets composed of RGB $3 2 \mathbf { x } 3 2$ images. CIFAR10 has + +10 classes of image, while CIFAR100 is substantially more challenging with 100 possible classes. In general (Figure 3), performance was identical between the predictive coding and backprop CNNs and comparable to the standard performance of basic CNN models on these datasets, Moreover, the predictive coding gradient remained close to the true numerical gradient throughout training. + +![](images/4ebd0a0a4e44e28d41c7b437a46155ae83ced6a07d907922b968c52a55aebf61.jpg) +Figure 4: Test accuracy plots for the Predictive Coding and Backprop RNN and LSTM on their respective tasks, averaged over 5 seeds. Performance is again indistinguishable from backprop. + +We also constructed predictive coding RNN and LSTM models, thus demonstrating the ability of predictive coding to scale to non-parameter-linear, branching, computation graphs. The RNN was trained on a character-level name classification task, while the LSTM was trained on a next-character prediction task on the full works of Shakespeare. Full implementation details can be found in Appendices B and C. LSTMs and RNNs are recurrent networks which are trained through backpropagation through time (BPTT). BPTT simply unrolls the network through time and backpropagates through the unrolled graph. Analogously we trained the predictive coding RNN and LSTM by applying predictive coding to the unrolled computation graph. The depth of the unrolled graph depends heavily on the sequence length, and in our tasks using a sequence length of 100 we still found that predictive coding evinced rapid convergence to the correct numerical gradient, and that the performance was approximately identical to the equivalent backprop-trained networks (Figure 3), thus showing that the algorithm is scalable even to very deep computation graphs. + +# 5 DISCUSSION + +We have shown that predictive coding provides a local and potentially biologically plausible approximation to backprop on arbitrary, deep, and branching computation graphs. Moreover, convergence to the exact backprop gradients is rapid and robust, even in extremely deep graphs such as the unrolled LSTM. Our algorithm is fully parallelizable, does not require separate phases, and can produce equivalent performance to backprop in core machine-learning architectures. These results broaden the horizon of local approximations to backprop by demonstrating that they can be implemented on arbitrary computation graphs, not only simple MLP architectures. Our work prescribes a straightforward recipe for backpropagating through any computation graph with predictive coding using only local learning rules. In the future, this process could potentially be made fully automatic and translated onto neuromorphic hardware. Our results also raise the possibility that the brain may implement machine-learning type architectures much more directly than often considered. Many lines of work suggest a close correspondence between the representations and activations of CNNs and activity in higher visual areas (Yamins et al., 2014; Tacchetti et al., 2017; Eickenberg et al., 2017; Khaligh-Razavi and Kriegeskorte, 2014; Lindsay, 2020), for instance, and this similarity may be found to extend to other machine learning architectures. + +It is important to note that predictive coding, as advanced here, still retains some biologically implausible features. Although using only local and Hebbian updates, the predictive coding algorithm still requires identical forward and backwards weights, as well as mandating a very precise oneto-one connectivity structure between value neurons $v _ { i }$ and error neurons $\epsilon _ { i }$ . However, recent work (Millidge et al., 2020) has begun to show that these implausibilities can be relaxed using learnable backwards weights instead of requiring weight symmetry, and allowing for learnable dense connectivity between value and error neurons, without harm to performance in simple MLP settings. An additional limitation to the biological plausibility of our method is the fixed-prediction assumption, which requires that the feedforward pass values be somehow stored during the backwards iteration phase. In biological neurons this could potentially be implemented by utilizing synaptic mechanisms for maintaining information over short periods, such as eligibility traces, or alternatively through synchronised phase locking (Buzsaki, 2006). Alternatively, it is important to note that this fixed-prediction assumption is only required for exact convergence to backprop, and predictive coding networks have been shown to be able to attain strong discriminative classification performance without it (Whittington and Bogacz, 2017). + +Although we have implemented three core machine learning architectures as predictive coding networks, we have nevertheless focused on relatively small and straightforward networks and thus both our backprop and predictive coding networks perform below the state of the art on the presented tasks. This is primarily because our focus was on demonstrating the theoretical convergence between the two algorithms. Nevertheless, we believe that due to the generality of our theoretical results, ’scaling up’ the existing architectures to implement performance-matched predictive coding versions of more advanced machine learning architectures such as resnets (He et al., 2016), GANs (Goodfellow et al., 2014), and transformers (Vaswani et al., 2017) should be relatively straightforward. + +In terms of computational cost, one inference iteration in the predictive coding network is about as costly as a backprop backwards pass. Thus, due to using 100-200 iterations for full convergence, our algorithm is substantially more expensive than backprop which limits the scalability of our method. However, this serial cost is misleading when talking about highly parallel neural architectures. In the brain, neurons cannot wait for a sequential forward and backward sweep. By phrasing our algorithm as a global descent, our algorithm is fully parallel across layers. There is no waiting and no phases to be coordinated. Each neuron need only respond to its local driving inputs and downwards error signals. We believe that this local and parallelizable property of our algorithm may engender the possibility of substantially more efficient implementations on neuromorphic hardware (Furber et al., 2014; Merolla et al., 2014; Davies et al., 2018), which may ameliorate much of the computational overhead compared to backprop. Future work could also examine whether our method is more capable than backprop of handling the continuously varying inputs the brain is presented with in practice, rather than the artificial paradigm of being presented with a series of i.i.d. datapoints. + +Our work also reveals a close connection between backprop and inference. Namely, the recursive computation of gradients is effectively a by-product of a variational-inference algorithm which infers the values of the vertices of the computation graph under a hierarchical Gaussian generative model. While the deep connections between stochastic gradient descent and inference in terms of Kalman filtering (Ruck et al., 1992; Ollivier, 2019) or MCMC sampling methods (Chen et al., 2014; Mandt et al., 2017) is known, the relation between recursive gradient computation itself and variational inference is underexplored except in the case of a single layer (Amari, 1995). Our method can provide a principled generalisation of backprop through the inverse-variance $\Sigma ^ { - 1 }$ parameters of the Gaussian generative model. These parameters weight the relative contribution of different factors to the overall gradient by their uncertainty, thus naturally handling the case of backprop with differentially noisy inputs. Moreover, the $\Sigma ^ { - 1 }$ parameters can be learnt as a gradient descent on $\mathcal { F }$ : $\begin{array} { r } { \frac { d \Sigma _ { i } } { d t } = - \frac { d \mathcal { F } } { d \Sigma _ { i } } = - \bar { \Sigma } _ { i } ^ { - 1 } \epsilon _ { i } \epsilon _ { i } ^ { T } \Sigma _ { i } ^ { - 1 } - \Sigma _ { i } ^ { - 1 } } \end{array}$ . This specific generalisation is afforded by the Gaussian form of the generative model, however, and other generative models may yield novel optimisation algorithms able to quantify and handle uncertainties throughout the entire computational graph. + +# REFERENCES + +Mohamed Akrout, Collin Wilson, Peter Humphreys, Timothy Lillicrap, and Douglas B Tweed. Deep learning without weight transport. In Advances in Neural Information Processing Systems, pages 974–982, 2019. +Shun-Ichi Amari. Information geometry of the em and em algorithms for neural networks. Neural networks, 8(9):1379–1408, 1995. +Yali Amit. 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Proceedings of the National Academy of Sciences, 111(23):8619–8624, 2014. + +# APPENDIX A: PREDICTIVE CODING CNN IMPLEMENTATION DETAILS + +The key concept in a CNN is that of an image convolution, where a small weight matrix is ’slid’ (or convolved) across an image to produce an output image. Each patch of the output image only depends on a relatively small patch of the input image. Moreover, the weights of the filter stay the same during the convolution, so each pixel of the output image is generated using the same weights. The weight sharing implicit in the convolution operation enforces translational invariance, since different image patches are all processed with the same weights. + +The forward equations of a convolutional layer for a specific output pixel + +$$ +v _ { i , j } = \sum _ { k = i - f } ^ { k = i + f } \sum _ { l = j - f } ^ { l = j + f } \theta _ { k , l } x _ { i + k , j + l } +$$ + +Where $v _ { i , j }$ is the $( i , j )$ th element of the output, $x _ { i , j }$ is the element of the input image and $\theta _ { k , l }$ is an weight element of a feature map. To setup a predictive coding CNN, we augment each intermediate $x _ { i }$ and $v _ { i }$ with error units $\epsilon _ { i }$ of the same dimension as the output of the convolutional layer. + +Predictions $\hat { v }$ are projected forward using the forward equations. Prediction errors also need to be transmitted backwards for the architecture to work. To achieve this we must have that prediction errors are transmitted upwards by a ’backwards convolution’. We thus define the backwards prediction errors $\hat { \epsilon } _ { j }$ as follows: + +$$ +\hat { \epsilon } _ { i , j } = \sum _ { k = i - f } ^ { i + f } \sum _ { l = j - f } ^ { j + f } \theta _ { j , i } \tilde { \epsilon } _ { i , j } +$$ + +Where ˜ is an error map zero-padded to ensure the correct convolutional output size. Inference in the predictive coding network then proceeds by updating the intermediate values of each layer as follows: + +$$ +\frac { d v _ { l } } { d t } = \epsilon _ { l } - \hat { \epsilon } _ { l + 1 } +$$ + +Since the CNN is also parameter-linear, weights can be updated using the simple Hebbian rule of the multiplication of the pre and post synaptic potentials. + +$$ +\frac { d \theta _ { l } } { d t } = \sum _ { i , j } \epsilon _ { l _ { i , j } } v _ { l - 1 _ { i , j } } T +$$ + +There is an additional biological implausibility here due to the weight sharing of the CNN. Since the same weights are copied for each position on the image, the weight updates have contributions from all aspects of the image simultaneously which violates the locality condition. A simple fix for this, which makes the network scheme plausible is to simply give each position on the image a filter with separate weights, thus removing the weight sharing implicit in the CNN. In effect this gives each patch of pixels a local receptive field with its own set of weights. The performance and scalability of such a locally connected predictive coding architecture would be an interesting avenue for future work, as this architecture has substantial homologies with the structure of the visual cortex. + +![](images/b664fbe6caf747614fa35efbf0abd00377ef9548ee42cf7cd732c0e10c4eeea1.jpg) +Figure 5: Training loss plots for the Predictive Coding and Backprop CNN on SVHN,CIFAR10, and CIFAR10 dataset over 5 seeds. + +In our experiments we used a relatively simple CNN architecture consisting of one convolutional layer of kernel size 5, and a filter bank of 6 filters. This was followed by a max-pooling layer with a (2,2) kernel and a further convolutional layer with a (5,5) kernel and filter bank of 16 filters. This was then followed by three fully connected layers of 200, 150, and 10 (or 100 for CIFAR100) output units. Each convolutional and fully connected layer used the relu activation function, except the output layer which was linear. Although this architecture is far smaller than state of the art for convolutional networks, the primary point of our paper was to demonstrate the equivalence of predictive coding and backprop. Further work could investigate scaling up predictive coding to more state-of-the-art architectures. + +Our datasets consisted of $3 2 \mathbf { x } 3 2$ RGB images. We normalised the values of all pixels of each image to lie between 0 and 1, but otherwise performed no other image preprocessing. We did not use data augmentation of any kind. We set the weight learning rate for the predictive coding and backprop networks 0.0001. A minibatch size of 64 was used. These parameters were chosen without any detailed hyperparameter search and so are likely suboptimal. The magnitude of the gradient updates was clamped to lie between -50 and 50 in all of our models. This was done to prevent divergences, as occasionally occurred in the LSTM networks, likely due to exploding gradients. + +The predictive coding scheme converged to the exact backprop gradients very precisely within 100 inference iterations using an inference learning rate of 0.1. This gives the predictive coding CNN approximately a $1 0 0 \mathrm { x }$ computational overhead compared to backprop. The divergence between the true and approximate gradients remained approximately constant throughout training, as shown by Figure 5, which shows the mean divergence for each layer of the CNN over the course of an example training run on the CIFAR10 dataset. The training loss of the predictive coding and backprop networks for SVHN, CIFAR10 and CIFAR100 are presented in Figure 4. + +While the experiments in the main paper all used the mean-squared-error loss function, it is also possible to use alternative loss functions. In Figure 6, we show performance of the CNN on CIFAR and SVHN datasets is also very close to backprop when trained with a multi-class cross-entropy loss $\begin{array} { r } { L = \sum _ { i } T _ { i } \ln v _ { L i } } \end{array}$ . In this case the output layer used a softmax function as its nonlinearity, to ensure that the logits passed to the cross-entropy loss were valid probabilities. The cross-entropy loss is also straightforward to fit into the predictive coding framework since the gradient with respect to the pre-activations of the output is also just the negative prediction error ∂L∂v = T − vL, although the softmax function itself may be challenging to implement neurally since it is non-local as its’ normalisation coefficient requires of the exponentiated activities of all neurons in a layer. Nevertheless, this demonstrates that predictive coding can approximate backprop for any given loss function, not simply mean-square-error. + +# APPENDIX B: PREDICTIVE CODING RNN + +The computation graph on RNNs is relatively straightforward. We consider only a single layer RNN here although the architecture can be straightforwardly extended to hierarchically stacked RNNs. An RNN is similar to a feedforward network except that it possesses an additional hidden state $h$ which is maintained and updated over time as a function of both the current input $x$ and the previous hidden + +![](images/a30ecab114aa30238c977f454f0809ecfea468475120e1d6723be1b6a5498cc1.jpg) +Mean divergence between the true numerical and predictive coding backprops over the course of training. In general, the divergence appeared to follow a largely random walk pattern, and was generally neglible. Importantly, the divergence did not grow over time throughout training, implying that errors from slightly incorrect gradients did not appear to compound. + +![](images/e3fe87e900e6253bb61c1bd01ab0706a0ca2b370e86f7de2b833835c76242eb7.jpg) +(b) CIFAR training accuracy + +![](images/662c1c1e4c08635462aa7c2e474d6cd0ffd2024f40cf0da2f47b8625a95ba9c9.jpg) +(c) CIFAR test accuracy + +Training and test accuracies of the CNN network on the SVHN and CIFAR datasets using the cross-entropy loss. As can be seen performance remains very close to backprop, thus demonstrating that our predictive coding algorithm can be used with different loss functions, not just mean-squared-error. + +state. The output of the network $y$ is a function of $h$ . By considering the RNN at a single timestep we obtain the following equations. + +$$ +\begin{array} { l } { h _ { t } = f ( \theta _ { h } h _ { t - 1 } + \theta _ { x } x _ { t } ) } \\ { y _ { t } = g ( \theta _ { y } h _ { t } ) } \end{array} +$$ + +Where f and $\mathbf { g }$ are elementwise nonlinear activation functions. And $\theta _ { h } , \theta _ { x } , \theta _ { y }$ are weight matrices for each specific input. To predict a sequence the RNN simply rolls forward the above equations to generate new predictions and hidden states at each timestep. + +RNNs are typically trained through an algorithm called backpropagation through time (BPTT) which essentially just unrolls the RNN into a single feedforward computation graph and then performs backpropagation through this unrolled graph. To train the RNN using predictive coding we take the same approach and simply apply predictive coding to the unrolled graph. + +It is important to note that this is an additional aspect of biological implausibility that we do not address in this paper. BPTT requires updates to proceed backwards through time from the end of the sequence to the beginning. Ignoring any biological implausibility with the rules themselves, this updating sequence is clearly not biologically plausible as naively it requires maintaining the entire sequence of predictions and prediction errors perfectly in memory until the end of the sequence, and waiting until the sequence ends before making any updates. There is a small literature on trying to produce biologically plausible, or forward-looking approximations to BPTT which does not require updates to be propagated back through time (Williams and Zipser, 1989; Lillicrap and Santoro, 2019; Steil, 2004; Ollivier et al., 2015; Tallec and Ollivier, 2017). While this is a fascinating area, we do not address it in this paper. We are solely concerned with the fact that predictive coding approximates backpropagation on feedforward computation graphs for which the unrolled RNN graph is a sufficient substrate. + +To learn a predictive coding RNN, we first augment each of the variables $h _ { t }$ and $y _ { t }$ of the original graph with additional error units $\epsilon _ { h _ { t } }$ and $\epsilon _ { y _ { t } }$ . Predictions $\hat { y } _ { t } , \hat { h } _ { t }$ are generated according to the feedforward rules (16). A sequence of true labels $\{ T _ { 1 } . . . T _ { T } \}$ is then presented to the network, and then inference proceeds by recursively applying the following rules backwards through time until convergence. + +$$ +\begin{array} { r l } & { \epsilon _ { y _ { t } } = L - \hat { y } _ { t } } \\ & { \epsilon _ { h _ { t } } = h _ { t } - \hat { h } _ { t } } \\ & { \frac { d h _ { t } } { d t } = \epsilon _ { h _ { t } } - \epsilon _ { y _ { t } } \theta _ { y } ^ { T } - \epsilon _ { h _ { t + 1 } } \theta _ { h } ^ { T } } \end{array} +$$ + +Upon convergence the weights are updated according to the following rules. + +$$ +\begin{array} { l } { \displaystyle \frac { d \theta _ { y } } { d t } = \sum _ { t = 0 } ^ { T } \epsilon _ { y _ { t } } \frac { \partial g ( \theta _ { y } h _ { t } ) } { \partial \theta _ { y } } h _ { t } ^ { T } } \\ { \displaystyle \frac { d \theta _ { x } } { d t } = \sum _ { t = 0 } ^ { T } \epsilon _ { h _ { t } } \frac { \partial f ( \theta _ { h } h _ { t - 1 } + \theta _ { x } x _ { t } ) } { \partial \theta _ { x } } x _ { t } ^ { T } } \\ { \displaystyle \frac { d \theta _ { h } } { d t } = \sum _ { t = 0 } ^ { T } \epsilon _ { h _ { t } } \frac { \partial f ( \theta _ { h } h _ { t - 1 } + \theta _ { x } x _ { t } ) } { \partial \theta _ { h } } h _ { t + 1 } ^ { T } } \end{array} +$$ + +Since the RNN feedforward updates are parameter-linear, these rules are Hebbian, only requiring the multiplication of pre and post-synaptic potentials. This means that the predictive coding updates proposed here are biologically plausible and could in theory be implemented in the brain. The only biological implausibility remains the BPTT learning scheme. + +Our RNN was trained on a simple character-level name-origin dataset which can be found here: https://download.pytorch.org/tutorial/data.zip. The RNN was presented with sequences of characters representing names and had to predict the national origin of the name – French, Spanish, Russian, etc. The characters were presented to the network as one-hot-encoded vectors without any embedding. The output categories were also presented as a one-hot vector. The RNN has a hidden size of 256 units. A tanh nonlinearity was used between hidden states and the output layer was linear. The network was trained on randomly selected name-category pairs from the dataset. The training loss for the predictive coding and backprop RNNs, averaged over 5 seeds is presented below (Figure 7). + +![](images/a48a307bc5ea3c6954a93c1648d78aa66eb72139165d022203026ca618dd3749.jpg) +Figure 8: Training losses for the predictive coding and backprop RNN. As expected, they are effectively identical. + +# APPENDIX C: PREDICTIVE CODING LSTM IMPLEMENTATION DETAILS + +![](images/f5f44449d51e595ebfb774e53ea4ba3f9f4c443e953647791bf19df12d73ff38.jpg) +Figure 9: Computation graph and backprop learning rules for a single LSTM cell. + +Unlike the other two models, the LSTM possesses a complex and branching internal computation graph, and is thus a good opportunity to make explicit the predictive coding ’recipe’ for approximating backprop on arbitrary computation graphs. The computation graph for a single LSTM cell is shown (with backprop updates) in Figure 8. Prediction for the LSTM occurs by simply rolling forward a copy of the LSTM cell for each timestep. The LSTM cell receives its hidden state $h _ { t }$ and cell state $c _ { t }$ from the previous timestep. During training we compute derivatives on the unrolled computation graph and receive backwards derivatives (or prediction errors) from the LSTM cell at time $t + 1$ . + +The equations that specify the computation graph of the LSTM cell are as follows. + +$$ +\begin{array} { r l } & { v _ { 1 } = h _ { i } \oplus \hat { \varpi } x _ { t } } \\ & { v _ { 2 } = \sigma ( \theta _ { i } v _ { 1 } ) } \\ & { v _ { 3 } = c _ { i } v _ { 2 } } \\ & { v _ { 4 } = \sigma ( \theta _ { i n p } v _ { 1 } ) } \\ & { v _ { 5 } = \mathrm { t a n h } ( \theta _ { e } v _ { 1 } ) } \\ & { v _ { 6 } = v _ { 1 } v _ { 5 } } \\ & { v _ { 7 } = v _ { 3 } + v _ { 6 } } \\ & { v _ { 8 } = \sigma ( \theta _ { o } v _ { 1 } ) } \\ & { v _ { 9 } = \mathrm { t a n h } ( v _ { 7 } ) } \\ & { v _ { 1 0 } = v _ { 8 } v _ { 9 } } \\ & { y = \sigma ( \theta _ { o } v _ { 1 0 } ) } \end{array} +$$ + +The recipe to convert this computation graph into a predictive coding algorithm is straightforward. +We first rewire the connectivity so that the predictions are set to the forward functions of their parents. +We then compute the errors between the vertices and the predictions. + +$$ +\begin{array} { r l } & { \mathrm { ~ V _ { 2 } ~ } = - \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 } ~ } = \nu _ { 2 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 } ~ } = \nu _ { 3 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 3 } ~ } = - \nu _ { 4 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 4 } ~ } = - \nu _ { 4 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 5 } ~ } = - \nu _ { 5 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 6 } ~ } = \nu _ { 5 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 7 } ~ } = \nu _ { 6 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 8 } ~ } = - \nu _ { 7 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 8 } ~ } = \nu _ { 7 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 8 } ~ } = - \nu _ { 8 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 8 } ~ } = - \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 9 } ~ } = \nu _ { 8 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 8 } ~ } = - \nu _ { 1 0 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 1 0 } ~ } = \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 1 0 } ~ } = \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 1 0 } ~ } = \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 0 } ~ } = \nu _ { 2 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 0 } ~ } = - \nu _ { 1 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 0 } ~ } = \nu _ { 2 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 0 } ~ } = \nu _ { 2 } \langle \mathbf { \lambda } \rangle , } \\ & { \mathrm { ~ V _ { 2 0 } ~ } = \nu _ { 2 } \langle \mathbf { \lambda } \rangle , } \end{array} +$$ + +During inference, the inputs $h _ { t } , x _ { t }$ and the output $y _ { t }$ are fixed. The vertices and then the prediction errors are updated according to Equation 2. This recipe is straightforward and can easily be extended to other more complex machine learning architectures. The full augmented computation graph, including the vertex update rules, is presented in Figure 9. + +Empirically, we observed rapid convergence to the exact backprop gradients even in the case of very deep computation graphs (as is an unrolled LSTM with a sequence length of 100). Although convergence was slower than was the case for CNNs or lesser sequence lengths, it was still straightforward to achieve convergence to the exact numerical gradients with sufficient iterations. + +Below we plot the mean divergence between the predictive coding and true numerical gradients as a function of sequence length (and hence depth of graph) for a fixed computational budget of 200 iterations with an inference learning rate of 0.05. As can be seen, the divergence increases roughly linearly with sequence length. Importantly, even with long sequences, the divergence is not especially large, and can be decreased further by increasing the computational budget. As the increase is linear, we believe that predictive coding approaches should be scalable even for backpropagating through very deep and complex graphs. + +![](images/0e931b4f9a9e8c9ed5508cc55246ac5363b327e4e5c12a2949acb84ad02a7c32.jpg) +Figure 10: The LSTM cell computation graph augmented with error units, evincing the connectivity scheme of the predictive coding algorithm. + +We also plot the number of iterations required to reach a given convergence threshold (here taken to be 0.005) as a function of sequence length (Figure 11). We see that the number of iterations required increases sublinearly with the sequence length, and likely asymptotes at about 300 iterations. Although this is a lot of iterations, the sublinear convergence nevertheless shows that the method can scale to even extremely deep graphs. + +Our architecture consisted of a single LSTM layer (more complex architectures would consist of multiple stacked LSTM layers). The LSTM was trained on a next-character character-level prediction task. The dataset was the full works of Shakespeare, downloadable from Tensorflow. The text was shuffled and split into sequences of 50 characters, which were fed to the LSTM one character at a time. The LSTM was trained then to predict the next character, so as to ultimately be able to generate text. The characters were presented as one-hot-encoded vectors. The LSTM had a hidden size and a cell-size of 1056 units. A minibatch size of 64 was used and a weight learning rate of 0.0001 was used for both predictive coding and backprop networks. To achieve sufficient numerical convergence to the correct gradient, we used 200 variational iterations with an inference learning rate of 0.1. This rendered the predictive LSTM approximately $2 0 0 \mathrm { x }$ as costly as the backprop LSTM to run. A graph of the LSTM training loss for both predictive coding and backprop LSTMs, averaged over 5 random seeds, can be found below (Figure 12). + +# APPENDIX D: DERIVATION OF THE FREE ENERGY FUNCTIONAL + +Here we derive in detail the form of the free-energy functional used in sections 2 and 4. We also expand upon the assumptions required and the precise form of the generative model and variational density. Much of this material is presented with considerably more detail in Buckley et al. (2017), and more approachably in Bogacz (2017). + +Given an arbitrary computation graph with vertices $\{ y _ { i } \}$ , which we treat as random variables. Here we treat explicitly an important fact that we glossed over for notational convenience in the introduction. The $v _ { i } \mathrm { s }$ which are optimized in the free-energy functional are technically the mean parameters of the variational density $Q ( y _ { i } ; v _ { i } , \sigma _ { i } ) -$ i.e. they represent the mean (variational) belief of the value of the vertex. The vertex values in the model, which we here denote as $\{ y _ { i } \}$ , are technically separate. However, due to our Gaussian assumptions, and the expectation under the variational density, in effect we end up replacing the $y _ { i }$ with the $v _ { i }$ and optimizing the $v _ { i } \mathbf { s }$ , so in the interests of space and notational simplicity we began as if the $v _ { i } \mathbf { s }$ were variables in the generative model, but they are not. They are parameters of the variational distribution. + +![](images/ee2d287bd0adf9fb47ec871e514ebe2834ac176d41728be5bc8093a0eef2cd95.jpg) +Figure 11: Divergence between predictive coding and numerical gradients as a function of sequence length. + +![](images/f9df0d6bfc0a1591c2ae85cca85c0188bb67df246d059af0356ea1ec3798fd25.jpg) +Figure 12: Number of iterations to reach convergence threshold as a function of sequence length. + +![](images/7866ef96faf5afea9d8a0d211e72752f807f5819c0c7c85ef034867cf9904cf0.jpg) +Figure 13: Training losses for the predictive coding and backprop LSTMs averaged over 5 seeds. The performance of the two training methods is effectively equivalent. + +Given an input $y _ { 0 }$ and a target $y _ { N }$ (the multiple input and/or output case is a straightforward generalization). We wish to infer the posterior $p \big ( y _ { 1 : N - 1 } \big | y _ { 0 } , y _ { N } \big )$ . We approximate this intractable posterior with variational inference. Variational inference proceeds by defining an approximate posterior $Q \big ( y _ { 1 : N - 1 } ; \phi \big )$ with some arbitrary parameters $\phi$ . We then wish to minimize the KL divergence between the true and approximate posterior. + +$$ +\underset { \phi } { \operatorname { a r g m i n } } \ : \mathbb { K L } [ Q ( y _ { 1 : N - 1 } ; \phi ) | | p ( y _ { 1 : N - 1 } | y _ { 0 } , y _ { N } ) ] +$$ + +Although this KL is itself intractable, since it includes the intractable posterior, we can derive a tractable bound on this KL called the variational free-energy. + +$$ +\begin{array} { r l } & { \mathbb { E } \mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \phi ) \| p ( y _ { 1 : N } | y _ { 0 } , y _ { N } ) ] = \mathbb { E } \mathbb { L } [ Q ( y _ { 1 : N - 1 } ) \| \frac { p ( y _ { 1 : N } , y _ { 0 } , y _ { N } ) } { p ( y _ { 0 } , y _ { N } ) } ] } \\ & { \qquad = \mathbb { E } \mathbb { L } [ Q ( y _ { 1 : N } ; \phi ) \| p ( y _ { 1 : N } , y _ { 0 } ) ] + \ln p ( y _ { 0 } , y _ { N } ) } \\ & { \qquad \Rightarrow \underbrace { \mathbb { K } \mathbb { L } [ Q ( y _ { 1 : N } ; \phi ) \| p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ] } _ { - \mathcal { F } } \leq \mathbb { K } \mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \phi ) \| p ( y _ { 1 } } \\ & { \qquad \quad - } \end{array} +$$ + +We define the negative free-energy $- \mathcal { F } = \mathbb { K L } [ Q ( y _ { 1 : N - 1 ) } | | p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ]$ which is a lower bound on the divergence between the true and approximate posteriors. By thus maximizing the negative free-energy (which is identical to the ELBO (Beal et al., 2003; Blei et al., 2017)), or equivalently minimizing the free-energy, we decrease this divergence and make the variational distribution a better approximation to the true posterior. + +To proceed further, it is necessary to define an explicit form of the generative model $p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } )$ and the approximate posterior $Q \big ( y _ { 1 : N - 1 } ; \phi \big )$ . In predictive coding, we define a hierarchical Gaussian generative model which mirrors the exact structure of the computation graph + +$$ +p ( \boldsymbol { y } _ { 0 : N } ) = \mathcal { N } ( \boldsymbol { y } _ { 0 } ; \boldsymbol { \bar { y _ { 0 } } } , \boldsymbol { \Sigma } _ { 0 } ) \prod _ { i = 1 } ^ { N } \mathcal { N } ( \boldsymbol { y } _ { i } ; \boldsymbol { f } ( \mathcal { P } ( \boldsymbol { y } _ { i } ) ; \boldsymbol { \theta } _ { \boldsymbol { y } _ { j } \in \mathcal { P } ( \boldsymbol { y } _ { i } ) } ) , \boldsymbol { \Sigma } _ { i } ) ; +$$ + +Where essentially each vertex $y _ { i }$ is a Gaussian with a mean which is a function of the prediction of all the parents of the vertex, and the parameters of their edge-functions. $\bar { y _ { 0 } }$ is effectively an ”input-prior” which is set to 0 throughout and ignored. The output vertices $y _ { N } = T$ are set to the target $T$ . + +We also define the variational density to be Gaussian with mean $v _ { 1 : N - 1 }$ and variance $\sigma _ { 1 : N - 1 }$ , but under a mean field approximation, so that the approximation at each node is independent of all others + +(note the variational variance is denoted $\sigma$ while the variance of the generative model is denoted $\Sigma$ . The lower-case $\sigma$ is not used to denote a scalar variable – both variances can be multivariate – but to distinguish between variational and generative variances) + +$$ +Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \sigma _ { 1 : N - 1 } ) = \prod _ { i = 1 } ^ { N - 1 } \mathcal { N } ( y _ { i } ; v _ { i } , \sigma _ { i } ) +$$ + +We now can express the free-energy functional concretely. First we decompose it as the sum of an energy and an entropy + +$$ +\begin{array} { r l } & { = \mathbb { E } \mathbb { L } [ Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \sigma _ { 1 : N - 1 } ) | | p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } \\ & { = \underbrace { - \mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \sigma _ { 1 : N - 1 } ) } [ \ln p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } _ { E n e r g y } + \underbrace { \mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \sigma _ { 1 : N - 1 } ) } [ \ln Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } ) ] } _ { E n t r e p y } } \end{array} +$$ + +Then, taking the entropy term first, we can express it concretely in terms of normal distributions. + +$$ +\begin{array} { r l } { \underset { m \leq i - 1 , ( j , \eta _ { 1 } , \eta _ { 1 } , \eta _ { 1 } ) = 1 } { \overset { N - 1 } { \prod } } \mathrm { H } Q ( y _ { i ; \mathcal { N } - 1 } ; v _ { 1 ; \mathcal { N } - 1 } , \sigma _ { 1 ; N - 1 } ) \underset { i = 1 } { \overset { N - 1 } { \prod } } ( \underset { \delta \neq j \leq i } { \overset { N - 1 } { \prod } } , v _ { 1 ; \mathcal { N } - 1 } ) \underset { i = 1 } { \overset { N - 1 } { \prod } } \mathrm { H } W ( y _ { i ; \mathcal { N } , \eta _ { i } } , \sigma _ { i } ) \underset { i = 1 } { \overset { N - 1 } { \prod } } } \\ & { = \underset { i = 1 } { \overset { N - 1 } { \prod } } \mathrm { H } Q _ { ( y _ { i ; \mathcal { N } , \eta _ { i } } , \sigma _ { i } ) } [ \underset { \delta \neq j } { \overset { N - 1 } { \prod } } , v _ { i } ; \sigma _ { i } ) \underset { i = 1 } { \overset { N } { \prod } } } \\ & { = \underset { i = 1 } { \overset { N - 1 } { \prod } } \mathrm { H } Q _ { ( y _ { i ; \mathcal { N } , \eta _ { i } } , \sigma _ { i } ) } [ - \frac { 1 } { 2 } \mathrm { h } \mathrm { d e t } ( 2 \pi \sigma _ { i } \sigma _ { i } ) ] + \underset { \mathbb { P } _ { Q ( y _ { i } ; \mathcal { N } , \eta _ { i } ) } [ \frac { 1 } { 2 } } { \overset { N - 1 } { \prod } } } \\ & { = \underset { i = 1 } { \overset { N - 1 } { \prod } } - \frac { 1 } { 2 } \mathrm { h } \mathrm { d e t } ( 2 \pi \sigma _ { i } ) ] + \frac { \sigma _ { i } } { 2 \sigma _ { i } } } \\ & { = \underset { i = 1 } { \overset { N } { \prod } } + \underset { i = 1 } { \overset { N - 1 } { \prod } } - \frac { 1 } { 2 } \mathrm { h } \mathrm { d e t } ( 2 \pi \sigma _ { i } ) } \end{array} +$$ + +The entropy of a multivariate gaussian has a simple analytical form depending only on the variance. Next we turn to the energy term, which is more complex. To derive a clean analytical result, we must make a further assumption, the Laplace approximation, which requires the variational density to be tightly peaked around the mean so the only non-negligible contribution to the expectation is from regions around the mean. This means that we can successfully approximate the approximate posterior with a second-order Taylor expansion around the mean. From the first line onwards we ignore the $\ln p ( y _ { 0 } )$ and $\ln p ( y _ { N } | \mathcal { P } ( y _ { N } ) )$ which lie outside the expectation. + +$$ +\begin{array} { r l } { \hat { \mathcal { L } } _ { Q ( y _ { 1 } , N - 1 ; \mathcal { V } _ { 1 } , N - 1 , \mathcal { O } _ { 1 } , N - 1 ) } [ \ln p ( y _ { 0 } , N ) ] = \ln p ( y _ { 0 } ) + \ln p ( y _ { N } | \mathcal { P } ( y _ { N } ) ) + \displaystyle \sum _ { i = 1 } ^ { N - 1 } \mathbb { E } _ { Q ( y _ { i } ; \mathcal { P } _ { i } , \sigma _ { i } ) } [ \ln p ( y _ { i } | \mathcal { P } ( y _ { i } ) ) } & { } \\ { = \displaystyle \sum _ { i = 1 } ^ { N } E _ { Q } [ \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) ] + \mathbb { E } _ { Q } [ \frac { \partial \ln p ( y _ { i } | \mathcal { P } ( y _ { k } ) ) } { \partial y _ { i } } ( v _ { i } - y _ { i } ) ] } & { } \\ { + \mathbb { E } _ { Q } [ \frac { d ^ { 2 } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) } { d y _ { i } ^ { 2 } } ( v _ { i } - y _ { i } ) ^ { 2 } ] } & { } \\ { = \displaystyle \sum _ { i = 1 } ^ { N } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) + \frac { \partial ^ { 2 } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) } { \partial y _ { i } ^ { 2 } } \sigma _ { i } } & { } \end{array} +$$ + +Where the second term in the Taylor expansion evaluates to 0 since $\mathbb { E } _ { Q } [ y _ { i } - v _ { i } ] = ( v _ { i } - v _ { i } ) = 0$ and the third term contains the expression for the variance $\mathbb { E } _ { Q } [ ( y _ { i } - v _ { i } ) ^ { 2 } ] = \sigma _ { i }$ . + +We can then write out the full Laplace-encoded free-energy as: + +$$ +- \mathcal { F } = \sum _ { i = 1 } ^ { N } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) + \frac { \partial ^ { 2 } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) } { \partial y _ { i } ^ { 2 } } \sigma _ { i } - - \frac { 1 } { 2 } \ln \operatorname* { d e t } ( 2 \pi \sigma _ { i } ) +$$ + +We wish to minimize $\mathcal { F }$ with respect to the variational parameters $v _ { i }$ and $\sigma _ { i }$ . There is in fact a closedform expression for the optimal variational variance which can be obtained simply by differentiating and setting the derivative to 0. + +$$ +\begin{array} { c } { \displaystyle \frac { \partial \mathcal { F } } { \partial \sigma _ { i } } = \frac { \partial ^ { 2 } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) } { \partial y _ { i } ^ { 2 } } - \sigma _ { i } ^ { - 1 } } \\ { \displaystyle \frac { \partial \mathcal { F } } { \partial \sigma _ { i } } = 0 \Rightarrow \sigma _ { i } ^ { * } = \frac { \partial ^ { 2 } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) } { \partial y _ { i } ^ { 2 } } ^ { - 1 } } \end{array} +$$ + +Because of this analytical result for the variational variance, we do not need to consider it further in the optimisation problem, and only consider minimizing the variational means $v _ { i }$ . This renders all the terms in the free-energy except the $\ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) )$ terms constant with respect to the variational parameters. This allows us to write: + +$$ +- \mathcal { F } \approx \ln p ( y _ { N } | \mathcal { P } ( y _ { N } ) ) + \sum _ { i = 1 } ^ { N } \ln p ( v _ { i } | \mathcal { P } ( y _ { i } ) ) +$$ + +as presented in section 2. The first term $\ln p ( y _ { N } | \mathcal { P } ( y _ { N } ) )$ is effectively the loss at the output $( y _ { N } = T ,$ ) so becomes an additional prediction error $\ln p ( y _ { N } | \mathcal { P } ( y _ { N } ) ) \propto ( T - \hat { v } _ { N } ) ^ { T } \Sigma _ { N } ^ { - 1 } ( T - \hat { v } _ { N } )$ which can be absorbed into the sum over other prediction errors. Crucially, although the variational variances have an analytical form, the variances of the generative model (the precisions $\Sigma _ { i }$ ) do not and can be optimised directly to improve the log model-evidence. These precisions allow for a kind of ’uncertainty-aware’ backprop. + +# DERIVATION OF VARIATIONAL UPDATE RULES AND FIXED POINTS + +Here, starting from Equation 10, we show how to obtain the variational update rule for the $v _ { i }$ ’s (Equation 2), and the fixed point equations (Equation 5) (Friston, 2008; 2005; Bogacz, 2017). We first reduce the free-energy to a sum of prediction errors. + +$$ +\begin{array} { r l } { { - \mathcal { F } \approx \sum _ { i = 1 } ^ { N } \ln p ( v _ { i } | \mathcal { P } ( v _ { i } ) ) } } \\ & { \approx \displaystyle \sum _ { i = 1 } ^ { N } ( v _ { i } - f ( \mathcal { P } ( v _ { 1 } ) ) ^ { T } \Sigma _ { i } ^ { - 1 } ( v _ { i } - f ( \mathcal { P } ( v _ { 1 } ) ) ^ { T } + \ln 2 \pi \Sigma _ { i } ^ { - 1 } } \\ & { = \displaystyle \sum _ { i = 1 } ^ { N } \epsilon _ { i } ^ { T } \epsilon _ { i } + \ln 2 \pi \Sigma _ { i } ^ { - 1 } } \end{array} +$$ + +Where $\epsilon _ { i } = v _ { i } - f ( \mathcal { P } ( v _ { 1 } ) )$ , and we have utilized the assumption made in section 2 that $\Sigma ^ { - 1 } = \mathbf { I }$ . By setting all precisions to the identity, we are implicitly assuming that all datapoints and vertices of the computational graph have equal variance. Next we assume that the dynamics of each vertex $v _ { i }$ follow a gradient descent on the free-energy. + +$$ +\begin{array} { c } { { \displaystyle - \frac { d v _ { i } } { d t } = \frac { \partial \mathcal { F } } { \partial v _ { i } } = \frac { \partial } { \partial v _ { i } } [ \sum _ { j = 1 } ^ { N } \epsilon _ { j } ^ { T } \epsilon _ { j } ] } } \\ { { = \epsilon _ { i } \frac { \partial \epsilon _ { i } } { \partial v _ { i } } + \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \epsilon _ { j } } { \partial v _ { i } } } } \\ { { = \epsilon _ { i } - \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \hat { v } _ { j } } { \partial v _ { i } } } } \end{array} +$$ + +Where we have used the fact that ∂i = 1 and $\begin{array} { r } { \frac { \partial \epsilon _ { j } } { \partial v _ { j } } = - \frac { \partial \hat { v } _ { j } } { \partial v _ { i } } } \end{array}$ − ∂vˆj∂v . To obtain the fixed point of the dynamics, ∂vi +we simply solve for dvi = 0. + +$$ +\begin{array} { c } { \displaystyle \frac { d v _ { i } } { d t } = \frac { \partial \mathcal { F } } { \partial v _ { i } } = 0 } \\ { \displaystyle \Rightarrow 0 = \epsilon _ { i } - \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \hat { v } _ { j } } { \partial v _ { i } } } \\ { \displaystyle \Rightarrow \epsilon _ { i } ^ { * } = \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \hat { v } _ { j } ^ { * } } { \partial v _ { i } ^ { * } } } \end{array} +$$ + +Similarly, since $\epsilon _ { i } ^ { * } = v _ { i } ^ { * } - \hat { v } _ { i } ^ { * }$ then $v _ { i } ^ { * } = \epsilon _ { i } ^ { * } + \hat { v } _ { i } ^ { * }$ . So: + +$$ +\begin{array} { c } { \displaystyle { v _ { i } ^ { * } = \epsilon _ { i } ^ { * } + \hat { v } _ { i } ^ { * } } } \\ { \displaystyle { = \hat { v } _ { i } ^ { * } - \sum _ { j \in \mathcal { C } ( v _ { i } ) } \epsilon _ { j } \frac { \partial \hat { v } _ { j } ^ { * } } { \partial { v _ { i } ^ { * } } } } } \end{array} +$$ \ No newline at end of file diff --git a/parse/train/PdauS7wZBfC/PdauS7wZBfC_content_list.json b/parse/train/PdauS7wZBfC/PdauS7wZBfC_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..d1b06f659916cbd0b01df72d25fc0a8b6f05044e --- /dev/null +++ b/parse/train/PdauS7wZBfC/PdauS7wZBfC_content_list.json @@ -0,0 +1,2699 @@ +[ + { + "type": "text", + "text": "PREDICTIVE CODING APPROXIMATES BACKPROP ALONG ARBITRARY COMPUTATION GRAPHS ", + "text_level": 1, + "bbox": [ + 176, + 98, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Backpropagation of error (backprop) is a powerful algorithm for training machine learning architectures through end-to-end differentiation. Recently it has been shown that backprop in multilayer-perceptrons (MLPs) can be approximated using predictive coding, a biologically-plausible process theory of cortical computation which relies solely on local and Hebbian updates. The power of backprop, however, lies not in its instantiation in MLPs, but rather in the concept of automatic differentiation which allows for the optimisation of any differentiable program expressed as a computation graph. Here, we demonstrate that predictive coding converges asymptotically (and in practice rapidly) to exact backprop gradients on arbitrary computation graphs using only local learning rules. We apply this result to develop a straightforward strategy to translate core machine learning architectures into their predictive coding equivalents. We construct predictive coding CNNs, RNNs, and the more complex LSTMs, which include a non-layer-like branching internal graph structure and multiplicative interactions. Our models perform equivalently to backprop on challenging machine learning benchmarks, while utilising only local and (mostly) Hebbian plasticity. Our method raises the potential that standard machine learning algorithms could in principle be directly implemented in neural circuitry, and may also contribute to the development of completely distributed neuromorphic architectures. ", + "bbox": [ + 233, + 263, + 766, + 529 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 553, + 336, + 568 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep learning has seen stunning successes in the last decade in computer vision (Krizhevsky et al., 2012; Szegedy et al., 2015), natural language processing and translation (Vaswani et al., 2017; Radford et al., 2019; Kaplan et al., 2020), and computer game playing (Mnih et al., 2015; Silver et al., 2017; Schrittwieser et al., 2019; Vinyals et al., 2019). While there is a great variety of architectures and models, they are all trained by gradient descent using gradients computed by automatic differentiation (AD). The key insight of AD is that it suffices to define a forward model which maps inputs to predictions according to some parameters. Then, using the chain rule of calculus, it is possible, as long as every operation of the forward model is differentiable, to differentiate back through the computation graph of the model so as to compute the sensitivity of every parameter in the model to the error at the output, and thus adjust every single parameter to best minimize the total loss. Early models were typically simple artificial neural networks where the computation graph is simply a composition of matrix multiplications and elementwise nonlinearities, and for which the implementation of automatic differentation has become known as ‘backpropagation’ (or ’backprop’). However, automatic differentiation allows for substantially more complicated graphs to be differentiated through, up to, and including, arbitrary programs (Griewank et al., 1989; Baydin et al., 2017; Paszke et al., 2017; Revels et al., 2016; Innes et al., 2019; Werbos, 1982; Rumelhart and Zipser, 1985; Linnainmaa, 1970). In recent years this has enabled the differentiation through differential equation solvers (Chen et al., 2018; Tzen and Raginsky, 2019; Rackauckas et al., 2019), physics engines (Degrave et al., 2019; Heiden et al., 2019), raytracers (Pal, 2019), and planning algorithms (Amos and Yarats, 2019; Okada et al., 2017). These advances allow the straightforward training of models which intrinsically embody complex processes and which can encode significantly more prior knowledge and structure about a given problem domain than previously possible. ", + "bbox": [ + 174, + 583, + 825, + 888 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Modern deep learning has also been closely intertwined with neuroscience (Hassabis et al., 2017; Hawkins and Blakeslee, 2007; Richards et al., 2019). The backpropagation algorithm itself arose as a technique for training multi-layer perceptrons – simple hierarchical models of neurons inspired by the brain (Werbos, 1982). Despite this origin, and its empirical successes, a consensus has emerged that the brain cannot directly implement backprop, since to do so would require biologically implausible connection rules (Crick, 1989). There are two principal problems. Firstly, backprop in the brain appears to require non-local information (since the activity of any specific neuron affects all subsequent neurons down to the final output neuron). It is difficult to see how this information could be transmitted ’backwards’ throughout the brain with the required fidelity without precise connectivity constraints. The second problem – the ‘weight transport problem’ is that backprop through MLP style networks requires identical forward and backwards weights. In recent years, however, a succession of models have been introduced which claim to implement backprop in MLP-style models using only biologically plausible connectivity schemes, and Hebbian learning rules (Liao et al., 2016; Guerguiev et al., 2017; Sacramento et al., 2018; Bengio and Fischer, 2015; Bengio et al., 2017; Ororbia et al., 2020; Whittington and Bogacz, 2019). Of particular significance is Whittington and Bogacz (2017) who show that predictive coding networks – a type of biologically plausible network which learn through a hierarchical process of prediction error minimization – are mathematically equivalent to backprop in MLP models. In this paper we extend this work, showing that predictive coding can not only approximate backprop in MLPs, but can approximate automatic differentiation along arbitrary computation graphs. This means that in theory there exist potentially biologically plausible algorithms for differentiating through arbitrary programs, utilizing only local connectivity. Moreover, in a class of models which we call parameter-linear, which includes many current machine learning models, the required update rules are Hebbian, raising the possibility that a wide range of current machine learning architectures may be faithfully implemented in the brain, or in neuromorphic hardware. ", + "bbox": [ + 176, + 895, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 409 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper we provide two main contributions. (i) We show that predictive coding converges to automatic differentiation across arbitrary computation graphs. (ii) We showcase this result by implementing three core machine learning architectures (CNNs, RNNs, and LSTMs) in a predictive coding framework which utilises only local learning rules and mostly Hebbian plasticity. ", + "bbox": [ + 174, + 415, + 825, + 472 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 PREDICTIVE CODING ON ARBITRARY COMPUTATION GRAPHS ", + "text_level": 1, + "bbox": [ + 176, + 492, + 722, + 508 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/b90a726f3cc2d48f3bf69f7fbaa9154d96df283d5548a86d09bd45a4b09d4f4a.jpg", + "image_caption": [ + "Figure 1: Top: Backpropagation on a chain. Backprop proceeds backwards sequentially and explicitly computes the gradient at each step on the chain. Bottom: Predictive coding on a chain. Predictions, and prediction errors are updated in parallel using only local information. " + ], + "image_footnote": [], + "bbox": [ + 204, + 542, + 794, + 797 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Predictive coding is an influential theory of cortical function in theoretical and computational neuroscience. Central to the theory is the idea that the core function of the brain is to minimize prediction errors between what is expected to happen and what actually happens. Predictive coding views the brain as composed of multiple hierarchical layers which predict the activities of the layers below. Unpredicted activity is registered as prediction error which is then transmitted upwards for a higher layer to process. Over time, synaptic connections are adjusted so that the system improves at minimizing prediction error. Predictive coding possesses a wealth of empirical support (Friston, 2003; 2005; Bogacz, 2017; Whittington and Bogacz, 2019) and offers a single mechanism that accounts for diverse perceptual phenomena such as repetition-suppression (Auksztulewicz and Friston, 2016), endstopping (Rao and Ballard, 1999), bistable perception (Hohwy et al., 2008; Weilnhammer et al., 2017) and illusory motions (Lotter et al., 2016; Watanabe et al., 2018), and even attentional modulation of neural activity (Feldman and Friston, 2010; Kanai et al., 2015). Moreover, the central role of top-down predictions is consistent with the ubiquity, and importance of, top-down diffuse connections between cortical areas. Predictive coding is consistent with many known aspects of neurophysiology, and has been translated into biologically plausible process theories which define candidate cortical microcircuits which can implement the algorithm. (Spratling, 2008; Bastos et al., 2012; Kanai et al., 2015; Shipp, 2016). ", + "bbox": [ + 176, + 882, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 297 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In previous work, predictive coding has always been conceptualised as operating on hierarchies of layers (Bogacz, 2017; Whittington and Bogacz, 2017). Here we present a generalized form of predictive coding applied to arbitrary computation graphs. A computation graph $\\mathcal { G } = \\{ \\mathbb { E } , \\mathbb { V } \\}$ is a directed acyclic graph (DAG) which can represent the computational flow of essentially any program or computable function as a composition of elementary functions. Each edge $e _ { i } \\in \\mathbb { E }$ of the graph corresponds to an intermediate step – the application of an elementary function – while each vertex $v _ { i } \\in \\mathbb { V }$ is an intermediate variable computed by applying the functions of the edges to the values of their originating vertices. In this paper, $v _ { i }$ denotes the vector of activations within a layer and we denote the set of all vertices as $\\{ v _ { i } \\}$ . Effectively, computation flows ’forward’ from parent nodes to all their children through the edge functions until the leaf nodes give the final output of the program as a whole (see Figure 1 and 2 for an example). Given a target $T$ and a loss function $L = g ( \\mathbf { \\bar { \\mathit { T } } } , \\mathbf { \\bar { v } } _ { o u t } )$ , the graph’s output can be evaluated and, and if every edge function is differentiable, automatic differentiation can be performed on the computation graph. ", + "bbox": [ + 174, + 304, + 825, + 486 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Predictive coding can be derived elegantly as a variational inference algorithm under a hierarchical Gaussian generative model (Friston, 2005; Buckley et al., 2017). We extend this approach to arbitrary computation graphs in a supervised setting by defining the inference problem to be solved as that of inferring the vertex value $v _ { i }$ of each node in the graph given fixed start nodes $v _ { 0 }$ (the data), and end nodes $v _ { N }$ (the targets). We define a generative model which parametrises the value of each vertex given the feedforward prediction of its parents, $\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = p ( v _ { 0 } \\cdot . . . v _ { N } ) = \\prod _ { i } ^ { N } p ( v _ { i } | \\mathcal { P } ( v _ { i } ) ) ^ { \\ 1 } } \\end{array}$ , and a factorised, variational posterior $\\begin{array} { r } { Q ( \\{ v _ { i } \\} | v _ { 0 } , v _ { N } ) = Q ( v _ { 1 } \\ldots v _ { N - 1 } | v _ { 0 } , v _ { N } ) = \\prod _ { i } ^ { N } Q ( v _ { i } | \\mathcal { P } ( v _ { i } ) , \\mathcal { C } ( v _ { i } ) ) } \\end{array}$ , where $\\mathcal { P } ( v _ { i } )$ denotes the set of parents and $\\mathcal { C } ( v _ { i } )$ denotes the set of children of a given node $v _ { i }$ . From this, we can define a suitable objective functional, the variational free-energy $\\mathcal { F }$ (VFE), which acts as an upper bound on the divergence between the true and variational posteriors. ", + "bbox": [ + 173, + 492, + 826, + 637 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d523a716e4f8e73351299f58892c47f81668f9e3db57eab062d34b75721836e5.jpg", + "text": "$$\n\\begin{array} { l } { \\mathcal { F } = K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) \\| p ( v _ { 0 } \\dots v _ { N } ) ] \\geq K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } ) | v _ { 0 } , v _ { N } ) \\| p ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) ] } \\\\ { \\approx \\displaystyle \\sum _ { i = 0 } ^ { N } \\epsilon _ { i } ^ { T } \\epsilon _ { i } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 171, + 650, + 816, + 715 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Under Gaussian assumptions for the generative model $\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ; \\hat { v } _ { i } , \\Sigma _ { i } ) } \\end{array}$ , and the variational posterior $\\begin{array} { r } { Q ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ) } \\end{array}$ , where the ‘predictions’ $\\hat { v _ { i } } = f ( \\mathcal { P } ( v _ { i } ) ; \\theta _ { i } )$ are defined as the feedforward value of the vertex produced by running the graph forward, and all the precisions, or inverse variances, $\\Sigma _ { i } ^ { - 1 }$ are fixed at the identity, we can write $\\mathcal { F }$ as simply a sum of prediction errors (see Appendix D or (Friston, 2003; Bogacz, 2017; Buckley et al., 2017) for full derivations), with the prediction errors defined as $\\epsilon _ { i } = v _ { i } - \\hat { v } _ { i }$ . These prediction errors play a core role in the framework and, in the biological process theories (Friston, 2005; Bastos et al., 2012), are generally considered to be represented by a distinct population of ‘error units’. Since $\\mathcal { F }$ is an upper bound on the divergence between true and approximate posteriors, by minimizing $\\mathcal { F }$ , we reduce this divergence, thus improving the quality of the variational posterior and approximating exact Bayesian inference. Predictive coding minimizes $\\mathcal { F }$ by employing the Cauchy method of steepest descent to set the dynamics of the vertex variables $v _ { i }$ as a gradient descent directly on $\\mathcal { F }$ (Bogacz, 2017). ", + "bbox": [ + 173, + 724, + 826, + 883 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 741, + 118 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/8dac94bf56ecce36fbda549ae90fa931da1e15c53ae9138ef131d307d418008c.jpg", + "text": "$$\n\\frac { d v _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial v _ { i } } = \\epsilon _ { i } - \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } } { \\partial v _ { i } }\n$$", + "text_format": "latex", + "bbox": [ + 388, + 118, + 609, + 160 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The dynamics of the parameters of the edge functions $\\theta$ such that $\\hat { v _ { i } } = f ( \\mathcal { P } ( v _ { i } ) ; \\theta )$ , can also be derived as a gradient descent on $\\mathcal { F }$ . Importantly these dynamics require only information (the current vertex value, prediction error, and prediction errors of child vertices) locally available at the vertex. ", + "bbox": [ + 173, + 161, + 823, + 203 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/c5015ad01488489751af5481ff3a8f51f4e88c3b4a2a4722bb1970fc8d9d2331.jpg", + "text": "$$\n\\frac { d \\theta _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial \\theta _ { i } } = \\epsilon _ { i } \\frac { \\partial \\hat { v } _ { i } } { \\partial \\theta _ { i } }\n$$", + "text_format": "latex", + "bbox": [ + 429, + 204, + 568, + 237 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To run generalized predictive coding in practice on a given computation graph $\\mathcal { G } = \\{ \\mathbb { E } , \\mathbb { V } \\}$ , we augment the graph with error units $\\epsilon \\in { \\mathcal { E } }$ to obtain an augumented computation graph $\\tilde { \\mathcal { G } } = \\{ \\mathbb { E } , \\mathbb { V } , \\mathcal { E } \\}$ . The predictive coding algorithm then operates in two phases – a feedforward sweep and a backwards iteration phase. In the feedforward sweep, the augmented computation graph is run forward to obtain the set of predictions $\\{ \\hat { v } _ { i } \\}$ , and prediction errors $\\{ \\epsilon _ { i } \\} = \\{ \\bar { v } _ { i } - \\hat { v } _ { i } \\}$ for every vertex. Following Whittington and Bogacz (2017), to achieve exact equivalence with the backprop gradients computed on the original computation graph, we initialize $v _ { i } = \\hat { v } _ { i }$ in the initial feedforward sweep so that the output error computed by the predictive coding network and the original graph are identical. ", + "bbox": [ + 173, + 237, + 825, + 352 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In the backwards iteration phase, the vertex activities $\\{ v _ { i } \\}$ and prediction errors $\\left\\{ \\epsilon _ { i } \\right\\}$ are updated with Equation 2 for all vertices in parallel until the vertex values converge to a minimum of $\\mathcal { F }$ . After convergence the parameters are updated according to Equation 3. Note we also assume, following Whittington and Bogacz (2017), that the predictions at each layer are fixed at the values assigned during the feedforward pass throughout the optimisation of the vs. We call this the fixed-prediction assumption. In effect, by removing the coupling between the vertex activities of the parents and the prediction at the child, this assumption separates the global optimisation problem into a local one for each vertex. We implement these dynamics with a simple forward Euler integration scheme so that the update rule for the vertices became $\\begin{array} { r } { \\boldsymbol { v } _ { i } ^ { t + 1 } \\boldsymbol { v } _ { i } ^ { t } - \\eta \\frac { d \\mathcal { F } } { d \\boldsymbol { v } _ { i } ^ { t } } } \\end{array}$ where $\\eta$ is the step-size parameter. Importantly, if the edge function linearly combines the activities and the parameters followed by an elementwise nonlinearity – a condition which we call ‘parameter-linear’ – then both the update rule for the vertices (Equation 2) and the parameters (Equation 3) become Hebbian. Specifically, the update rules for the vertices and weights become $\\begin{array} { r } { \\frac { d v _ { i } } { d t } = \\epsilon _ { i } - \\sum _ { j } \\epsilon _ { j } f ^ { \\prime } ( \\theta _ { j } \\hat { v _ { j } } ) \\theta _ { j } ^ { T } } \\end{array}$ and $\\begin{array} { r } { \\frac { d \\bar { \\theta } _ { i } } { d t } = \\epsilon _ { i } f ^ { \\prime } ( \\theta _ { i } \\hat { v _ { i } } ) \\bar { \\hat { v _ { i } } } ^ { T } } \\end{array}$ , respectively. ", + "bbox": [ + 173, + 358, + 825, + 546 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.1 APPROXIMATION TO BACKPROP ", + "text_level": 1, + "bbox": [ + 176, + 560, + 436, + 575 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Here we show that at the equilibrium of the dynamics, the prediction errors $\\boldsymbol { \\epsilon } _ { i } ^ { * }$ converge to the correct backpropagated gradients $\\frac { \\partial L } { \\partial v _ { i } }$ , and consequently the parameter updates (Equation 3) become precisely those of a backprop trained network. Standard backprop works by computing the gradient of a vertex $\\frac { \\partial L } { \\partial v _ { L } }$ he sum of the gradients of the child vertices. Beginning with the gradient of the output vertex, it recursively computes the gradients of vertices deeper in the graph by the chain rule: ", + "bbox": [ + 173, + 587, + 825, + 661 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/7d85e6d0daf9e4fa4095ac35400004a7f751ac995818229a7cfcdd6557f899d4.jpg", + "text": "$$\n\\frac { \\partial L } { \\partial v _ { i } } = \\sum _ { j = \\mathcal { C } ( v _ { i } ) } \\frac { \\partial L } { \\partial v _ { j } } \\frac { \\partial v _ { j } } { \\partial v _ { i } }\n$$", + "text_format": "latex", + "bbox": [ + 419, + 662, + 578, + 705 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In comerrors arison, in our predictive coding framework, at the equilibrium point become, $\\begin{array} { r } { \\cdot \\frac { d v _ { i } } { d t } = 0 \\rangle } \\end{array}$ ) the prediction $\\boldsymbol { \\epsilon } _ { i } ^ { * }$ ", + "bbox": [ + 176, + 708, + 825, + 736 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/cef4ab19f802e19656b27966c4f917f3daa6bd4de2c3d178e6f944560012bcc8.jpg", + "text": "$$\n\\epsilon _ { i } ^ { * } = \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } ^ { * } \\frac { \\partial \\hat { v } _ { i } } { \\partial v _ { j } }\n$$", + "text_format": "latex", + "bbox": [ + 434, + 737, + 563, + 779 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Importantly, this means that the equilibrium value of the prediction error at a given vertex (Equation 5) satisfies the same recursive structure as the chain rule of backprop (Equation 4). Since this relationship is recursive, all that is needed for the prediction errors throughout the graph to converge to the backpropagated derivatives is for the prediction errors at the final layer to be equal to the output gradient: $\\begin{array} { r } { \\dot { \\epsilon } _ { L } ^ { * } = \\frac { { \\partial } L } { { \\partial } \\hat { v } _ { L } } } \\end{array}$ . To see this explicitly, consider a mean-squared-error loss function 2. at the ", + "bbox": [ + 173, + 779, + 825, + 852 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Algorithm 1: Generalized Predictive Coding ", + "text_level": 1, + "bbox": [ + 176, + 107, + 470, + 122 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Data: Dataset ${ \\mathcal { D } } = \\{ { \\mathbf { X } } , { \\mathbf { L } } \\}$ , Augmented Computation Graph $\\tilde { \\mathcal { G } } = \\{ \\mathbb { E } , \\mathbb { V } , \\mathcal { E } \\}$ , inference learning rate $\\eta _ { v }$ , weight learning rate $\\eta _ { \\theta }$ \nbegin $/ \\star$ For each minibatch in the dataset \\*/ for $( x , L ) \\in \\mathcal { D }$ do $/ \\star$ Fix start of graph to inputs \\*/ $\\hat { v _ { 0 } } \\gets x$ $/ \\star$ Forward pass to compute predictions \\*/ for $\\hat { v } _ { i } \\in \\mathbb { V }$ do $\\lfloor \\hat { v } _ { i } f ( \\{ \\mathcal { P } ( \\hat { v } _ { i } ) ; \\theta \\}$ $/ \\star$ Compute output error \\*/ $\\epsilon _ { L } L - \\hat { v } _ { L }$ /\\* Begin backwards iteration phase of the descent on the free energy \\*/ while not converged do for $( v _ { i } , \\epsilon _ { i } ) \\in \\tilde { \\mathcal { G } }$ do $/ \\star$ Compute prediction errors \\*/ $\\boldsymbol { \\epsilon } _ { i } \\gets \\boldsymbol { v } _ { i } - \\boldsymbol { \\hat { v } } _ { i }$ $/ \\star$ vertex values \\*/ $\\begin{array} { r } { v _ { i } ^ { t + 1 } v _ { i } ^ { t } + \\eta _ { v } \\frac { d \\mathcal { F } } { d v _ { i } ^ { t } } } \\end{array}$ /\\* Update weights at equilibrium \\*/ for i θ t +1i ← θ ti + η θ d Fdθ ti $\\theta _ { i } \\in \\mathbb { E }$ do ", + "bbox": [ + 173, + 125, + 808, + 487 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "output layer $\\begin{array} { r } { L = \\frac 1 2 ( T - \\hat { v } _ { L } ) ^ { 2 } } \\end{array}$ with $\\mathrm { T }$ as a vector of targets, and defining $\\epsilon _ { L } = T - \\hat { v } _ { L }$ . We then consider the equilibrium value of the prediction error unit at a penultimate vertex $\\epsilon _ { L - 1 }$ . By Equation 5, we can see that at equilibrium, ", + "bbox": [ + 174, + 530, + 825, + 574 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d52814caa659cc511a65a75511dab0537f1b3c4392ac3ec6238ffd83944cfd3e.jpg", + "text": "$$\n\\epsilon _ { L - 1 } ^ { * } = \\epsilon _ { L } ^ { * } \\frac { \\partial \\hat { v } _ { L } } { \\partial v _ { L - 1 } } = ( T - \\hat { v } _ { L } ^ { * } ) \\frac { \\partial \\hat { v } _ { L } } { \\partial v _ { L - 1 } }\n$$", + "text_format": "latex", + "bbox": [ + 370, + 590, + 625, + 625 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "since, $\\begin{array} { r } { ( T - \\hat { v } _ { L } ) = \\frac { \\partial L } { \\partial \\hat { v } _ { L } } } \\end{array}$ , we can then write, ", + "bbox": [ + 174, + 641, + 455, + 660 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/4b4e5ed890ff75df536a78bf9af8b2c030d502da769296dfdab0e87b81abde3d.jpg", + "text": "$$\n\\epsilon _ { L - 1 } ^ { * } = { \\frac { \\partial L } { \\partial { \\hat { v } } _ { L } } } { \\frac { \\partial { \\hat { v } } _ { L } } { \\partial v _ { L - 1 } } } = { \\frac { \\partial L } { \\partial v _ { L - 1 } } }\n$$", + "text_format": "latex", + "bbox": [ + 395, + 676, + 602, + 710 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Thus the prediction errors of the penultimate nodes converge to the correct backpropagated gradient. Furthermore, recursing through the graph from children to parents allows the correct gradients to be computed3. Thus, by induction, we have shown that the fixed points of the prediction errors of the global optimization correspond exactly to the backpropagated gradients. Intuitively, if we imagine the computation-graph as a chain and the error as ’tension’ in the chain, backprop loads all the tension at the end (the output) and then systematically propagates it backwards. Predictive coding, however, spreads the tension throughout the entire chain until it reaches an equilibrium where the amount of tension at each link is precisely the backpropagated gradient. The full algorithm for training the predictive coding network is explicitly set out in Algorithm 1. Inference is just a forward pass through the network, and is identical to the corresponding ANN. ", + "bbox": [ + 173, + 727, + 826, + 867 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "By a similar argument, it is apparent that the dynamics of the parameters $\\theta _ { i }$ as a gradient descent on $\\mathcal { F }$ also exactly match the backpropagated parameter gradients. ", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/000af933715cf8a51bc07b8628bde43aa658bff78ffd1bc4ee5eba5c9b1051ce.jpg", + "text": "$$\n\\begin{array} { r } { \\frac { d \\theta _ { i } } { d t } = \\frac { d \\mathcal { F } } { d \\theta _ { i } } = \\epsilon _ { i } ^ { * } \\frac { d \\epsilon _ { i } ^ { * } } { d \\theta _ { i } } } \\\\ { = \\frac { d L } { d \\hat { v } _ { i } } \\frac { d \\hat { v } _ { i } } { d \\theta _ { i } } = \\frac { d L } { d \\theta _ { i } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 423, + 138, + 575, + 207 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Which follows from the fact that $\\begin{array} { r } { \\epsilon _ { i } ^ { * } = \\frac { d L } { d \\hat { v } _ { i } } } \\end{array}$ and that $\\begin{array} { r } { \\frac { d \\epsilon _ { i } ^ { * } } { d \\theta } = \\frac { d \\hat { v } _ { i } } { d \\theta _ { i } } } \\end{array}$ . ", + "bbox": [ + 173, + 213, + 581, + 233 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 246, + 344, + 262 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "A number of recent works have tried to provide biologically plausible approximations to backprop. The requirement of symmetry between the forwards and backwards weights has been questioned by Lillicrap et al. (2016) who show that random fixed feedback weights suffice for effective learning. Recent additional work has shown that learning the backwards weights also helps (Amit, 2019; Akrout et al., 2019). Several schemes have also been proposed to approximate backprop using only local learning rules and/or Hebbian connectivity. These include target-prop (Lee et al., 2015) which approximate the backward gradients with trained inverse functions, but which fails to asymptotically compute the exact backprop gradients, and contrastive Hebbian (Seung, 2003; Scellier and Bengio, 2017; Scellier et al., 2018) approaches which do exactly approximate backprop, but which require two separate learning phases and the storing of information across successive phases. There are also dendritic error theories (Guerguiev et al., 2017; Sacramento et al., 2018) which are computationally similar to predictive coding (Whittington and Bogacz, 2019; Lillicrap et al., 2020). Whittington and Bogacz (2017) showed that predictive coding can approximate backprop in MLP models, and demonstrated comparable performance on MNIST. We advance upon this work by extending the proof to arbitrary computation graphs, enabling the design of predictive coding variants of a range of standard machine learning architectures, which we show perform comparably to backprop on considerably more difficult tasks than MNIST. Our algorithm evinces asymptotic (and in practice rapid) convergence to the exact backprop gradients, does not require separate learning phases, and utilises only local information and largely Hebbian plasticity. ", + "bbox": [ + 174, + 279, + 825, + 542 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 564, + 281, + 579 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 NUMERICAL RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 597, + 369, + 611 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To demonstrate the correctness of our derivation and empirical convergence to the true gradients, we present a numerical test in the simple scalar case, where we use predictive coding to derive the√ gradients of an arbitrary, highly nonlinear test function $v _ { L } = \\tan ( \\sqrt { \\theta v _ { 0 } } ) + \\sin ( v _ { 0 } ^ { 2 } )$ where $\\theta$ is an arbitrary parameter. For our tests, we set $v _ { 0 }$ to 5 and $\\theta$ to 2. The computation graph for this function is presented in Figure 2. Although simple, this is a good test of predictive coding because the function is highly nonlinear, and its computation graph does not follow a simple layer structure but includes some branching. An arbitrary target of $T = 3$ was set at the output and the gradient of the loss $L = ( v _ { L } - T ) ^ { 2 }$ with respect to the input $v _ { 0 }$ was computed by predictive coding. We show (Figure 2) that the predictive coding optimisation rapidly converges to the exact numerical gradients computed by automatic differentiation, and that moreover this optimization is very robust and can handle even exceptionally high learning rates (up to 0.5) without divergence. ", + "bbox": [ + 174, + 614, + 825, + 768 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In summary, we have shown and numerically verified that at the equilibrium point of the global free-energy $\\mathcal { F }$ on an arbitrary computation graph, the error units exactly equal the backpropagated gradients, and that this descent requires only local connectivity, does not require a separate phases or a sequential backwards sweep, and in the case of parameter-linear functions, requires only Hebbian plasticity. Our results provide a straightforward recipe for the direct implementation of predictive coding algorithms to approximate certain computation graphs, such as those found in common machine learning algorithms, in a potentially biologically plausible manner. Next, we showcase this capability by developing predictive coding variants of core machine learning architectures - convolutional neural networks (CNNs) recurrent neural networks (RNNs) and LSTMs (Hochreiter and Schmidhuber, 1997), and show performance comparable with backprop on tasks substantially more challenging than MNIST. ", + "bbox": [ + 174, + 775, + 825, + 928 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/9292bbe1ae88d409a9f3b91bda3253d79ee3cee4f06cd726f87d6fc16ddfe1e2.jpg", + "image_caption": [ + "Figure 2: Top: The computation graph of the nonlinear test function $v _ { L } = \\tan ( \\sqrt { \\theta v _ { 0 } } ) + \\sin ( v _ { 0 } ^ { 2 } )$ . Bottom: graphs of the log mean divergence from the true gradient and the divergence for different learning rates. Convergence to the exact gradients is exponential and robust to high learning rates. " + ], + "image_footnote": [], + "bbox": [ + 212, + 79, + 789, + 410 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/f9a6b6083a67fa6d2cb4502bc302488ebf2dcac1a82f7188dbbfd139f701ba51.jpg", + "image_caption": [ + "Figure 3: Training and test accuracy plots for the Predictive Coding and Backprop CNN on SVHN,CIFAR10, and CIFAR10 dataest over 5 seeds. Performance is largely indistinguishable. Due to the need to iterate the vs until convergence, the predictive coding network had roughly a $1 0 0 \\mathrm { x }$ greater computational cost than the backprop network. " + ], + "image_footnote": [], + "bbox": [ + 89, + 523, + 934, + 707 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "First, we constructed predictive coding CNN models (see Appendix B for full implementation details). In the predictive coding CNN, each filter kernel was augmented with ‘error maps’ which measured the difference between the forward convolutional predictions and the backwards messages. Our CNN was composed of a convolutional layer, followed by a max-pooling layer, then two further convolutional layers followed by 3 fully-connected layers. We compared our predictive coding CNN to a backprop-trained CNN with the exact same architecture and hyperparameters. We tested our models on three image classification datasets significantly more challenging than MNIST – SVHN, CIFAR10, and CIFAR100. SVHN is a digit recognition task like MNIST, but has more naturalistic backgrounds, is in colour with continuously varying inputs and contains distractor digits. CIFAR10 and CIFAR100 are large image datasets composed of RGB $3 2 \\mathbf { x } 3 2$ images. CIFAR10 has ", + "bbox": [ + 173, + 785, + 826, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "10 classes of image, while CIFAR100 is substantially more challenging with 100 possible classes. In general (Figure 3), performance was identical between the predictive coding and backprop CNNs and comparable to the standard performance of basic CNN models on these datasets, Moreover, the predictive coding gradient remained close to the true numerical gradient throughout training. ", + "bbox": [ + 173, + 103, + 825, + 160 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/4ebd0a0a4e44e28d41c7b437a46155ae83ced6a07d907922b968c52a55aebf61.jpg", + "image_caption": [ + "Figure 4: Test accuracy plots for the Predictive Coding and Backprop RNN and LSTM on their respective tasks, averaged over 5 seeds. Performance is again indistinguishable from backprop. " + ], + "image_footnote": [], + "bbox": [ + 156, + 166, + 795, + 332 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We also constructed predictive coding RNN and LSTM models, thus demonstrating the ability of predictive coding to scale to non-parameter-linear, branching, computation graphs. The RNN was trained on a character-level name classification task, while the LSTM was trained on a next-character prediction task on the full works of Shakespeare. Full implementation details can be found in Appendices B and C. LSTMs and RNNs are recurrent networks which are trained through backpropagation through time (BPTT). BPTT simply unrolls the network through time and backpropagates through the unrolled graph. Analogously we trained the predictive coding RNN and LSTM by applying predictive coding to the unrolled computation graph. The depth of the unrolled graph depends heavily on the sequence length, and in our tasks using a sequence length of 100 we still found that predictive coding evinced rapid convergence to the correct numerical gradient, and that the performance was approximately identical to the equivalent backprop-trained networks (Figure 3), thus showing that the algorithm is scalable even to very deep computation graphs. ", + "bbox": [ + 174, + 381, + 825, + 547 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 DISCUSSION ", + "text_level": 1, + "bbox": [ + 174, + 559, + 310, + 574 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We have shown that predictive coding provides a local and potentially biologically plausible approximation to backprop on arbitrary, deep, and branching computation graphs. Moreover, convergence to the exact backprop gradients is rapid and robust, even in extremely deep graphs such as the unrolled LSTM. Our algorithm is fully parallelizable, does not require separate phases, and can produce equivalent performance to backprop in core machine-learning architectures. These results broaden the horizon of local approximations to backprop by demonstrating that they can be implemented on arbitrary computation graphs, not only simple MLP architectures. Our work prescribes a straightforward recipe for backpropagating through any computation graph with predictive coding using only local learning rules. In the future, this process could potentially be made fully automatic and translated onto neuromorphic hardware. Our results also raise the possibility that the brain may implement machine-learning type architectures much more directly than often considered. Many lines of work suggest a close correspondence between the representations and activations of CNNs and activity in higher visual areas (Yamins et al., 2014; Tacchetti et al., 2017; Eickenberg et al., 2017; Khaligh-Razavi and Kriegeskorte, 2014; Lindsay, 2020), for instance, and this similarity may be found to extend to other machine learning architectures. ", + "bbox": [ + 173, + 583, + 825, + 791 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "It is important to note that predictive coding, as advanced here, still retains some biologically implausible features. Although using only local and Hebbian updates, the predictive coding algorithm still requires identical forward and backwards weights, as well as mandating a very precise oneto-one connectivity structure between value neurons $v _ { i }$ and error neurons $\\epsilon _ { i }$ . However, recent work (Millidge et al., 2020) has begun to show that these implausibilities can be relaxed using learnable backwards weights instead of requiring weight symmetry, and allowing for learnable dense connectivity between value and error neurons, without harm to performance in simple MLP settings. An additional limitation to the biological plausibility of our method is the fixed-prediction assumption, which requires that the feedforward pass values be somehow stored during the backwards iteration phase. In biological neurons this could potentially be implemented by utilizing synaptic mechanisms for maintaining information over short periods, such as eligibility traces, or alternatively through synchronised phase locking (Buzsaki, 2006). Alternatively, it is important to note that this fixed-prediction assumption is only required for exact convergence to backprop, and predictive coding networks have been shown to be able to attain strong discriminative classification performance without it (Whittington and Bogacz, 2017). ", + "bbox": [ + 174, + 799, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 188 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Although we have implemented three core machine learning architectures as predictive coding networks, we have nevertheless focused on relatively small and straightforward networks and thus both our backprop and predictive coding networks perform below the state of the art on the presented tasks. This is primarily because our focus was on demonstrating the theoretical convergence between the two algorithms. Nevertheless, we believe that due to the generality of our theoretical results, ’scaling up’ the existing architectures to implement performance-matched predictive coding versions of more advanced machine learning architectures such as resnets (He et al., 2016), GANs (Goodfellow et al., 2014), and transformers (Vaswani et al., 2017) should be relatively straightforward. ", + "bbox": [ + 174, + 194, + 825, + 305 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In terms of computational cost, one inference iteration in the predictive coding network is about as costly as a backprop backwards pass. Thus, due to using 100-200 iterations for full convergence, our algorithm is substantially more expensive than backprop which limits the scalability of our method. However, this serial cost is misleading when talking about highly parallel neural architectures. In the brain, neurons cannot wait for a sequential forward and backward sweep. By phrasing our algorithm as a global descent, our algorithm is fully parallel across layers. There is no waiting and no phases to be coordinated. Each neuron need only respond to its local driving inputs and downwards error signals. We believe that this local and parallelizable property of our algorithm may engender the possibility of substantially more efficient implementations on neuromorphic hardware (Furber et al., 2014; Merolla et al., 2014; Davies et al., 2018), which may ameliorate much of the computational overhead compared to backprop. Future work could also examine whether our method is more capable than backprop of handling the continuously varying inputs the brain is presented with in practice, rather than the artificial paradigm of being presented with a series of i.i.d. datapoints. ", + "bbox": [ + 173, + 313, + 825, + 493 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Our work also reveals a close connection between backprop and inference. Namely, the recursive computation of gradients is effectively a by-product of a variational-inference algorithm which infers the values of the vertices of the computation graph under a hierarchical Gaussian generative model. While the deep connections between stochastic gradient descent and inference in terms of Kalman filtering (Ruck et al., 1992; Ollivier, 2019) or MCMC sampling methods (Chen et al., 2014; Mandt et al., 2017) is known, the relation between recursive gradient computation itself and variational inference is underexplored except in the case of a single layer (Amari, 1995). Our method can provide a principled generalisation of backprop through the inverse-variance $\\Sigma ^ { - 1 }$ parameters of the Gaussian generative model. These parameters weight the relative contribution of different factors to the overall gradient by their uncertainty, thus naturally handling the case of backprop with differentially noisy inputs. Moreover, the $\\Sigma ^ { - 1 }$ parameters can be learnt as a gradient descent on $\\mathcal { F }$ : $\\begin{array} { r } { \\frac { d \\Sigma _ { i } } { d t } = - \\frac { d \\mathcal { F } } { d \\Sigma _ { i } } = - \\bar { \\Sigma } _ { i } ^ { - 1 } \\epsilon _ { i } \\epsilon _ { i } ^ { T } \\Sigma _ { i } ^ { - 1 } - \\Sigma _ { i } ^ { - 1 } } \\end{array}$ . This specific generalisation is afforded by the Gaussian form of the generative model, however, and other generative models may yield novel optimisation algorithms able to quantify and handle uncertainties throughout the entire computational graph. ", + "bbox": [ + 174, + 500, + 825, + 696 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 718, + 285, + 732 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Mohamed Akrout, Collin Wilson, Peter Humphreys, Timothy Lillicrap, and Douglas B Tweed. Deep learning without weight transport. 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Performance-optimized hierarchical models predict neural responses in higher visual cortex. Proceedings of the National Academy of Sciences, 111(23):8619–8624, 2014. ", + "bbox": [ + 174, + 229, + 825, + 272 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "APPENDIX A: PREDICTIVE CODING CNN IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 173, + 297, + 754, + 315 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The key concept in a CNN is that of an image convolution, where a small weight matrix is ’slid’ (or convolved) across an image to produce an output image. Each patch of the output image only depends on a relatively small patch of the input image. Moreover, the weights of the filter stay the same during the convolution, so each pixel of the output image is generated using the same weights. The weight sharing implicit in the convolution operation enforces translational invariance, since different image patches are all processed with the same weights. ", + "bbox": [ + 173, + 329, + 825, + 415 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The forward equations of a convolutional layer for a specific output pixel ", + "bbox": [ + 174, + 421, + 651, + 436 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/13b93988d09f8c86e6759632baa3b22c0c7de0b0bccf518c49f3357e0066c2ef.jpg", + "text": "$$\nv _ { i , j } = \\sum _ { k = i - f } ^ { k = i + f } \\sum _ { l = j - f } ^ { l = j + f } \\theta _ { k , l } x _ { i + k , j + l }\n$$", + "text_format": "latex", + "bbox": [ + 392, + 441, + 606, + 489 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Where $v _ { i , j }$ is the $( i , j )$ th element of the output, $x _ { i , j }$ is the element of the input image and $\\theta _ { k , l }$ is an weight element of a feature map. To setup a predictive coding CNN, we augment each intermediate $x _ { i }$ and $v _ { i }$ with error units $\\epsilon _ { i }$ of the same dimension as the output of the convolutional layer. ", + "bbox": [ + 174, + 502, + 823, + 545 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Predictions $\\hat { v }$ are projected forward using the forward equations. Prediction errors also need to be transmitted backwards for the architecture to work. To achieve this we must have that prediction errors are transmitted upwards by a ’backwards convolution’. We thus define the backwards prediction errors $\\hat { \\epsilon } _ { j }$ as follows: ", + "bbox": [ + 174, + 551, + 825, + 608 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/b33a021595e500c231c788266aa59bc774d69d0b2f2427d805445fab96c1fd13.jpg", + "text": "$$\n\\hat { \\epsilon } _ { i , j } = \\sum _ { k = i - f } ^ { i + f } \\sum _ { l = j - f } ^ { j + f } \\theta _ { j , i } \\tilde { \\epsilon } _ { i , j }\n$$", + "text_format": "latex", + "bbox": [ + 411, + 614, + 586, + 661 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Where \u000f˜ is an error map zero-padded to ensure the correct convolutional output size. Inference in the predictive coding network then proceeds by updating the intermediate values of each layer as follows: ", + "bbox": [ + 173, + 674, + 826, + 703 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/c4f4d066ec00d74cc6b35929ec2fbb5aa665991ab375fd0f2bfc4d026d1b80a0.jpg", + "text": "$$\n\\frac { d v _ { l } } { d t } = \\epsilon _ { l } - \\hat { \\epsilon } _ { l + 1 }\n$$", + "text_format": "latex", + "bbox": [ + 444, + 708, + 553, + 739 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Since the CNN is also parameter-linear, weights can be updated using the simple Hebbian rule of the multiplication of the pre and post synaptic potentials. ", + "bbox": [ + 173, + 752, + 823, + 781 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/2bf03a0d91287ecadc19b7abbf74ad1d1210a6b68be2e2f39b29c2c5c77831e7.jpg", + "text": "$$\n\\frac { d \\theta _ { l } } { d t } = \\sum _ { i , j } \\epsilon _ { l _ { i , j } } v _ { l - 1 _ { i , j } } T\n$$", + "text_format": "latex", + "bbox": [ + 424, + 786, + 571, + 827 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "There is an additional biological implausibility here due to the weight sharing of the CNN. Since the same weights are copied for each position on the image, the weight updates have contributions from all aspects of the image simultaneously which violates the locality condition. A simple fix for this, which makes the network scheme plausible is to simply give each position on the image a filter with separate weights, thus removing the weight sharing implicit in the CNN. In effect this gives each patch of pixels a local receptive field with its own set of weights. The performance and scalability of such a locally connected predictive coding architecture would be an interesting avenue for future work, as this architecture has substantial homologies with the structure of the visual cortex. ", + "bbox": [ + 173, + 839, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/b664fbe6caf747614fa35efbf0abd00377ef9548ee42cf7cd732c0e10c4eeea1.jpg", + "image_caption": [ + "Figure 5: Training loss plots for the Predictive Coding and Backprop CNN on SVHN,CIFAR10, and CIFAR10 dataset over 5 seeds. " + ], + "image_footnote": [], + "bbox": [ + 176, + 88, + 820, + 207 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 279, + 821, + 306 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In our experiments we used a relatively simple CNN architecture consisting of one convolutional layer of kernel size 5, and a filter bank of 6 filters. This was followed by a max-pooling layer with a (2,2) kernel and a further convolutional layer with a (5,5) kernel and filter bank of 16 filters. This was then followed by three fully connected layers of 200, 150, and 10 (or 100 for CIFAR100) output units. Each convolutional and fully connected layer used the relu activation function, except the output layer which was linear. Although this architecture is far smaller than state of the art for convolutional networks, the primary point of our paper was to demonstrate the equivalence of predictive coding and backprop. Further work could investigate scaling up predictive coding to more state-of-the-art architectures. ", + "bbox": [ + 174, + 313, + 825, + 439 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Our datasets consisted of $3 2 \\mathbf { x } 3 2$ RGB images. We normalised the values of all pixels of each image to lie between 0 and 1, but otherwise performed no other image preprocessing. We did not use data augmentation of any kind. We set the weight learning rate for the predictive coding and backprop networks 0.0001. A minibatch size of 64 was used. These parameters were chosen without any detailed hyperparameter search and so are likely suboptimal. The magnitude of the gradient updates was clamped to lie between -50 and 50 in all of our models. This was done to prevent divergences, as occasionally occurred in the LSTM networks, likely due to exploding gradients. ", + "bbox": [ + 174, + 445, + 825, + 544 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The predictive coding scheme converged to the exact backprop gradients very precisely within 100 inference iterations using an inference learning rate of 0.1. This gives the predictive coding CNN approximately a $1 0 0 \\mathrm { x }$ computational overhead compared to backprop. The divergence between the true and approximate gradients remained approximately constant throughout training, as shown by Figure 5, which shows the mean divergence for each layer of the CNN over the course of an example training run on the CIFAR10 dataset. The training loss of the predictive coding and backprop networks for SVHN, CIFAR10 and CIFAR100 are presented in Figure 4. ", + "bbox": [ + 174, + 550, + 825, + 647 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "While the experiments in the main paper all used the mean-squared-error loss function, it is also possible to use alternative loss functions. In Figure 6, we show performance of the CNN on CIFAR and SVHN datasets is also very close to backprop when trained with a multi-class cross-entropy loss $\\begin{array} { r } { L = \\sum _ { i } T _ { i } \\ln v _ { L i } } \\end{array}$ . In this case the output layer used a softmax function as its nonlinearity, to ensure that the logits passed to the cross-entropy loss were valid probabilities. The cross-entropy loss is also straightforward to fit into the predictive coding framework since the gradient with respect to the pre-activations of the output is also just the negative prediction error ∂L∂v = T − vL, although the softmax function itself may be challenging to implement neurally since it is non-local as its’ normalisation coefficient requires of the exponentiated activities of all neurons in a layer. Nevertheless, this demonstrates that predictive coding can approximate backprop for any given loss function, not simply mean-square-error. ", + "bbox": [ + 174, + 655, + 825, + 809 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "APPENDIX B: PREDICTIVE CODING RNN ", + "text_level": 1, + "bbox": [ + 176, + 833, + 519, + 849 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The computation graph on RNNs is relatively straightforward. We consider only a single layer RNN here although the architecture can be straightforwardly extended to hierarchically stacked RNNs. An RNN is similar to a feedforward network except that it possesses an additional hidden state $h$ which is maintained and updated over time as a function of both the current input $x$ and the previous hidden ", + "bbox": [ + 174, + 867, + 823, + 922 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/a30ecab114aa30238c977f454f0809ecfea468475120e1d6723be1b6a5498cc1.jpg", + "image_caption": [ + "Mean divergence between the true numerical and predictive coding backprops over the course of training. In general, the divergence appeared to follow a largely random walk pattern, and was generally neglible. Importantly, the divergence did not grow over time throughout training, implying that errors from slightly incorrect gradients did not appear to compound. " + ], + "image_footnote": [], + "bbox": [ + 179, + 289, + 794, + 688 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/e3fe87e900e6253bb61c1bd01ab0706a0ca2b370e86f7de2b833835c76242eb7.jpg", + "image_caption": [ + "(b) CIFAR training accuracy " + ], + "image_footnote": [], + "bbox": [ + 181, + 309, + 480, + 659 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/662c1c1e4c08635462aa7c2e474d6cd0ffd2024f40cf0da2f47b8625a95ba9c9.jpg", + "image_caption": [ + "(c) CIFAR test accuracy " + ], + "image_footnote": [], + "bbox": [ + 514, + 303, + 816, + 659 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Training and test accuracies of the CNN network on the SVHN and CIFAR datasets using the cross-entropy loss. As can be seen performance remains very close to backprop, thus demonstrating that our predictive coding algorithm can be used with different loss functions, not just mean-squared-error. ", + "bbox": [ + 174, + 685, + 826, + 727 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "state. The output of the network $y$ is a function of $h$ . By considering the RNN at a single timestep we obtain the following equations. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/d94acb0c3a4d4ef974b23a7c120d95aa0d8c0592a5a8b4ce7c0e09f014b368ab.jpg", + "text": "$$\n\\begin{array} { l } { h _ { t } = f ( \\theta _ { h } h _ { t - 1 } + \\theta _ { x } x _ { t } ) } \\\\ { y _ { t } = g ( \\theta _ { y } h _ { t } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 416, + 137, + 580, + 176 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Where f and $\\mathbf { g }$ are elementwise nonlinear activation functions. And $\\theta _ { h } , \\theta _ { x } , \\theta _ { y }$ are weight matrices for each specific input. To predict a sequence the RNN simply rolls forward the above equations to generate new predictions and hidden states at each timestep. ", + "bbox": [ + 174, + 179, + 825, + 222 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "RNNs are typically trained through an algorithm called backpropagation through time (BPTT) which essentially just unrolls the RNN into a single feedforward computation graph and then performs backpropagation through this unrolled graph. To train the RNN using predictive coding we take the same approach and simply apply predictive coding to the unrolled graph. ", + "bbox": [ + 174, + 228, + 825, + 285 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "It is important to note that this is an additional aspect of biological implausibility that we do not address in this paper. BPTT requires updates to proceed backwards through time from the end of the sequence to the beginning. Ignoring any biological implausibility with the rules themselves, this updating sequence is clearly not biologically plausible as naively it requires maintaining the entire sequence of predictions and prediction errors perfectly in memory until the end of the sequence, and waiting until the sequence ends before making any updates. There is a small literature on trying to produce biologically plausible, or forward-looking approximations to BPTT which does not require updates to be propagated back through time (Williams and Zipser, 1989; Lillicrap and Santoro, 2019; Steil, 2004; Ollivier et al., 2015; Tallec and Ollivier, 2017). While this is a fascinating area, we do not address it in this paper. We are solely concerned with the fact that predictive coding approximates backpropagation on feedforward computation graphs for which the unrolled RNN graph is a sufficient substrate. ", + "bbox": [ + 173, + 290, + 826, + 458 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "To learn a predictive coding RNN, we first augment each of the variables $h _ { t }$ and $y _ { t }$ of the original graph with additional error units $\\epsilon _ { h _ { t } }$ and $\\epsilon _ { y _ { t } }$ . Predictions $\\hat { y } _ { t } , \\hat { h } _ { t }$ are generated according to the feedforward rules (16). A sequence of true labels $\\{ T _ { 1 } . . . T _ { T } \\}$ is then presented to the network, and then inference proceeds by recursively applying the following rules backwards through time until convergence. ", + "bbox": [ + 174, + 464, + 825, + 536 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/0c8197b9bca4e55b4bcbcd3db4de4a47e43e744cadb297105ee974c842b628e0.jpg", + "text": "$$\n\\begin{array} { r l } & { \\epsilon _ { y _ { t } } = L - \\hat { y } _ { t } } \\\\ & { \\epsilon _ { h _ { t } } = h _ { t } - \\hat { h } _ { t } } \\\\ & { \\frac { d h _ { t } } { d t } = \\epsilon _ { h _ { t } } - \\epsilon _ { y _ { t } } \\theta _ { y } ^ { T } - \\epsilon _ { h _ { t + 1 } } \\theta _ { h } ^ { T } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 398, + 541, + 601, + 616 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Upon convergence the weights are updated according to the following rules. ", + "bbox": [ + 173, + 626, + 671, + 641 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/343bdcadfda594bced479ac2c1c4cf6b154614942e30c8dc3f3df9fb11abb2d1.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\frac { d \\theta _ { y } } { d t } = \\sum _ { t = 0 } ^ { T } \\epsilon _ { y _ { t } } \\frac { \\partial g ( \\theta _ { y } h _ { t } ) } { \\partial \\theta _ { y } } h _ { t } ^ { T } } \\\\ { \\displaystyle \\frac { d \\theta _ { x } } { d t } = \\sum _ { t = 0 } ^ { T } \\epsilon _ { h _ { t } } \\frac { \\partial f ( \\theta _ { h } h _ { t - 1 } + \\theta _ { x } x _ { t } ) } { \\partial \\theta _ { x } } x _ { t } ^ { T } } \\\\ { \\displaystyle \\frac { d \\theta _ { h } } { d t } = \\sum _ { t = 0 } ^ { T } \\epsilon _ { h _ { t } } \\frac { \\partial f ( \\theta _ { h } h _ { t - 1 } + \\theta _ { x } x _ { t } ) } { \\partial \\theta _ { h } } h _ { t + 1 } ^ { T } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 364, + 646, + 632, + 780 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Since the RNN feedforward updates are parameter-linear, these rules are Hebbian, only requiring the multiplication of pre and post-synaptic potentials. This means that the predictive coding updates proposed here are biologically plausible and could in theory be implemented in the brain. The only biological implausibility remains the BPTT learning scheme. ", + "bbox": [ + 174, + 790, + 825, + 848 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Our RNN was trained on a simple character-level name-origin dataset which can be found here: https://download.pytorch.org/tutorial/data.zip. The RNN was presented with sequences of characters representing names and had to predict the national origin of the name – French, Spanish, Russian, etc. The characters were presented to the network as one-hot-encoded vectors without any embedding. The output categories were also presented as a one-hot vector. The RNN has a hidden size of 256 units. A tanh nonlinearity was used between hidden states and the output layer was linear. The network was trained on randomly selected name-category pairs from the dataset. The training loss for the predictive coding and backprop RNNs, averaged over 5 seeds is presented below (Figure 7). ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 146 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/a48a307bc5ea3c6954a93c1648d78aa66eb72139165d022203026ca618dd3749.jpg", + "image_caption": [ + "Figure 8: Training losses for the predictive coding and backprop RNN. As expected, they are effectively identical. " + ], + "image_footnote": [], + "bbox": [ + 279, + 162, + 718, + 393 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "APPENDIX C: PREDICTIVE CODING LSTM IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 173, + 467, + 767, + 484 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/f5f44449d51e595ebfb774e53ea4ba3f9f4c443e953647791bf19df12d73ff38.jpg", + "image_caption": [ + "Figure 9: Computation graph and backprop learning rules for a single LSTM cell. " + ], + "image_footnote": [], + "bbox": [ + 181, + 534, + 813, + 779 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Unlike the other two models, the LSTM possesses a complex and branching internal computation graph, and is thus a good opportunity to make explicit the predictive coding ’recipe’ for approximating backprop on arbitrary computation graphs. The computation graph for a single LSTM cell is shown (with backprop updates) in Figure 8. Prediction for the LSTM occurs by simply rolling forward a copy of the LSTM cell for each timestep. The LSTM cell receives its hidden state $h _ { t }$ and cell state $c _ { t }$ from the previous timestep. During training we compute derivatives on the unrolled computation graph and receive backwards derivatives (or prediction errors) from the LSTM cell at time $t + 1$ . ", + "bbox": [ + 173, + 825, + 825, + 924 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "The equations that specify the computation graph of the LSTM cell are as follows. ", + "bbox": [ + 171, + 103, + 710, + 119 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/23e829380c39c0a9e23863744add2c32736c8811417d8a728ad57a5320b49b4e.jpg", + "text": "$$\n\\begin{array} { r l } & { v _ { 1 } = h _ { i } \\oplus \\hat { \\varpi } x _ { t } } \\\\ & { v _ { 2 } = \\sigma ( \\theta _ { i } v _ { 1 } ) } \\\\ & { v _ { 3 } = c _ { i } v _ { 2 } } \\\\ & { v _ { 4 } = \\sigma ( \\theta _ { i n p } v _ { 1 } ) } \\\\ & { v _ { 5 } = \\mathrm { t a n h } ( \\theta _ { e } v _ { 1 } ) } \\\\ & { v _ { 6 } = v _ { 1 } v _ { 5 } } \\\\ & { v _ { 7 } = v _ { 3 } + v _ { 6 } } \\\\ & { v _ { 8 } = \\sigma ( \\theta _ { o } v _ { 1 } ) } \\\\ & { v _ { 9 } = \\mathrm { t a n h } ( v _ { 7 } ) } \\\\ & { v _ { 1 0 } = v _ { 8 } v _ { 9 } } \\\\ & { y = \\sigma ( \\theta _ { o } v _ { 1 0 } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 441, + 123, + 558, + 318 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "The recipe to convert this computation graph into a predictive coding algorithm is straightforward. \nWe first rewire the connectivity so that the predictions are set to the forward functions of their parents. \nWe then compute the errors between the vertices and the predictions. ", + "bbox": [ + 171, + 327, + 825, + 371 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/fcad0e8dcfcaff005dc7691dd9d45bc2c2ac5562fe4f72fd274336b202f12ed9.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathrm { ~ V _ { 2 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 3 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 3 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 4 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 5 } ~ } = - \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 6 } ~ } = \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 7 } ~ } = \\nu _ { 6 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 9 } ~ } = \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 0 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 439, + 373, + 553, + 750 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "During inference, the inputs $h _ { t } , x _ { t }$ and the output $y _ { t }$ are fixed. The vertices and then the prediction errors are updated according to Equation 2. This recipe is straightforward and can easily be extended to other more complex machine learning architectures. The full augmented computation graph, including the vertex update rules, is presented in Figure 9. ", + "bbox": [ + 174, + 756, + 825, + 811 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Empirically, we observed rapid convergence to the exact backprop gradients even in the case of very deep computation graphs (as is an unrolled LSTM with a sequence length of 100). Although convergence was slower than was the case for CNNs or lesser sequence lengths, it was still straightforward to achieve convergence to the exact numerical gradients with sufficient iterations. ", + "bbox": [ + 174, + 819, + 825, + 875 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Below we plot the mean divergence between the predictive coding and true numerical gradients as a function of sequence length (and hence depth of graph) for a fixed computational budget of 200 iterations with an inference learning rate of 0.05. As can be seen, the divergence increases roughly linearly with sequence length. Importantly, even with long sequences, the divergence is not especially large, and can be decreased further by increasing the computational budget. As the increase is linear, we believe that predictive coding approaches should be scalable even for backpropagating through very deep and complex graphs. ", + "bbox": [ + 176, + 882, + 825, + 924 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/0e931b4f9a9e8c9ed5508cc55246ac5363b327e4e5c12a2949acb84ad02a7c32.jpg", + "image_caption": [ + "Figure 10: The LSTM cell computation graph augmented with error units, evincing the connectivity scheme of the predictive coding algorithm. " + ], + "image_footnote": [], + "bbox": [ + 181, + 128, + 821, + 367 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 454, + 825, + 510 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We also plot the number of iterations required to reach a given convergence threshold (here taken to be 0.005) as a function of sequence length (Figure 11). We see that the number of iterations required increases sublinearly with the sequence length, and likely asymptotes at about 300 iterations. Although this is a lot of iterations, the sublinear convergence nevertheless shows that the method can scale to even extremely deep graphs. ", + "bbox": [ + 174, + 517, + 825, + 587 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Our architecture consisted of a single LSTM layer (more complex architectures would consist of multiple stacked LSTM layers). The LSTM was trained on a next-character character-level prediction task. The dataset was the full works of Shakespeare, downloadable from Tensorflow. The text was shuffled and split into sequences of 50 characters, which were fed to the LSTM one character at a time. The LSTM was trained then to predict the next character, so as to ultimately be able to generate text. The characters were presented as one-hot-encoded vectors. The LSTM had a hidden size and a cell-size of 1056 units. A minibatch size of 64 was used and a weight learning rate of 0.0001 was used for both predictive coding and backprop networks. To achieve sufficient numerical convergence to the correct gradient, we used 200 variational iterations with an inference learning rate of 0.1. This rendered the predictive LSTM approximately $2 0 0 \\mathrm { x }$ as costly as the backprop LSTM to run. A graph of the LSTM training loss for both predictive coding and backprop LSTMs, averaged over 5 random seeds, can be found below (Figure 12). ", + "bbox": [ + 174, + 593, + 825, + 760 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "APPENDIX D: DERIVATION OF THE FREE ENERGY FUNCTIONAL ", + "text_level": 1, + "bbox": [ + 176, + 784, + 705, + 800 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Here we derive in detail the form of the free-energy functional used in sections 2 and 4. We also expand upon the assumptions required and the precise form of the generative model and variational density. Much of this material is presented with considerably more detail in Buckley et al. (2017), and more approachably in Bogacz (2017). ", + "bbox": [ + 176, + 819, + 825, + 875 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Given an arbitrary computation graph with vertices $\\{ y _ { i } \\}$ , which we treat as random variables. Here we treat explicitly an important fact that we glossed over for notational convenience in the introduction. The $v _ { i } \\mathrm { s }$ which are optimized in the free-energy functional are technically the mean parameters of the variational density $Q ( y _ { i } ; v _ { i } , \\sigma _ { i } ) -$ i.e. they represent the mean (variational) belief of the value of the vertex. The vertex values in the model, which we here denote as $\\{ y _ { i } \\}$ , are technically separate. However, due to our Gaussian assumptions, and the expectation under the variational density, in effect we end up replacing the $y _ { i }$ with the $v _ { i }$ and optimizing the $v _ { i } \\mathbf { s }$ , so in the interests of space and notational simplicity we began as if the $v _ { i } \\mathbf { s }$ were variables in the generative model, but they are not. They are parameters of the variational distribution. ", + "bbox": [ + 176, + 882, + 825, + 924 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/ee2d287bd0adf9fb47ec871e514ebe2834ac176d41728be5bc8093a0eef2cd95.jpg", + "image_caption": [ + "Figure 11: Divergence between predictive coding and numerical gradients as a function of sequence length. " + ], + "image_footnote": [], + "bbox": [ + 204, + 118, + 736, + 400 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/f9df0d6bfc0a1591c2ae85cca85c0188bb67df246d059af0356ea1ec3798fd25.jpg", + "image_caption": [ + "Figure 12: Number of iterations to reach convergence threshold as a function of sequence length. " + ], + "image_footnote": [], + "bbox": [ + 220, + 488, + 745, + 768 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 839, + 826, + 924 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/7866ef96faf5afea9d8a0d211e72752f807f5819c0c7c85ef034867cf9904cf0.jpg", + "image_caption": [ + "Figure 13: Training losses for the predictive coding and backprop LSTMs averaged over 5 seeds. The performance of the two training methods is effectively equivalent. " + ], + "image_footnote": [], + "bbox": [ + 281, + 106, + 714, + 335 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Given an input $y _ { 0 }$ and a target $y _ { N }$ (the multiple input and/or output case is a straightforward generalization). We wish to infer the posterior $p \\big ( y _ { 1 : N - 1 } \\big | y _ { 0 } , y _ { N } \\big )$ . We approximate this intractable posterior with variational inference. Variational inference proceeds by defining an approximate posterior $Q \\big ( y _ { 1 : N - 1 } ; \\phi \\big )$ with some arbitrary parameters $\\phi$ . We then wish to minimize the KL divergence between the true and approximate posterior. ", + "bbox": [ + 173, + 407, + 826, + 478 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/7c0fb1c833f4977800a353f3262963b49907c463f0cdf4b643ba18e9b7182566.jpg", + "text": "$$\n\\underset { \\phi } { \\operatorname { a r g m i n } } \\ : \\mathbb { K L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) | | p ( y _ { 1 : N - 1 } | y _ { 0 } , y _ { N } ) ]\n$$", + "text_format": "latex", + "bbox": [ + 344, + 483, + 650, + 512 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Although this KL is itself intractable, since it includes the intractable posterior, we can derive a tractable bound on this KL called the variational free-energy. ", + "bbox": [ + 174, + 523, + 825, + 553 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/cc3b0e9da865cbceba3118abc960b72d140a7243b2002ba6cbf30721cf2645da.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 : N } | y _ { 0 } , y _ { N } ) ] = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ) \\| \\frac { p ( y _ { 1 : N } , y _ { 0 } , y _ { N } ) } { p ( y _ { 0 } , y _ { N } ) } ] } \\\\ & { \\qquad = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N } , y _ { 0 } ) ] + \\ln p ( y _ { 0 } , y _ { N } ) } \\\\ & { \\qquad \\Rightarrow \\underbrace { \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ] } _ { - \\mathcal { F } } \\leq \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 } } \\\\ & { \\qquad \\quad - } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 556, + 839, + 647 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We define the negative free-energy $- \\mathcal { F } = \\mathbb { K L } [ Q ( y _ { 1 : N - 1 ) } | | p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ]$ which is a lower bound on the divergence between the true and approximate posteriors. By thus maximizing the negative free-energy (which is identical to the ELBO (Beal et al., 2003; Blei et al., 2017)), or equivalently minimizing the free-energy, we decrease this divergence and make the variational distribution a better approximation to the true posterior. ", + "bbox": [ + 173, + 666, + 825, + 737 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "To proceed further, it is necessary to define an explicit form of the generative model $p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } )$ and the approximate posterior $Q \\big ( y _ { 1 : N - 1 } ; \\phi \\big )$ . In predictive coding, we define a hierarchical Gaussian generative model which mirrors the exact structure of the computation graph ", + "bbox": [ + 174, + 743, + 825, + 786 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/2388f86062216cf113452f90b93926054189887daad32721106af04290534e97.jpg", + "text": "$$\np ( \\boldsymbol { y } _ { 0 : N } ) = \\mathcal { N } ( \\boldsymbol { y } _ { 0 } ; \\boldsymbol { \\bar { y _ { 0 } } } , \\boldsymbol { \\Sigma } _ { 0 } ) \\prod _ { i = 1 } ^ { N } \\mathcal { N } ( \\boldsymbol { y } _ { i } ; \\boldsymbol { f } ( \\mathcal { P } ( \\boldsymbol { y } _ { i } ) ; \\boldsymbol { \\theta } _ { \\boldsymbol { y } _ { j } \\in \\mathcal { P } ( \\boldsymbol { y } _ { i } ) } ) , \\boldsymbol { \\Sigma } _ { i } ) ;\n$$", + "text_format": "latex", + "bbox": [ + 295, + 791, + 700, + 834 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Where essentially each vertex $y _ { i }$ is a Gaussian with a mean which is a function of the prediction of all the parents of the vertex, and the parameters of their edge-functions. $\\bar { y _ { 0 } }$ is effectively an ”input-prior” which is set to 0 throughout and ignored. The output vertices $y _ { N } = T$ are set to the target $T$ . ", + "bbox": [ + 173, + 845, + 826, + 888 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We also define the variational density to be Gaussian with mean $v _ { 1 : N - 1 }$ and variance $\\sigma _ { 1 : N - 1 }$ , but under a mean field approximation, so that the approximation at each node is independent of all others ", + "bbox": [ + 173, + 895, + 825, + 924 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "(note the variational variance is denoted $\\sigma$ while the variance of the generative model is denoted $\\Sigma$ . The lower-case $\\sigma$ is not used to denote a scalar variable – both variances can be multivariate – but to distinguish between variational and generative variances) ", + "bbox": [ + 173, + 103, + 825, + 146 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/9a7484548bb63773728b9b797215c7d428f2242c7d4673bd86693e9639940556.jpg", + "text": "$$\nQ ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) = \\prod _ { i = 1 } ^ { N - 1 } \\mathcal { N } ( y _ { i } ; v _ { i } , \\sigma _ { i } )\n$$", + "text_format": "latex", + "bbox": [ + 336, + 148, + 661, + 193 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We now can express the free-energy functional concretely. First we decompose it as the sum of an energy and an entropy ", + "bbox": [ + 171, + 202, + 825, + 231 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/a9ad112cb04bdc09f2e7099496eb9de2e70ce4397d88dc1e9846afd63d55a4d3.jpg", + "text": "$$\n\\begin{array} { r l } & { = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) | | p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } \\\\ & { = \\underbrace { - \\mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) } [ \\ln p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } _ { E n e r g y } + \\underbrace { \\mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) } [ \\ln Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } ) ] } _ { E n t r e p y } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 202, + 232, + 861, + 291 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Then, taking the entropy term first, we can express it concretely in terms of normal distributions. ", + "bbox": [ + 169, + 299, + 805, + 314 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/c79e1fb701b4eca6246ffccb6521bf7b8de2b6703b2d440cf9f9f35a841b555d.jpg", + "text": "$$\n\\begin{array} { r l } { \\underset { m \\leq i - 1 , ( j , \\eta _ { 1 } , \\eta _ { 1 } , \\eta _ { 1 } ) = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q ( y _ { i ; \\mathcal { N } - 1 } ; v _ { 1 ; \\mathcal { N } - 1 } , \\sigma _ { 1 ; N - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } ( \\underset { \\delta \\neq j \\leq i } { \\overset { N - 1 } { \\prod } } , v _ { 1 ; \\mathcal { N } - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } W ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ \\underset { \\delta \\neq j } { \\overset { N - 1 } { \\prod } } , v _ { i } ; \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } \\sigma _ { i } ) ] + \\underset { \\mathbb { P } _ { Q ( y _ { i } ; \\mathcal { N } , \\eta _ { i } ) } [ \\frac { 1 } { 2 } } { \\overset { N - 1 } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } ) ] + \\frac { \\sigma _ { i } } { 2 \\sigma _ { i } } } \\\\ & { = \\underset { i = 1 } { \\overset { N } { \\prod } } + \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 246, + 318, + 905, + 539 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "The entropy of a multivariate gaussian has a simple analytical form depending only on the variance. Next we turn to the energy term, which is more complex. To derive a clean analytical result, we must make a further assumption, the Laplace approximation, which requires the variational density to be tightly peaked around the mean so the only non-negligible contribution to the expectation is from regions around the mean. This means that we can successfully approximate the approximate posterior with a second-order Taylor expansion around the mean. From the first line onwards we ignore the $\\ln p ( y _ { 0 } )$ and $\\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) )$ which lie outside the expectation. ", + "bbox": [ + 173, + 545, + 828, + 645 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/23b75a727175e9343db6343f8dfa6e533b890e890cecf7d17d4aa364683007d9.jpg", + "text": "$$\n\\begin{array} { r l } { \\hat { \\mathcal { L } } _ { Q ( y _ { 1 } , N - 1 ; \\mathcal { V } _ { 1 } , N - 1 , \\mathcal { O } _ { 1 } , N - 1 ) } [ \\ln p ( y _ { 0 } , N ) ] = \\ln p ( y _ { 0 } ) + \\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) + \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\mathbb { E } _ { Q ( y _ { i } ; \\mathcal { P } _ { i } , \\sigma _ { i } ) } [ \\ln p ( y _ { i } | \\mathcal { P } ( y _ { i } ) ) } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } E _ { Q } [ \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) ] + \\mathbb { E } _ { Q } [ \\frac { \\partial \\ln p ( y _ { i } | \\mathcal { P } ( y _ { k } ) ) } { \\partial y _ { i } } ( v _ { i } - y _ { i } ) ] } & { } \\\\ { + \\mathbb { E } _ { Q } [ \\frac { d ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { d y _ { i } ^ { 2 } } ( v _ { i } - y _ { i } ) ^ { 2 } ] } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) + \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } \\sigma _ { i } } & { } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 646, + 839, + 816 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Where the second term in the Taylor expansion evaluates to 0 since $\\mathbb { E } _ { Q } [ y _ { i } - v _ { i } ] = ( v _ { i } - v _ { i } ) = 0$ and the third term contains the expression for the variance $\\mathbb { E } _ { Q } [ ( y _ { i } - v _ { i } ) ^ { 2 } ] = \\sigma _ { i }$ . ", + "bbox": [ + 171, + 824, + 826, + 856 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We can then write out the full Laplace-encoded free-energy as: ", + "bbox": [ + 173, + 861, + 586, + 876 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/e6715d00f5f798dbbcdc5699d09a4f4e95e4336d7f16c8d1078a0f776e66e2dd.jpg", + "text": "$$\n- \\mathcal { F } = \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) + \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } \\sigma _ { i } - - \\frac { 1 } { 2 } \\ln \\operatorname* { d e t } ( 2 \\pi \\sigma _ { i } )\n$$", + "text_format": "latex", + "bbox": [ + 269, + 878, + 725, + 921 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We wish to minimize $\\mathcal { F }$ with respect to the variational parameters $v _ { i }$ and $\\sigma _ { i }$ . There is in fact a closedform expression for the optimal variational variance which can be obtained simply by differentiating and setting the derivative to 0. ", + "bbox": [ + 173, + 103, + 823, + 146 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/ac32a059642136321b21276c4ad804c09bb54d3d1fb8d337eff9f0a08b37ece2.jpg", + "text": "$$\n\\begin{array} { c } { \\displaystyle \\frac { \\partial \\mathcal { F } } { \\partial \\sigma _ { i } } = \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } - \\sigma _ { i } ^ { - 1 } } \\\\ { \\displaystyle \\frac { \\partial \\mathcal { F } } { \\partial \\sigma _ { i } } = 0 \\Rightarrow \\sigma _ { i } ^ { * } = \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } ^ { - 1 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 369, + 155, + 629, + 231 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Because of this analytical result for the variational variance, we do not need to consider it further in the optimisation problem, and only consider minimizing the variational means $v _ { i }$ . This renders all the terms in the free-energy except the $\\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) )$ terms constant with respect to the variational parameters. This allows us to write: ", + "bbox": [ + 173, + 246, + 825, + 303 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/96ad3044e8cec3a7226dca410b070db66e34b30c9ce65ac3429580c709b9aaef.jpg", + "text": "$$\n- \\mathcal { F } \\approx \\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) + \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) )\n$$", + "text_format": "latex", + "bbox": [ + 346, + 313, + 648, + 356 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "as presented in section 2. The first term $\\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) )$ is effectively the loss at the output $( y _ { N } = T ,$ ) so becomes an additional prediction error $\\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) \\propto ( T - \\hat { v } _ { N } ) ^ { T } \\Sigma _ { N } ^ { - 1 } ( T - \\hat { v } _ { N } )$ which can be absorbed into the sum over other prediction errors. Crucially, although the variational variances have an analytical form, the variances of the generative model (the precisions $\\Sigma _ { i }$ ) do not and can be optimised directly to improve the log model-evidence. These precisions allow for a kind of ’uncertainty-aware’ backprop. ", + "bbox": [ + 173, + 372, + 826, + 459 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "DERIVATION OF VARIATIONAL UPDATE RULES AND FIXED POINTS ", + "text_level": 1, + "bbox": [ + 174, + 478, + 637, + 494 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Here, starting from Equation 10, we show how to obtain the variational update rule for the $v _ { i }$ ’s (Equation 2), and the fixed point equations (Equation 5) (Friston, 2008; 2005; Bogacz, 2017). We first reduce the free-energy to a sum of prediction errors. ", + "bbox": [ + 174, + 506, + 825, + 549 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/55f84ff3b049a5b85d7de16efd306d6b927c727fd895c269855c7c816bc274c4.jpg", + "text": "$$\n\\begin{array} { r l } { { - \\mathcal { F } \\approx \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( v _ { i } ) ) } } \\\\ & { \\approx \\displaystyle \\sum _ { i = 1 } ^ { N } ( v _ { i } - f ( \\mathcal { P } ( v _ { 1 } ) ) ^ { T } \\Sigma _ { i } ^ { - 1 } ( v _ { i } - f ( \\mathcal { P } ( v _ { 1 } ) ) ^ { T } + \\ln 2 \\pi \\Sigma _ { i } ^ { - 1 } } \\\\ & { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\epsilon _ { i } ^ { T } \\epsilon _ { i } + \\ln 2 \\pi \\Sigma _ { i } ^ { - 1 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 289, + 559, + 705, + 693 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Where $\\epsilon _ { i } = v _ { i } - f ( \\mathcal { P } ( v _ { 1 } ) )$ , and we have utilized the assumption made in section 2 that $\\Sigma ^ { - 1 } = \\mathbf { I }$ . By setting all precisions to the identity, we are implicitly assuming that all datapoints and vertices of the computational graph have equal variance. Next we assume that the dynamics of each vertex $v _ { i }$ follow a gradient descent on the free-energy. ", + "bbox": [ + 174, + 708, + 825, + 766 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/4e2a49e92df96a9473010f77a6c9c49325dcf989e71ce1b271678ea8248b3007.jpg", + "text": "$$\n\\begin{array} { c } { { \\displaystyle - \\frac { d v _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial v _ { i } } = \\frac { \\partial } { \\partial v _ { i } } [ \\sum _ { j = 1 } ^ { N } \\epsilon _ { j } ^ { T } \\epsilon _ { j } ] } } \\\\ { { = \\epsilon _ { i } \\frac { \\partial \\epsilon _ { i } } { \\partial v _ { i } } + \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\epsilon _ { j } } { \\partial v _ { i } } } } \\\\ { { = \\epsilon _ { i } - \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } } { \\partial v _ { i } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 367, + 773, + 629, + 904 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Where we have used the fact that ∂\u000fi = 1 and $\\begin{array} { r } { \\frac { \\partial \\epsilon _ { j } } { \\partial v _ { j } } = - \\frac { \\partial \\hat { v } _ { j } } { \\partial v _ { i } } } \\end{array}$ − ∂vˆj∂v . To obtain the fixed point of the dynamics, ∂vi \nwe simply solve for dvi = 0. ", + "bbox": [ + 173, + 99, + 826, + 140 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/aa606df7ce4dc20473ac6fc85b577064a1286432753ea8c2d922fc6f6ee57b93.jpg", + "text": "$$\n\\begin{array} { c } { \\displaystyle \\frac { d v _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial v _ { i } } = 0 } \\\\ { \\displaystyle \\Rightarrow 0 = \\epsilon _ { i } - \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } } { \\partial v _ { i } } } \\\\ { \\displaystyle \\Rightarrow \\epsilon _ { i } ^ { * } = \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } ^ { * } } { \\partial v _ { i } ^ { * } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 383, + 145, + 612, + 263 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Similarly, since $\\epsilon _ { i } ^ { * } = v _ { i } ^ { * } - \\hat { v } _ { i } ^ { * }$ then $v _ { i } ^ { * } = \\epsilon _ { i } ^ { * } + \\hat { v } _ { i } ^ { * }$ . So: ", + "bbox": [ + 173, + 275, + 526, + 292 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/e84f8ef12ed1ab0430572023854ae802957a62a383f72843c9013a95d40d238a.jpg", + "text": "$$\n\\begin{array} { c } { \\displaystyle { v _ { i } ^ { * } = \\epsilon _ { i } ^ { * } + \\hat { v } _ { i } ^ { * } } } \\\\ { \\displaystyle { = \\hat { v } _ { i } ^ { * } - \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } ^ { * } } { \\partial { v _ { i } ^ { * } } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 413, + 318, + 583, + 380 + ], + "page_idx": 25 + } +] \ No newline at end of file diff --git a/parse/train/PdauS7wZBfC/PdauS7wZBfC_middle.json b/parse/train/PdauS7wZBfC/PdauS7wZBfC_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..0b60feb77ea3c2d3a0ab03ac93e320a4ddf78020 --- /dev/null +++ b/parse/train/PdauS7wZBfC/PdauS7wZBfC_middle.json @@ -0,0 +1,57155 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 78, + 504, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 77, + 505, + 98 + ], + "spans": [ + { + "bbox": [ + 105, + 77, + 505, + 98 + ], + "score": 1.0, + "content": "PREDICTIVE CODING APPROXIMATES BACKPROP", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 99, + 434, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 434, + 118 + ], + "score": 1.0, + "content": "ALONG ARBITRARY COMPUTATION GRAPHS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 136, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 209, + 469, + 419 + ], + "lines": [ + { + "bbox": [ + 141, + 210, + 469, + 223 + ], + "spans": [ + { + "bbox": [ + 141, + 210, + 469, + 223 + ], + "score": 1.0, + "content": "Backpropagation of error (backprop) is a powerful algorithm for training machine", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 221, + 469, + 234 + ], + "spans": [ + { + "bbox": [ + 141, + 221, + 469, + 234 + ], + "score": 1.0, + "content": "learning architectures through end-to-end differentiation. 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Here, we demonstrate that predictive coding converges", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 298, + 469, + 311 + ], + "spans": [ + { + "bbox": [ + 141, + 298, + 469, + 311 + ], + "score": 1.0, + "content": "asymptotically (and in practice rapidly) to exact backprop gradients on arbitrary", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 309, + 469, + 322 + ], + "spans": [ + { + "bbox": [ + 141, + 309, + 469, + 322 + ], + "score": 1.0, + "content": "computation graphs using only local learning rules. We apply this result to develop", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 320, + 469, + 332 + ], + "spans": [ + { + "bbox": [ + 141, + 320, + 469, + 332 + ], + "score": 1.0, + "content": "a straightforward strategy to translate core machine learning architectures into", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 331, + 470, + 344 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 470, + 344 + ], + "score": 1.0, + "content": "their predictive coding equivalents. We construct predictive coding CNNs, RNNs,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 342, + 470, + 354 + ], + "spans": [ + { + "bbox": [ + 142, + 342, + 470, + 354 + ], + "score": 1.0, + "content": "and the more complex LSTMs, which include a non-layer-like branching internal", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 353, + 470, + 365 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 470, + 365 + ], + "score": 1.0, + "content": "graph structure and multiplicative interactions. Our models perform equivalently", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "score": 1.0, + "content": "to backprop on challenging machine learning benchmarks, while utilising only", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 375, + 470, + 387 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 470, + 387 + ], + "score": 1.0, + "content": "local and (mostly) Hebbian plasticity. Our method raises the potential that standard", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 142, + 386, + 469, + 398 + ], + "spans": [ + { + "bbox": [ + 142, + 386, + 469, + 398 + ], + "score": 1.0, + "content": "machine learning algorithms could in principle be directly implemented in neural", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 397, + 469, + 408 + ], + "spans": [ + { + "bbox": [ + 141, + 397, + 469, + 408 + ], + "score": 1.0, + "content": "circuitry, and may also contribute to the development of completely distributed", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 408, + 256, + 420 + ], + "spans": [ + { + "bbox": [ + 141, + 408, + 256, + 420 + ], + "score": 1.0, + "content": "neuromorphic architectures.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 14, + "bbox_fs": [ + 141, + 210, + 470, + 420 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 438, + 206, + 450 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 208, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 208, + 453 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 462, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "score": 1.0, + "content": "Deep learning has seen stunning successes in the last decade in computer vision (Krizhevsky et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 473, + 507, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 507, + 486 + ], + "score": 1.0, + "content": "2012; Szegedy et al., 2015), natural language processing and translation (Vaswani et al., 2017;", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "Radford et al., 2019; Kaplan et al., 2020), and computer game playing (Mnih et al., 2015; Silver", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "score": 1.0, + "content": "et al., 2017; Schrittwieser et al., 2019; Vinyals et al., 2019). While there is a great variety of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "architectures and models, they are all trained by gradient descent using gradients computed by", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 517, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 530 + ], + "score": 1.0, + "content": "automatic differentiation (AD). The key insight of AD is that it suffices to define a forward model", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 527, + 507, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 507, + 541 + ], + "score": 1.0, + "content": "which maps inputs to predictions according to some parameters. Then, using the chain rule of calculus,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 553 + ], + "score": 1.0, + "content": "it is possible, as long as every operation of the forward model is differentiable, to differentiate back", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 564 + ], + "score": 1.0, + "content": "through the computation graph of the model so as to compute the sensitivity of every parameter in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 574 + ], + "score": 1.0, + "content": "the model to the error at the output, and thus adjust every single parameter to best minimize the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "total loss. Early models were typically simple artificial neural networks where the computation", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "graph is simply a composition of matrix multiplications and elementwise nonlinearities, and for", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 506, + 607 + ], + "score": 1.0, + "content": "which the implementation of automatic differentation has become known as ‘backpropagation’ (or", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 618 + ], + "score": 1.0, + "content": "’backprop’). However, automatic differentiation allows for substantially more complicated graphs to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 505, + 629 + ], + "score": 1.0, + "content": "be differentiated through, up to, and including, arbitrary programs (Griewank et al., 1989; Baydin", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "et al., 2017; Paszke et al., 2017; Revels et al., 2016; Innes et al., 2019; Werbos, 1982; Rumelhart", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "score": 1.0, + "content": "and Zipser, 1985; Linnainmaa, 1970). In recent years this has enabled the differentiation through", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 649, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 506, + 661 + ], + "score": 1.0, + "content": "differential equation solvers (Chen et al., 2018; Tzen and Raginsky, 2019; Rackauckas et al., 2019),", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 658, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 674 + ], + "score": 1.0, + "content": "physics engines (Degrave et al., 2019; Heiden et al., 2019), raytracers (Pal, 2019), and planning", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "algorithms (Amos and Yarats, 2019; Okada et al., 2017). These advances allow the straightforward", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 695 + ], + "score": 1.0, + "content": "training of models which intrinsically embody complex processes and which can encode significantly", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 693, + 477, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 693, + 477, + 705 + ], + "score": 1.0, + "content": "more prior knowledge and structure about a given problem domain than previously possible.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 462, + 507, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "Modern deep learning has also been closely intertwined with neuroscience (Hassabis et al., 2017;", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 719, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 505, + 734 + ], + "score": 1.0, + "content": "Hawkins and Blakeslee, 2007; Richards et al., 2019). The backpropagation algorithm itself arose", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "as a technique for training multi-layer perceptrons – simple hierarchical models of neurons inspired", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "by the brain (Werbos, 1982). Despite this origin, and its empirical successes, a consensus has", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "emerged that the brain cannot directly implement backprop, since to do so would require biologically", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "implausible connection rules (Crick, 1989). There are two principal problems. Firstly, backprop in", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "the brain appears to require non-local information (since the activity of any specific neuron affects all", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "subsequent neurons down to the final output neuron). It is difficult to see how this information could", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "score": 1.0, + "content": "be transmitted ’backwards’ throughout the brain with the required fidelity without precise connectivity", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "constraints. The second problem – the ‘weight transport problem’ is that backprop through MLP style", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "networks requires identical forward and backwards weights. In recent years, however, a succession", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "of models have been introduced which claim to implement backprop in MLP-style models using only", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "biologically plausible connectivity schemes, and Hebbian learning rules (Liao et al., 2016; Guerguiev", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "score": 1.0, + "content": "et al., 2017; Sacramento et al., 2018; Bengio and Fischer, 2015; Bengio et al., 2017; Ororbia et al.,", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 213, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 227 + ], + "score": 1.0, + "content": "2020; Whittington and Bogacz, 2019). Of particular significance is Whittington and Bogacz (2017)", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "score": 1.0, + "content": "who show that predictive coding networks – a type of biologically plausible network which learn", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "through a hierarchical process of prediction error minimization – are mathematically equivalent to", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 246, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 260 + ], + "score": 1.0, + "content": "backprop in MLP models. In this paper we extend this work, showing that predictive coding can not", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 272 + ], + "score": 1.0, + "content": "only approximate backprop in MLPs, but can approximate automatic differentiation along arbitrary", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "computation graphs. This means that in theory there exist potentially biologically plausible algorithms", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "for differentiating through arbitrary programs, utilizing only local connectivity. Moreover, in a class", + "type": "text", + "cross_page": true + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "of models which we call parameter-linear, which includes many current machine learning models,", + "type": "text", + "cross_page": true + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "the required update rules are Hebbian, raising the possibility that a wide range of current machine", + "type": "text", + "cross_page": true + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 492, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 492, + 325 + ], + "score": 1.0, + "content": "learning architectures may be faithfully implemented in the brain, or in neuromorphic hardware.", + "type": "text", + "cross_page": true + } + ], + "index": 21 + } + ], + "index": 47.5, + "bbox_fs": [ + 105, + 709, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "as a technique for training multi-layer perceptrons – simple hierarchical models of neurons inspired", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "by the brain (Werbos, 1982). Despite this origin, and its empirical successes, a consensus has", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "emerged that the brain cannot directly implement backprop, since to do so would require biologically", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "implausible connection rules (Crick, 1989). There are two principal problems. Firstly, backprop in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "the brain appears to require non-local information (since the activity of any specific neuron affects all", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "subsequent neurons down to the final output neuron). It is difficult to see how this information could", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 162 + ], + "score": 1.0, + "content": "be transmitted ’backwards’ throughout the brain with the required fidelity without precise connectivity", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 172 + ], + "score": 1.0, + "content": "constraints. The second problem – the ‘weight transport problem’ is that backprop through MLP style", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 170, + 506, + 183 + ], + "score": 1.0, + "content": "networks requires identical forward and backwards weights. In recent years, however, a succession", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 194 + ], + "score": 1.0, + "content": "of models have been introduced which claim to implement backprop in MLP-style models using only", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "biologically plausible connectivity schemes, and Hebbian learning rules (Liao et al., 2016; Guerguiev", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "score": 1.0, + "content": "et al., 2017; Sacramento et al., 2018; Bengio and Fischer, 2015; Bengio et al., 2017; Ororbia et al.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 213, + 506, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 227 + ], + "score": 1.0, + "content": "2020; Whittington and Bogacz, 2019). Of particular significance is Whittington and Bogacz (2017)", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 238 + ], + "score": 1.0, + "content": "who show that predictive coding networks – a type of biologically plausible network which learn", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "through a hierarchical process of prediction error minimization – are mathematically equivalent to", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 246, + 506, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 260 + ], + "score": 1.0, + "content": "backprop in MLP models. In this paper we extend this work, showing that predictive coding can not", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 272 + ], + "score": 1.0, + "content": "only approximate backprop in MLPs, but can approximate automatic differentiation along arbitrary", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "computation graphs. This means that in theory there exist potentially biologically plausible algorithms", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "for differentiating through arbitrary programs, utilizing only local connectivity. 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Here we present a generalized form of", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 437, + 277 + ], + "score": 1.0, + "content": "predictive coding applied to arbitrary computation graphs. A computation graph", + "type": "text" + }, + { + "bbox": [ + 437, + 264, + 487, + 276 + ], + "score": 0.94, + "content": "\\mathcal { G } = \\{ \\mathbb { E } , \\mathbb { V } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "score": 1.0, + "content": "directed acyclic graph (DAG) which can represent the computational flow of essentially any program", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 286, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 423, + 299 + ], + "score": 1.0, + "content": "or computable function as a composition of elementary functions. Each edge", + "type": "text" + }, + { + "bbox": [ + 423, + 286, + 452, + 297 + ], + "score": 0.92, + "content": "e _ { i } \\in \\mathbb { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 286, + 505, + 299 + ], + "score": 1.0, + "content": "of the graph", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "score": 1.0, + "content": "corresponds to an intermediate step – the application of an elementary function – while each vertex", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 136, + 319 + ], + "score": 0.91, + "content": "v _ { i } \\in \\mathbb { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "is an intermediate variable computed by applying the functions of the edges to the values of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 268, + 331 + ], + "score": 1.0, + "content": "their originating vertices. In this paper,", + "type": "text" + }, + { + "bbox": [ + 269, + 320, + 279, + 330 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 318, + 505, + 331 + ], + "score": 1.0, + "content": "denotes the vector of activations within a layer and we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 231, + 342 + ], + "score": 1.0, + "content": "denote the set of all vertices as", + "type": "text" + }, + { + "bbox": [ + 231, + 330, + 250, + 342 + ], + "score": 0.92, + "content": "\\{ v _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 329, + 506, + 342 + ], + "score": 1.0, + "content": ". Effectively, computation flows ’forward’ from parent nodes to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 339, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 354 + ], + "score": 1.0, + "content": "all their children through the edge functions until the leaf nodes give the final output of the program", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 353, + 365 + ], + "score": 1.0, + "content": "as a whole (see Figure 1 and 2 for an example). Given a target", + "type": "text" + }, + { + "bbox": [ + 354, + 352, + 363, + 361 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 352, + 440, + 365 + ], + "score": 1.0, + "content": "and a loss function", + "type": "text" + }, + { + "bbox": [ + 441, + 351, + 502, + 363 + ], + "score": 0.93, + "content": "L = g ( \\mathbf { \\bar { \\mathit { T } } } , \\mathbf { \\bar { v } } _ { o u t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 352, + 506, + 365 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "the graph’s output can be evaluated and, and if every edge function is differentiable, automatic", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 372, + 345, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 345, + 387 + ], + "score": 1.0, + "content": "differentiation can be performed on the computation graph.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 390, + 506, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "Predictive coding can be derived elegantly as a variational inference algorithm under a hierarchical", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 400, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 506, + 415 + ], + "score": 1.0, + "content": "Gaussian generative model (Friston, 2005; Buckley et al., 2017). We extend this approach to arbitrary", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 507, + 425 + ], + "score": 1.0, + "content": "computation graphs in a supervised setting by defining the inference problem to be solved as that of in-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 198, + 436 + ], + "score": 1.0, + "content": "ferring the vertex value", + "type": "text" + }, + { + "bbox": [ + 198, + 425, + 207, + 434 + ], + "score": 0.84, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 423, + 395, + 436 + ], + "score": 1.0, + "content": "of each node in the graph given fixed start nodes", + "type": "text" + }, + { + "bbox": [ + 395, + 425, + 406, + 434 + ], + "score": 0.84, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 423, + 506, + 436 + ], + "score": 1.0, + "content": "(the data), and end nodes", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 107, + 435, + 120, + 446 + ], + "score": 0.83, + "content": "v _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "(the targets). We define a generative model which parametrises the value of each vertex given the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 445, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 255, + 460 + ], + "score": 1.0, + "content": "feedforward prediction of its parents,", + "type": "text" + }, + { + "bbox": [ + 255, + 445, + 434, + 460 + ], + "score": 0.92, + "content": "\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = p ( v _ { 0 } \\cdot . . . v _ { N } ) = \\prod _ { i } ^ { N } p ( v _ { i } | \\mathcal { P } ( v _ { i } ) ) ^ { \\ 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 446, + 506, + 460 + ], + "score": 1.0, + "content": ", and a factorised,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 459, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 104, + 459, + 191, + 474 + ], + "score": 1.0, + "content": "variational posterior", + "type": "text" + }, + { + "bbox": [ + 192, + 461, + 473, + 473 + ], + "score": 0.91, + "content": "\\begin{array} { r } { Q ( \\{ v _ { i } \\} | v _ { 0 } , v _ { N } ) = Q ( v _ { 1 } \\ldots v _ { N - 1 } | v _ { 0 } , v _ { N } ) = \\prod _ { i } ^ { N } Q ( v _ { i } | \\mathcal { P } ( v _ { i } ) , \\mathcal { C } ( v _ { i } ) ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 459, + 506, + 474 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 472, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 107, + 472, + 131, + 484 + ], + "score": 0.92, + "content": "\\mathcal { P } ( v _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 472, + 253, + 485 + ], + "score": 1.0, + "content": "denotes the set of parents and", + "type": "text" + }, + { + "bbox": [ + 253, + 473, + 276, + 484 + ], + "score": 0.9, + "content": "\\mathcal { C } ( v _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 472, + 448, + 485 + ], + "score": 1.0, + "content": "denotes the set of children of a given node", + "type": "text" + }, + { + "bbox": [ + 449, + 474, + 458, + 483 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 472, + 506, + 485 + ], + "score": 1.0, + "content": ". From this,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 482, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 396, + 496 + ], + "score": 1.0, + "content": "we can define a suitable objective functional, the variational free-energy", + "type": "text" + }, + { + "bbox": [ + 396, + 483, + 406, + 493 + ], + "score": 0.79, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 482, + 506, + 496 + ], + "score": 1.0, + "content": "(VFE), which acts as an", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 493, + 406, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 406, + 507 + ], + "score": 1.0, + "content": "upper bound on the divergence between the true and variational posteriors.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5 + }, + { + "type": "interline_equation", + "bbox": [ + 105, + 515, + 500, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 500, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 500, + 567 + ], + "score": 0.71, + "content": "\\begin{array} { l } { \\mathcal { F } = K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) \\| p ( v _ { 0 } \\dots v _ { N } ) ] \\geq K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } ) | v _ { 0 } , v _ { N } ) \\| p ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) ] } \\\\ { \\approx \\displaystyle \\sum _ { i = 0 } ^ { N } \\epsilon _ { i } ^ { T } \\epsilon _ { i } } \\end{array}", + "type": "interline_equation", + "image_path": "d523a716e4f8e73351299f58892c47f81668f9e3db57eab062d34b75721836e5.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 105, + 515, + 500, + 532.3333333333334 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 105, + 532.3333333333334, + 500, + 549.6666666666667 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 105, + 549.6666666666667, + 500, + 567.0000000000001 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 506, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 507, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 330, + 590 + ], + "score": 1.0, + "content": "Under Gaussian assumptions for the generative model", + "type": "text" + }, + { + "bbox": [ + 331, + 574, + 449, + 589 + ], + "score": 0.93, + "content": "\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ; \\hat { v } _ { i } , \\Sigma _ { i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 574, + 507, + 590 + ], + "score": 1.0, + "content": ", and the vari-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 588, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 104, + 588, + 176, + 604 + ], + "score": 1.0, + "content": "ational posterior", + "type": "text" + }, + { + "bbox": [ + 176, + 588, + 269, + 603 + ], + "score": 0.93, + "content": "\\begin{array} { r } { Q ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 588, + 371, + 604 + ], + "score": 1.0, + "content": ", where the ‘predictions’", + "type": "text" + }, + { + "bbox": [ + 371, + 590, + 444, + 602 + ], + "score": 0.94, + "content": "\\hat { v _ { i } } = f ( \\mathcal { P } ( v _ { i } ) ; \\theta _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 588, + 506, + 604 + ], + "score": 1.0, + "content": "are defined as", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 600, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 615 + ], + "score": 1.0, + "content": "the feedforward value of the vertex produced by running the graph forward, and all the precisions,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 611, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 193, + 626 + ], + "score": 1.0, + "content": "or inverse variances,", + "type": "text" + }, + { + "bbox": [ + 194, + 611, + 212, + 624 + ], + "score": 0.92, + "content": "\\Sigma _ { i } ^ { - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 611, + 369, + 626 + ], + "score": 1.0, + "content": "are fixed at the identity, we can write", + "type": "text" + }, + { + "bbox": [ + 370, + 613, + 379, + 622 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 611, + 506, + 626 + ], + "score": 1.0, + "content": "as simply a sum of prediction", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "errors (see Appendix D or (Friston, 2003; Bogacz, 2017; Buckley et al., 2017) for full derivations),", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 257, + 647 + ], + "score": 1.0, + "content": "with the prediction errors defined as", + "type": "text" + }, + { + "bbox": [ + 257, + 635, + 309, + 645 + ], + "score": 0.92, + "content": "\\epsilon _ { i } = v _ { i } - \\hat { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 634, + 506, + 647 + ], + "score": 1.0, + "content": ". These prediction errors play a core role in the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "framework and, in the biological process theories (Friston, 2005; Bastos et al., 2012), are generally", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 408, + 668 + ], + "score": 1.0, + "content": "considered to be represented by a distinct population of ‘error units’. Since", + "type": "text" + }, + { + "bbox": [ + 408, + 657, + 418, + 666 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "is an upper bound on", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 665, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 388, + 681 + ], + "score": 1.0, + "content": "the divergence between true and approximate posteriors, by minimizing", + "type": "text" + }, + { + "bbox": [ + 388, + 667, + 397, + 677 + ], + "score": 0.82, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 665, + 507, + 681 + ], + "score": 1.0, + "content": ", we reduce this divergence,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "thus improving the quality of the variational posterior and approximating exact Bayesian inference.", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 227, + 702 + ], + "score": 1.0, + "content": "Predictive coding minimizes", + "type": "text" + }, + { + "bbox": [ + 227, + 689, + 237, + 699 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "by employing the Cauchy method of steepest descent to set the", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 45 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 120, + 721, + 335, + 732 + ], + "lines": [ + { + "bbox": [ + 119, + 719, + 337, + 734 + ], + "spans": [ + { + "bbox": [ + 119, + 719, + 205, + 734 + ], + "score": 1.0, + "content": "1This includes the prior", + "type": "text" + }, + { + "bbox": [ + 206, + 721, + 227, + 732 + ], + "score": 0.9, + "content": "p ( v _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 719, + 337, + 734 + ], + "score": 1.0, + "content": ", which simply has no parents.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 108, + 27, + 306, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 236 + ], + "lines": [], + "index": 6.5, + "bbox_fs": [ + 105, + 82, + 507, + 239 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 241, + 505, + 385 + ], + "lines": [ + { + "bbox": [ + 106, + 242, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 106, + 242, + 505, + 255 + ], + "score": 1.0, + "content": "In previous work, predictive coding has always been conceptualised as operating on hierarchies", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "of layers (Bogacz, 2017; Whittington and Bogacz, 2017). Here we present a generalized form of", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 437, + 277 + ], + "score": 1.0, + "content": "predictive coding applied to arbitrary computation graphs. A computation graph", + "type": "text" + }, + { + "bbox": [ + 437, + 264, + 487, + 276 + ], + "score": 0.94, + "content": "\\mathcal { G } = \\{ \\mathbb { E } , \\mathbb { V } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 505, + 288 + ], + "score": 1.0, + "content": "directed acyclic graph (DAG) which can represent the computational flow of essentially any program", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 286, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 423, + 299 + ], + "score": 1.0, + "content": "or computable function as a composition of elementary functions. Each edge", + "type": "text" + }, + { + "bbox": [ + 423, + 286, + 452, + 297 + ], + "score": 0.92, + "content": "e _ { i } \\in \\mathbb { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 286, + 505, + 299 + ], + "score": 1.0, + "content": "of the graph", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 506, + 309 + ], + "score": 1.0, + "content": "corresponds to an intermediate step – the application of an elementary function – while each vertex", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 308, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 136, + 319 + ], + "score": 0.91, + "content": "v _ { i } \\in \\mathbb { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 308, + 506, + 321 + ], + "score": 1.0, + "content": "is an intermediate variable computed by applying the functions of the edges to the values of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 268, + 331 + ], + "score": 1.0, + "content": "their originating vertices. In this paper,", + "type": "text" + }, + { + "bbox": [ + 269, + 320, + 279, + 330 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 318, + 505, + 331 + ], + "score": 1.0, + "content": "denotes the vector of activations within a layer and we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 231, + 342 + ], + "score": 1.0, + "content": "denote the set of all vertices as", + "type": "text" + }, + { + "bbox": [ + 231, + 330, + 250, + 342 + ], + "score": 0.92, + "content": "\\{ v _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 329, + 506, + 342 + ], + "score": 1.0, + "content": ". Effectively, computation flows ’forward’ from parent nodes to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 339, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 354 + ], + "score": 1.0, + "content": "all their children through the edge functions until the leaf nodes give the final output of the program", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 353, + 365 + ], + "score": 1.0, + "content": "as a whole (see Figure 1 and 2 for an example). Given a target", + "type": "text" + }, + { + "bbox": [ + 354, + 352, + 363, + 361 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 352, + 440, + 365 + ], + "score": 1.0, + "content": "and a loss function", + "type": "text" + }, + { + "bbox": [ + 441, + 351, + 502, + 363 + ], + "score": 0.93, + "content": "L = g ( \\mathbf { \\bar { \\mathit { T } } } , \\mathbf { \\bar { v } } _ { o u t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 352, + 506, + 365 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "the graph’s output can be evaluated and, and if every edge function is differentiable, automatic", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 372, + 345, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 345, + 387 + ], + "score": 1.0, + "content": "differentiation can be performed on the computation graph.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 242, + 506, + 387 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 390, + 506, + 505 + ], + "lines": [ + { + "bbox": [ + 106, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "Predictive coding can be derived elegantly as a variational inference algorithm under a hierarchical", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 400, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 506, + 415 + ], + "score": 1.0, + "content": "Gaussian generative model (Friston, 2005; Buckley et al., 2017). We extend this approach to arbitrary", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 412, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 507, + 425 + ], + "score": 1.0, + "content": "computation graphs in a supervised setting by defining the inference problem to be solved as that of in-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 423, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 198, + 436 + ], + "score": 1.0, + "content": "ferring the vertex value", + "type": "text" + }, + { + "bbox": [ + 198, + 425, + 207, + 434 + ], + "score": 0.84, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 423, + 395, + 436 + ], + "score": 1.0, + "content": "of each node in the graph given fixed start nodes", + "type": "text" + }, + { + "bbox": [ + 395, + 425, + 406, + 434 + ], + "score": 0.84, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 423, + 506, + 436 + ], + "score": 1.0, + "content": "(the data), and end nodes", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 107, + 435, + 120, + 446 + ], + "score": 0.83, + "content": "v _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "(the targets). We define a generative model which parametrises the value of each vertex given the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 445, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 255, + 460 + ], + "score": 1.0, + "content": "feedforward prediction of its parents,", + "type": "text" + }, + { + "bbox": [ + 255, + 445, + 434, + 460 + ], + "score": 0.92, + "content": "\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = p ( v _ { 0 } \\cdot . . . v _ { N } ) = \\prod _ { i } ^ { N } p ( v _ { i } | \\mathcal { P } ( v _ { i } ) ) ^ { \\ 1 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 446, + 506, + 460 + ], + "score": 1.0, + "content": ", and a factorised,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 459, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 104, + 459, + 191, + 474 + ], + "score": 1.0, + "content": "variational posterior", + "type": "text" + }, + { + "bbox": [ + 192, + 461, + 473, + 473 + ], + "score": 0.91, + "content": "\\begin{array} { r } { Q ( \\{ v _ { i } \\} | v _ { 0 } , v _ { N } ) = Q ( v _ { 1 } \\ldots v _ { N - 1 } | v _ { 0 } , v _ { N } ) = \\prod _ { i } ^ { N } Q ( v _ { i } | \\mathcal { P } ( v _ { i } ) , \\mathcal { C } ( v _ { i } ) ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 459, + 506, + 474 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 472, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 107, + 472, + 131, + 484 + ], + "score": 0.92, + "content": "\\mathcal { P } ( v _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 472, + 253, + 485 + ], + "score": 1.0, + "content": "denotes the set of parents and", + "type": "text" + }, + { + "bbox": [ + 253, + 473, + 276, + 484 + ], + "score": 0.9, + "content": "\\mathcal { C } ( v _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 472, + 448, + 485 + ], + "score": 1.0, + "content": "denotes the set of children of a given node", + "type": "text" + }, + { + "bbox": [ + 449, + 474, + 458, + 483 + ], + "score": 0.85, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 472, + 506, + 485 + ], + "score": 1.0, + "content": ". From this,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 482, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 396, + 496 + ], + "score": 1.0, + "content": "we can define a suitable objective functional, the variational free-energy", + "type": "text" + }, + { + "bbox": [ + 396, + 483, + 406, + 493 + ], + "score": 0.79, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 482, + 506, + 496 + ], + "score": 1.0, + "content": "(VFE), which acts as an", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 493, + 406, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 406, + 507 + ], + "score": 1.0, + "content": "upper bound on the divergence between the true and variational posteriors.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 104, + 390, + 507, + 507 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 105, + 515, + 500, + 567 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 500, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 500, + 567 + ], + "score": 0.71, + "content": "\\begin{array} { l } { \\mathcal { F } = K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) \\| p ( v _ { 0 } \\dots v _ { N } ) ] \\geq K L [ ( Q ( v _ { 1 } \\dots v _ { N - 1 } ) | v _ { 0 } , v _ { N } ) \\| p ( v _ { 1 } \\dots v _ { N - 1 } | v _ { 0 } , v _ { N } ) ] } \\\\ { \\approx \\displaystyle \\sum _ { i = 0 } ^ { N } \\epsilon _ { i } ^ { T } \\epsilon _ { i } } \\end{array}", + "type": "interline_equation", + "image_path": "d523a716e4f8e73351299f58892c47f81668f9e3db57eab062d34b75721836e5.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 105, + 515, + 500, + 532.3333333333334 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 105, + 532.3333333333334, + 500, + 549.6666666666667 + ], + "spans": [], + "index": 38 + }, + { + "bbox": [ + 105, + 549.6666666666667, + 500, + 567.0000000000001 + ], + "spans": [], + "index": 39 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 506, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 507, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 330, + 590 + ], + "score": 1.0, + "content": "Under Gaussian assumptions for the generative model", + "type": "text" + }, + { + "bbox": [ + 331, + 574, + 449, + 589 + ], + "score": 0.93, + "content": "\\begin{array} { r } { p ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ; \\hat { v } _ { i } , \\Sigma _ { i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 574, + 507, + 590 + ], + "score": 1.0, + "content": ", and the vari-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 588, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 104, + 588, + 176, + 604 + ], + "score": 1.0, + "content": "ational posterior", + "type": "text" + }, + { + "bbox": [ + 176, + 588, + 269, + 603 + ], + "score": 0.93, + "content": "\\begin{array} { r } { Q ( \\{ v _ { i } \\} ) = \\prod _ { i } ^ { N } \\mathcal { N } ( v _ { i } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 588, + 371, + 604 + ], + "score": 1.0, + "content": ", where the ‘predictions’", + "type": "text" + }, + { + "bbox": [ + 371, + 590, + 444, + 602 + ], + "score": 0.94, + "content": "\\hat { v _ { i } } = f ( \\mathcal { P } ( v _ { i } ) ; \\theta _ { i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 588, + 506, + 604 + ], + "score": 1.0, + "content": "are defined as", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 600, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 615 + ], + "score": 1.0, + "content": "the feedforward value of the vertex produced by running the graph forward, and all the precisions,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 611, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 193, + 626 + ], + "score": 1.0, + "content": "or inverse variances,", + "type": "text" + }, + { + "bbox": [ + 194, + 611, + 212, + 624 + ], + "score": 0.92, + "content": "\\Sigma _ { i } ^ { - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 611, + 369, + 626 + ], + "score": 1.0, + "content": "are fixed at the identity, we can write", + "type": "text" + }, + { + "bbox": [ + 370, + 613, + 379, + 622 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 611, + 506, + 626 + ], + "score": 1.0, + "content": "as simply a sum of prediction", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "errors (see Appendix D or (Friston, 2003; Bogacz, 2017; Buckley et al., 2017) for full derivations),", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 257, + 647 + ], + "score": 1.0, + "content": "with the prediction errors defined as", + "type": "text" + }, + { + "bbox": [ + 257, + 635, + 309, + 645 + ], + "score": 0.92, + "content": "\\epsilon _ { i } = v _ { i } - \\hat { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 634, + 506, + 647 + ], + "score": 1.0, + "content": ". 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After", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 305, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 506, + 320 + ], + "score": 1.0, + "content": "convergence the parameters are updated according to Equation 3. Note we also assume, following", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "score": 1.0, + "content": "Whittington and Bogacz (2017), that the predictions at each layer are fixed at the values assigned", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "during the feedforward pass throughout the optimisation of the vs. We call this the fixed-prediction", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "assumption. 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We implement these dynamics with a simple forward Euler integration scheme so that the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 103, + 369, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 103, + 369, + 245, + 388 + ], + "score": 1.0, + "content": "update rule for the vertices became", + "type": "text" + }, + { + "bbox": [ + 245, + 371, + 317, + 387 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\boldsymbol { v } _ { i } ^ { t + 1 } \\boldsymbol { v } _ { i } ^ { t } - \\eta \\frac { d \\mathcal { F } } { d \\boldsymbol { v } _ { i } ^ { t } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 372, + 345, + 384 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 345, + 373, + 352, + 383 + ], + "score": 0.79, + "content": "\\eta", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 372, + 506, + 384 + ], + "score": 1.0, + "content": "is the step-size parameter. Importantly,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "score": 1.0, + "content": "if the edge function linearly combines the activities and the parameters followed by an elementwise", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "nonlinearity – a condition which we call ‘parameter-linear’ – then both the update rule for the vertices", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 407, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 407, + 505, + 420 + ], + "score": 1.0, + "content": "(Equation 2) and the parameters (Equation 3) become Hebbian. Specifically, the update rules for the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 497, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 224, + 438 + ], + "score": 1.0, + "content": "vertices and weights become", + "type": "text" + }, + { + "bbox": [ + 224, + 418, + 341, + 434 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\frac { d v _ { i } } { d t } = \\epsilon _ { i } - \\sum _ { j } \\epsilon _ { j } f ^ { \\prime } ( \\theta _ { j } \\hat { v _ { j } } ) \\theta _ { j } ^ { T } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 414, + 360, + 438 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 360, + 418, + 442, + 433 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { d \\bar { \\theta } _ { i } } { d t } = \\epsilon _ { i } f ^ { \\prime } ( \\theta _ { i } \\hat { v _ { i } } ) \\bar { \\hat { v _ { i } } } ^ { T } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 414, + 497, + 438 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 108, + 444, + 267, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 268, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 268, + 457 + ], + "score": 1.0, + "content": "2.1 APPROXIMATION TO BACKPROP", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 465, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 104, + 464, + 507, + 479 + ], + "spans": [ + { + "bbox": [ + 104, + 464, + 402, + 479 + ], + "score": 1.0, + "content": "Here we show that at the equilibrium of the dynamics, the prediction errors", + "type": "text" + }, + { + "bbox": [ + 402, + 466, + 412, + 478 + ], + "score": 0.89, + "content": "\\boldsymbol { \\epsilon } _ { i } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 464, + 507, + 479 + ], + "score": 1.0, + "content": "converge to the correct", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 477, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 209, + 493 + ], + "score": 1.0, + "content": "backpropagated gradients", + "type": "text" + }, + { + "bbox": [ + 209, + 477, + 223, + 492 + ], + "score": 0.91, + "content": "\\frac { \\partial L } { \\partial v _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 477, + 505, + 493 + ], + "score": 1.0, + "content": ", and consequently the parameter updates (Equation 3) become precisely", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 489, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 503 + ], + "score": 1.0, + "content": "those of a backprop trained network. Standard backprop works by computing the gradient of a vertex", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 501, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 107, + 511, + 124, + 526 + ], + "score": 0.91, + "content": "\\frac { \\partial L } { \\partial v _ { L } }", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 501, + 506, + 532 + ], + "score": 1.0, + "content": "he sum of the gradients of the child vertices. Beginning with the gradient of the output vertex, it recursively computes the gradients of vertices deeper in the graph by the chain rule:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5 + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 525, + 354, + 559 + ], + "lines": [ + { + "bbox": [ + 257, + 525, + 354, + 559 + ], + "spans": [ + { + "bbox": [ + 257, + 525, + 354, + 559 + ], + "score": 0.95, + "content": "\\frac { \\partial L } { \\partial v _ { i } } = \\sum _ { j = \\mathcal { C } ( v _ { i } ) } \\frac { \\partial L } { \\partial v _ { j } } \\frac { \\partial v _ { j } } { \\partial v _ { i } }", + "type": "interline_equation", + "image_path": "7d85e6d0daf9e4fa4095ac35400004a7f751ac995818229a7cfcdd6557f899d4.jpg" + } + ] + } + ], + "index": 33.5, + "virtual_lines": [ + { + "bbox": [ + 257, + 525, + 354, + 542.0 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 257, + 542.0, + 354, + 559.0 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 561, + 505, + 583 + ], + "lines": [ + { + "bbox": [ + 102, + 555, + 509, + 586 + ], + "spans": [ + { + "bbox": [ + 102, + 555, + 132, + 586 + ], + "score": 1.0, + "content": "In comerrors", + "type": "text" + }, + { + "bbox": [ + 142, + 555, + 410, + 586 + ], + "score": 1.0, + "content": "arison, in our predictive coding framework, at the equilibrium point become,", + "type": "text" + }, + { + "bbox": [ + 410, + 560, + 445, + 574 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\cdot \\frac { d v _ { i } } { d t } = 0 \\rangle } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 555, + 509, + 586 + ], + "score": 1.0, + "content": ") the prediction", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 132, + 573, + 142, + 584 + ], + "spans": [ + { + "bbox": [ + 132, + 573, + 142, + 584 + ], + "score": 0.88, + "content": "\\boldsymbol { \\epsilon } _ { i } ^ { * }", + "type": "inline_equation" + } + ], + "index": 36 + } + ], + "index": 35.5 + }, + { + "type": "interline_equation", + "bbox": [ + 266, + 584, + 345, + 617 + ], + "lines": [ + { + "bbox": [ + 266, + 584, + 345, + 617 + ], + "spans": [ + { + "bbox": [ + 266, + 584, + 345, + 617 + ], + "score": 0.93, + "content": "\\epsilon _ { i } ^ { * } = \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } ^ { * } \\frac { \\partial \\hat { v } _ { i } } { \\partial v _ { j } }", + "type": "interline_equation", + "image_path": "cef4ab19f802e19656b27966c4f917f3daa6bd4de2c3d178e6f944560012bcc8.jpg" + } + ] + } + ], + "index": 37.5, + "virtual_lines": [ + { + "bbox": [ + 266, + 584, + 345, + 600.5 + ], + "spans": [], + "index": 37 + }, + { + "bbox": [ + 266, + 600.5, + 345, + 617.0 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 617, + 505, + 675 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "Importantly, this means that the equilibrium value of the prediction error at a given vertex (Equation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "5) satisfies the same recursive structure as the chain rule of backprop (Equation 4). Since this", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 638, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 653 + ], + "score": 1.0, + "content": "relationship is recursive, all that is needed for the prediction errors throughout the graph to converge", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 650, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 505, + 662 + ], + "score": 1.0, + "content": "to the backpropagated derivatives is for the prediction errors at the final layer to be equal to the output", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 657, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 104, + 658, + 146, + 677 + ], + "score": 1.0, + "content": "gradient:", + "type": "text" + }, + { + "bbox": [ + 146, + 660, + 189, + 676 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\dot { \\epsilon } _ { L } ^ { * } = \\frac { { \\partial } L } { { \\partial } \\hat { v } _ { L } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 657, + 506, + 678 + ], + "score": 1.0, + "content": ". To see this explicitly, consider a mean-squared-error loss function 2. at the", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 41 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 681, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 679, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 118, + 679, + 506, + 695 + ], + "score": 1.0, + "content": "2While the mean-squared-error loss function fits most nicely with the Gaussian generative model, other loss", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 691, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 505, + 703 + ], + "score": 1.0, + "content": "functions can be used in practice. 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See (Figure 6) in Appendix A for results for CNNs trained with a crossentropy loss.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + }, + { + "type": "discarded", + "bbox": [ + 106, + 26, + 307, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 454, + 94 + ], + "lines": [], + "index": 0, + "bbox_fs": [ + 105, + 81, + 456, + 96 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 94, + 373, + 127 + ], + "lines": [ + { + "bbox": [ + 238, + 94, + 373, + 127 + ], + "spans": [ + { + "bbox": [ + 238, + 94, + 373, + 127 + ], + "score": 0.94, + "content": "\\frac { d v _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial v _ { i } } = \\epsilon _ { i } - \\sum _ { j \\in \\mathcal { C } ( v _ { i } ) } \\epsilon _ { j } \\frac { \\partial \\hat { v } _ { j } } { \\partial v _ { i } }", + "type": "interline_equation", + "image_path": "8dac94bf56ecce36fbda549ae90fa931da1e15c53ae9138ef131d307d418008c.jpg" + } + ] + } + ], + "index": 1.5, + "virtual_lines": [ + { + "bbox": [ + 238, + 94, + 373, + 110.5 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 238, + 110.5, + 373, + 127.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 128, + 504, + 161 + ], + "lines": [ + { + "bbox": [ + 105, + 127, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 331, + 141 + ], + "score": 1.0, + "content": "The dynamics of the parameters of the edge functions", + "type": "text" + }, + { + "bbox": [ + 332, + 128, + 339, + 138 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 127, + 380, + 141 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 380, + 128, + 451, + 140 + ], + "score": 0.93, + "content": "\\hat { v _ { i } } = f ( \\mathcal { P } ( v _ { i } ) ; \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 127, + 506, + 141 + ], + "score": 1.0, + "content": ", can also be", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 138, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 234, + 151 + ], + "score": 1.0, + "content": "derived as a gradient descent on", + "type": "text" + }, + { + "bbox": [ + 234, + 140, + 243, + 149 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 138, + 505, + 151 + ], + "score": 1.0, + "content": ". Importantly these dynamics require only information (the current", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 149, + 504, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 504, + 163 + ], + "score": 1.0, + "content": "vertex value, prediction error, and prediction errors of child vertices) locally available at the vertex.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 127, + 506, + 163 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 263, + 162, + 348, + 188 + ], + "lines": [ + { + "bbox": [ + 263, + 162, + 348, + 188 + ], + "spans": [ + { + "bbox": [ + 263, + 162, + 348, + 188 + ], + "score": 0.95, + "content": "\\frac { d \\theta _ { i } } { d t } = \\frac { \\partial \\mathcal { F } } { \\partial \\theta _ { i } } = \\epsilon _ { i } \\frac { \\partial \\hat { v } _ { i } } { \\partial \\theta _ { i } }", + "type": "interline_equation", + "image_path": "c5015ad01488489751af5481ff3a8f51f4e88c3b4a2a4722bb1970fc8d9d2331.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 263, + 162, + 348, + 188 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 188, + 505, + 279 + ], + "lines": [ + { + "bbox": [ + 105, + 188, + 506, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 434, + 202 + ], + "score": 1.0, + "content": "To run generalized predictive coding in practice on a given computation graph", + "type": "text" + }, + { + "bbox": [ + 434, + 189, + 486, + 200 + ], + "score": 0.9, + "content": "\\mathcal { G } = \\{ \\mathbb { E } , \\mathbb { V } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 188, + 506, + 202 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 244, + 214 + ], + "score": 1.0, + "content": "augment the graph with error units", + "type": "text" + }, + { + "bbox": [ + 244, + 201, + 268, + 212 + ], + "score": 0.91, + "content": "\\epsilon \\in { \\mathcal { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 200, + 443, + 214 + ], + "score": 1.0, + "content": "to obtain an augumented computation graph", + "type": "text" + }, + { + "bbox": [ + 443, + 200, + 503, + 213 + ], + "score": 0.92, + "content": "\\tilde { \\mathcal { G } } = \\{ \\mathbb { E } , \\mathbb { V } , \\mathcal { E } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 200, + 506, + 214 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 212, + 505, + 225 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 505, + 225 + ], + "score": 1.0, + "content": "The predictive coding algorithm then operates in two phases – a feedforward sweep and a backwards", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "score": 1.0, + "content": "iteration phase. In the feedforward sweep, the augmented computation graph is run forward to obtain", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 233, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 197, + 248 + ], + "score": 1.0, + "content": "the set of predictions", + "type": "text" + }, + { + "bbox": [ + 197, + 234, + 216, + 246 + ], + "score": 0.92, + "content": "\\{ \\hat { v } _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 233, + 311, + 248 + ], + "score": 1.0, + "content": ", and prediction errors", + "type": "text" + }, + { + "bbox": [ + 311, + 234, + 385, + 246 + ], + "score": 0.93, + "content": "\\{ \\epsilon _ { i } \\} = \\{ \\bar { v } _ { i } - \\hat { v } _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 233, + 505, + 248 + ], + "score": 1.0, + "content": "for every vertex. Following", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "score": 1.0, + "content": "Whittington and Bogacz (2017), to achieve exact equivalence with the backprop gradients computed", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 299, + 269 + ], + "score": 1.0, + "content": "on the original computation graph, we initialize", + "type": "text" + }, + { + "bbox": [ + 299, + 257, + 330, + 267 + ], + "score": 0.93, + "content": "v _ { i } = \\hat { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "in the initial feedforward sweep so that the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 267, + 476, + 280 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 476, + 280 + ], + "score": 1.0, + "content": "output error computed by the predictive coding network and the original graph are identical.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 188, + 506, + 280 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 284, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 284, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 326, + 297 + ], + "score": 1.0, + "content": "In the backwards iteration phase, the vertex activities", + "type": "text" + }, + { + "bbox": [ + 327, + 284, + 346, + 296 + ], + "score": 0.92, + "content": "\\{ v _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 284, + 435, + 297 + ], + "score": 1.0, + "content": "and prediction errors", + "type": "text" + }, + { + "bbox": [ + 435, + 284, + 454, + 296 + ], + "score": 0.92, + "content": "\\left\\{ \\epsilon _ { i } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 284, + 506, + 297 + ], + "score": 1.0, + "content": "are updated", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 294, + 506, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 468, + 308 + ], + "score": 1.0, + "content": "with Equation 2 for all vertices in parallel until the vertex values converge to a minimum of", + "type": "text" + }, + { + "bbox": [ + 469, + 295, + 478, + 305 + ], + "score": 0.8, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 294, + 506, + 308 + ], + "score": 1.0, + "content": ". After", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 305, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 305, + 506, + 320 + ], + "score": 1.0, + "content": "convergence the parameters are updated according to Equation 3. Note we also assume, following", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 329 + ], + "score": 1.0, + "content": "Whittington and Bogacz (2017), that the predictions at each layer are fixed at the values assigned", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "during the feedforward pass throughout the optimisation of the vs. We call this the fixed-prediction", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "assumption. In effect, by removing the coupling between the vertex activities of the parents and the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "prediction at the child, this assumption separates the global optimisation problem into a local one for", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 361, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 373 + ], + "score": 1.0, + "content": "each vertex. 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Specifically, the update rules for the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 414, + 497, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 224, + 438 + ], + "score": 1.0, + "content": "vertices and weights become", + "type": "text" + }, + { + "bbox": [ + 224, + 418, + 341, + 434 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\frac { d v _ { i } } { d t } = \\epsilon _ { i } - \\sum _ { j } \\epsilon _ { j } f ^ { \\prime } ( \\theta _ { j } \\hat { v _ { j } } ) \\theta _ { j } ^ { T } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 414, + 360, + 438 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 360, + 418, + 442, + 433 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { d \\bar { \\theta } _ { i } } { d t } = \\epsilon _ { i } f ^ { \\prime } ( \\theta _ { i } \\hat { v _ { i } } ) \\bar { \\hat { v _ { i } } } ^ { T } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 414, + 497, + 438 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 21, + "bbox_fs": [ + 103, + 284, + 506, + 438 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 444, + 267, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 268, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 268, + 457 + ], + "score": 1.0, + "content": "2.1 APPROXIMATION TO BACKPROP", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 465, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 104, + 464, + 507, + 479 + ], + "spans": [ + { + "bbox": [ + 104, + 464, + 402, + 479 + ], + "score": 1.0, + "content": "Here we show that at the equilibrium of the dynamics, the prediction errors", + "type": "text" + }, + { + "bbox": [ + 402, + 466, + 412, + 478 + ], + "score": 0.89, + "content": "\\boldsymbol { \\epsilon } _ { i } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 464, + 507, + 479 + ], + "score": 1.0, + "content": "converge to the correct", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 477, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 209, + 493 + ], + "score": 1.0, + "content": "backpropagated gradients", + "type": "text" + }, + { + "bbox": [ + 209, + 477, + 223, + 492 + ], + "score": 0.91, + "content": "\\frac { \\partial L } { \\partial v _ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 477, + 505, + 493 + ], + "score": 1.0, + "content": ", and consequently the parameter updates (Equation 3) become precisely", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 489, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 503 + ], + "score": 1.0, + "content": "those of a backprop trained network. 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We then", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 432, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 427, + 445 + ], + "score": 1.0, + "content": "consider the equilibrium value of the prediction error unit at a penultimate vertex", + "type": "text" + }, + { + "bbox": [ + 427, + 435, + 448, + 444 + ], + "score": 0.89, + "content": "\\epsilon _ { L - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 432, + 505, + 445 + ], + "score": 1.0, + "content": ". By Equation", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 443, + 241, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 241, + 456 + ], + "score": 1.0, + "content": "5, we can see that at equilibrium,", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 420, + 505, + 456 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 227, + 468, + 383, + 495 + ], + "lines": [ + { + "bbox": [ + 227, + 468, + 383, + 495 + ], + "spans": [ + { + "bbox": [ + 227, + 468, + 383, + 495 + ], + "score": 0.93, + "content": "\\epsilon _ { L - 1 } ^ { * } = \\epsilon _ { L } ^ { * } \\frac { \\partial \\hat { v } _ { L } } { \\partial v _ { L - 1 } } = ( T - \\hat { v } _ { L } ^ { * } ) \\frac { \\partial \\hat { v } _ { L } } { \\partial v _ { L - 1 } }", + "type": "interline_equation", + "image_path": "d52814caa659cc511a65a75511dab0537f1b3c4392ac3ec6238ffd83944cfd3e.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 227, + 468, + 383, + 495 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 279, + 523 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 280, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 132, + 525 + ], + "score": 1.0, + "content": "since,", + "type": "text" + }, + { + "bbox": [ + 132, + 509, + 200, + 524 + ], + "score": 0.94, + "content": "\\begin{array} { r } { ( T - \\hat { v } _ { L } ) = \\frac { \\partial L } { \\partial \\hat { v } _ { L } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 506, + 280, + 525 + ], + "score": 1.0, + "content": ", we can then write,", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 506, + 280, + 525 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 536, + 369, + 563 + ], + "lines": [ + { + "bbox": [ + 242, + 536, + 369, + 563 + ], + "spans": [ + { + "bbox": [ + 242, + 536, + 369, + 563 + ], + "score": 0.94, + "content": "\\epsilon _ { L - 1 } ^ { * } = { \\frac { \\partial L } { \\partial { \\hat { v } } _ { L } } } { \\frac { \\partial { \\hat { v } } _ { L } } { \\partial v _ { L - 1 } } } = { \\frac { \\partial L } { \\partial v _ { L - 1 } } }", + "type": "interline_equation", + "image_path": "4b4e5ed890ff75df536a78bf9af8b2c030d502da769296dfdab0e87b81abde3d.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 242, + 536, + 369, + 563 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 576, + 506, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 506, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 506, + 589 + ], + "score": 1.0, + "content": "Thus the prediction errors of the penultimate nodes converge to the correct backpropagated gradient.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "Furthermore, recursing through the graph from children to parents allows the correct gradients to be", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "score": 1.0, + "content": "computed3. 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(2016) who show that random fixed feedback weights suffice for effective learning.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "score": 1.0, + "content": "Recent additional work has shown that learning the backwards weights also helps (Amit, 2019;", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "Akrout et al., 2019). Several schemes have also been proposed to approximate backprop using only", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "local learning rules and/or Hebbian connectivity. These include target-prop (Lee et al., 2015) which", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "score": 1.0, + "content": "approximate the backward gradients with trained inverse functions, but which fails to asymptotically", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 297, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 311 + ], + "score": 1.0, + "content": "compute the exact backprop gradients, and contrastive Hebbian (Seung, 2003; Scellier and Bengio,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 308, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 505, + 322 + ], + "score": 1.0, + "content": "2017; Scellier et al., 2018) approaches which do exactly approximate backprop, but which require", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 320, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 332 + ], + "score": 1.0, + "content": "two separate learning phases and the storing of information across successive phases. There are also", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 330, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 505, + 343 + ], + "score": 1.0, + "content": "dendritic error theories (Guerguiev et al., 2017; Sacramento et al., 2018) which are computationally", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "score": 1.0, + "content": "similar to predictive coding (Whittington and Bogacz, 2019; Lillicrap et al., 2020). Whittington", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "score": 1.0, + "content": "and Bogacz (2017) showed that predictive coding can approximate backprop in MLP models, and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 364, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 505, + 376 + ], + "score": 1.0, + "content": "demonstrated comparable performance on MNIST. We advance upon this work by extending the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 373, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 389 + ], + "score": 1.0, + "content": "proof to arbitrary computation graphs, enabling the design of predictive coding variants of a range", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "score": 1.0, + "content": "of standard machine learning architectures, which we show perform comparably to backprop on", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 396, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 409 + ], + "score": 1.0, + "content": "considerably more difficult tasks than MNIST. Our algorithm evinces asymptotic (and in practice", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 421 + ], + "score": 1.0, + "content": "rapid) convergence to the exact backprop gradients, does not require separate learning phases, and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 418, + 352, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 352, + 431 + ], + "score": 1.0, + "content": "utilises only local information and largely Hebbian plasticity.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 447, + 172, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 174, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 174, + 461 + ], + "score": 1.0, + "content": "4 RESULTS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 473, + 226, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 227, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 227, + 485 + ], + "score": 1.0, + "content": "4.1 NUMERICAL RESULTS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "To demonstrate the correctness of our derivation and empirical convergence to the true gradients,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 499, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 512 + ], + "score": 1.0, + "content": "we present a numerical test in the simple scalar case, where we use predictive coding to derive the√", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 508, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 333, + 524 + ], + "score": 1.0, + "content": "gradients of an arbitrary, highly nonlinear test function", + "type": "text" + }, + { + "bbox": [ + 333, + 509, + 447, + 522 + ], + "score": 0.91, + "content": "v _ { L } = \\tan ( \\sqrt { \\theta v _ { 0 } } ) + \\sin ( v _ { 0 } ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 508, + 475, + 524 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 476, + 510, + 482, + 520 + ], + "score": 0.78, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 508, + 506, + 524 + ], + "score": 1.0, + "content": "is an", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 269, + 534 + ], + "score": 1.0, + "content": "arbitrary parameter. For our tests, we set", + "type": "text" + }, + { + "bbox": [ + 270, + 523, + 280, + 532 + ], + "score": 0.85, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 520, + 316, + 534 + ], + "score": 1.0, + "content": "to 5 and", + "type": "text" + }, + { + "bbox": [ + 316, + 522, + 322, + 531 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "to 2. The computation graph for this function", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 531, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 531, + 506, + 545 + ], + "score": 1.0, + "content": "is presented in Figure 2. Although simple, this is a good test of predictive coding because the function", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 543, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 555 + ], + "score": 1.0, + "content": "is highly nonlinear, and its computation graph does not follow a simple layer structure but includes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 554, + 504, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 270, + 566 + ], + "score": 1.0, + "content": "some branching. An arbitrary target of", + "type": "text" + }, + { + "bbox": [ + 271, + 554, + 300, + 564 + ], + "score": 0.9, + "content": "T = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 554, + 504, + 566 + ], + "score": 1.0, + "content": "was set at the output and the gradient of the loss", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 563, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 107, + 564, + 170, + 577 + ], + "score": 0.92, + "content": "L = ( v _ { L } - T ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 563, + 269, + 578 + ], + "score": 1.0, + "content": "with respect to the input", + "type": "text" + }, + { + "bbox": [ + 269, + 566, + 279, + 576 + ], + "score": 0.85, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 563, + 506, + 578 + ], + "score": 1.0, + "content": "was computed by predictive coding. We show (Figure 2)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "that the predictive coding optimisation rapidly converges to the exact numerical gradients computed", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "by automatic differentiation, and that moreover this optimization is very robust and can handle even", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 365, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 365, + 610 + ], + "score": 1.0, + "content": "exceptionally high learning rates (up to 0.5) without divergence.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "In summary, we have shown and numerically verified that at the equilibrium point of the global", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 625, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 155, + 639 + ], + "score": 1.0, + "content": "free-energy", + "type": "text" + }, + { + "bbox": [ + 155, + 626, + 165, + 635 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 625, + 506, + 639 + ], + "score": 1.0, + "content": "on an arbitrary computation graph, the error units exactly equal the backpropagated", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 636, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 650 + ], + "score": 1.0, + "content": "gradients, and that this descent requires only local connectivity, does not require a separate phases or", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 104, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "a sequential backwards sweep, and in the case of parameter-linear functions, requires only Hebbian", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 658, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 672 + ], + "score": 1.0, + "content": "plasticity. Our results provide a straightforward recipe for the direct implementation of predictive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 670, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 506, + 682 + ], + "score": 1.0, + "content": "coding algorithms to approximate certain computation graphs, such as those found in common", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "machine learning algorithms, in a potentially biologically plausible manner. Next, we showcase", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 691, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 506, + 704 + ], + "score": 1.0, + "content": "this capability by developing predictive coding variants of core machine learning architectures -", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "score": 1.0, + "content": "convolutional neural networks (CNNs) recurrent neural networks (RNNs) and LSTMs (Hochreiter", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 712, + 506, + 727 + ], + "spans": [ + { + "bbox": [ + 105, + 712, + 506, + 727 + ], + "score": 1.0, + "content": "and Schmidhuber, 1997), and show performance comparable with backprop on tasks substantially", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 724, + 234, + 736 + ], + "spans": [ + { + "bbox": [ + 105, + 724, + 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"content": "Which follows from the fact that", + "type": "text" + }, + { + "bbox": [ + 239, + 171, + 275, + 186 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\epsilon _ { i } ^ { * } = \\frac { d L } { d \\hat { v } _ { i } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 166, + 311, + 187 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 312, + 169, + 353, + 186 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\frac { d \\epsilon _ { i } ^ { * } } { d \\theta } = \\frac { d \\hat { v } _ { i } } { d \\theta _ { i } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 168, + 356, + 188 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 104, + 166, + 356, + 188 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 195, + 211, + 208 + ], + "lines": [ + { + "bbox": [ + 104, + 194, + 213, + 210 + ], + "spans": [ + 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(2016) who show that random fixed feedback weights suffice for effective learning.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "score": 1.0, + "content": "Recent additional work has shown that learning the backwards weights also helps (Amit, 2019;", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "Akrout et al., 2019). Several schemes have also been proposed to approximate backprop using only", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "local learning rules and/or Hebbian connectivity. These include target-prop (Lee et al., 2015) which", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 300 + ], + "score": 1.0, + "content": "approximate the backward gradients with trained inverse functions, but which fails to asymptotically", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 297, + 506, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 311 + ], + "score": 1.0, + "content": "compute the exact backprop gradients, and contrastive Hebbian (Seung, 2003; Scellier and Bengio,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 308, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 505, + 322 + ], + "score": 1.0, + "content": "2017; Scellier et al., 2018) approaches which do exactly approximate backprop, but which require", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 320, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 332 + ], + "score": 1.0, + "content": "two separate learning phases and the storing of information across successive phases. There are also", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 330, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 505, + 343 + ], + "score": 1.0, + "content": "dendritic error theories (Guerguiev et al., 2017; Sacramento et al., 2018) which are computationally", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "score": 1.0, + "content": "similar to predictive coding (Whittington and Bogacz, 2019; Lillicrap et al., 2020). Whittington", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "score": 1.0, + "content": "and Bogacz (2017) showed that predictive coding can approximate backprop in MLP models, and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 364, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 505, + 376 + ], + "score": 1.0, + "content": "demonstrated comparable performance on MNIST. We advance upon this work by extending the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 373, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 389 + ], + "score": 1.0, + "content": "proof to arbitrary computation graphs, enabling the design of predictive coding variants of a range", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 505, + 398 + ], + "score": 1.0, + "content": "of standard machine learning architectures, which we show perform comparably to backprop on", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 396, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 409 + ], + "score": 1.0, + "content": "considerably more difficult tasks than MNIST. Our algorithm evinces asymptotic (and in practice", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 421 + ], + "score": 1.0, + "content": "rapid) convergence to the exact backprop gradients, does not require separate learning phases, and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 418, + 352, + 431 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 352, + 431 + ], + "score": 1.0, + "content": "utilises only local information and largely Hebbian plasticity.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 15, + "bbox_fs": [ + 104, + 220, + 507, + 431 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 447, + 172, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 174, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 174, + 461 + ], + "score": 1.0, + "content": "4 RESULTS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 473, + 226, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 227, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 227, + 485 + ], + "score": 1.0, + "content": "4.1 NUMERICAL RESULTS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 487, + 505, + 609 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "To demonstrate the correctness of our derivation and empirical convergence to the true gradients,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 499, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 512 + ], + "score": 1.0, + "content": "we present a numerical test in the simple scalar case, where we use predictive coding to derive the√", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 508, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 333, + 524 + ], + "score": 1.0, + "content": "gradients of an arbitrary, highly nonlinear test function", + "type": "text" + }, + { + "bbox": [ + 333, + 509, + 447, + 522 + ], + "score": 0.91, + "content": "v _ { L } = \\tan ( \\sqrt { \\theta v _ { 0 } } ) + \\sin ( v _ { 0 } ^ { 2 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 508, + 475, + 524 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 476, + 510, + 482, + 520 + ], + "score": 0.78, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 508, + 506, + 524 + ], + "score": 1.0, + "content": "is an", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 269, + 534 + ], + "score": 1.0, + "content": "arbitrary parameter. For our tests, we set", + "type": "text" + }, + { + "bbox": [ + 270, + 523, + 280, + 532 + ], + "score": 0.85, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 520, + 316, + 534 + ], + "score": 1.0, + "content": "to 5 and", + "type": "text" + }, + { + "bbox": [ + 316, + 522, + 322, + 531 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 520, + 506, + 534 + ], + "score": 1.0, + "content": "to 2. The computation graph for this function", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 531, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 531, + 506, + 545 + ], + "score": 1.0, + "content": "is presented in Figure 2. Although simple, this is a good test of predictive coding because the function", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 543, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 505, + 555 + ], + "score": 1.0, + "content": "is highly nonlinear, and its computation graph does not follow a simple layer structure but includes", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 554, + 504, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 270, + 566 + ], + "score": 1.0, + "content": "some branching. An arbitrary target of", + "type": "text" + }, + { + "bbox": [ + 271, + 554, + 300, + 564 + ], + "score": 0.9, + "content": "T = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 554, + 504, + 566 + ], + "score": 1.0, + "content": "was set at the output and the gradient of the loss", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 107, + 563, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 107, + 564, + 170, + 577 + ], + "score": 0.92, + "content": "L = ( v _ { L } - T ) ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 563, + 269, + 578 + ], + "score": 1.0, + "content": "with respect to the input", + "type": "text" + }, + { + "bbox": [ + 269, + 566, + 279, + 576 + ], + "score": 0.85, + "content": "v _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 563, + 506, + 578 + ], + "score": 1.0, + "content": "was computed by predictive coding. We show (Figure 2)", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 588 + ], + "score": 1.0, + "content": "that the predictive coding optimisation rapidly converges to the exact numerical gradients computed", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "by automatic differentiation, and that moreover this optimization is very robust and can handle even", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 365, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 365, + 610 + ], + "score": 1.0, + "content": "exceptionally high learning rates (up to 0.5) without divergence.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32, + "bbox_fs": [ + 104, + 487, + 506, + 610 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 505, + 735 + ], + "lines": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 627 + ], + "score": 1.0, + "content": "In summary, we have shown and numerically verified that at the equilibrium point of the global", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 625, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 155, + 639 + ], + "score": 1.0, + "content": "free-energy", + "type": "text" + }, + { + "bbox": [ + 155, + 626, + 165, + 635 + ], + "score": 0.83, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 625, + 506, + 639 + ], + "score": 1.0, + "content": "on an arbitrary computation graph, the error units exactly equal the backpropagated", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 636, + 505, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 505, + 650 + ], + "score": 1.0, + "content": "gradients, and that this descent requires only local connectivity, does not require a separate phases or", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 104, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "a sequential backwards sweep, and in the case of parameter-linear functions, requires only Hebbian", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 658, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 672 + ], + "score": 1.0, + "content": "plasticity. Our results provide a straightforward recipe for the direct implementation of predictive", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 670, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 506, + 682 + ], + "score": 1.0, + "content": "coding algorithms to approximate certain computation graphs, such as those found in common", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "machine learning algorithms, in a potentially biologically plausible manner. 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CIFAR10 has", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 621, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 127 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "10 classes of image, while CIFAR100 is substantially more challenging with 100 possible classes. In", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "general (Figure 3), performance was identical between the predictive coding and backprop CNNs", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "and comparable to the standard performance of basic CNN models on these datasets, Moreover, the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 478, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 478, + 129 + ], + "score": 1.0, + "content": "predictive coding gradient remained close to the true numerical gradient throughout training.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "image", + "bbox": [ + 96, + 132, + 487, + 263 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 96, + 132, + 487, + 263 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 96, + 132, + 487, + 263 + ], + "spans": [ + { + "bbox": [ + 96, + 132, + 487, + 263 + ], + "score": 0.897, + "type": "image", + "image_path": "4ebd0a0a4e44e28d41c7b437a46155ae83ced6a07d907922b968c52a55aebf61.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 96, + 132, + 487, + 175.66666666666666 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 96, + 175.66666666666666, + 487, + 219.33333333333331 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 96, + 219.33333333333331, + 487, + 263.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 275, + 504, + 298 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "score": 1.0, + "content": "Figure 4: Test accuracy plots for the Predictive Coding and Backprop RNN and LSTM on their", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 285, + 487, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 487, + 300 + ], + "score": 1.0, + "content": "respective tasks, averaged over 5 seeds. Performance is again indistinguishable from backprop.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 6.25 + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 505, + 434 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 506, + 315 + ], + "score": 1.0, + "content": "We also constructed predictive coding RNN and LSTM models, thus demonstrating the ability of", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "predictive coding to scale to non-parameter-linear, branching, computation graphs. The RNN was", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "trained on a character-level name classification task, while the LSTM was trained on a next-character", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "score": 1.0, + "content": "prediction task on the full works of Shakespeare. Full implementation details can be found in Appen-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "dices B and C. LSTMs and RNNs are recurrent networks which are trained through backpropagation", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "through time (BPTT). BPTT simply unrolls the network through time and backpropagates through", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 367, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 382 + ], + "score": 1.0, + "content": "the unrolled graph. Analogously we trained the predictive coding RNN and LSTM by applying", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "predictive coding to the unrolled computation graph. The depth of the unrolled graph depends heavily", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "on the sequence length, and in our tasks using a sequence length of 100 we still found that predictive", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "coding evinced rapid convergence to the correct numerical gradient, and that the performance was", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "approximately identical to the equivalent backprop-trained networks (Figure 3), thus showing that the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 424, + 347, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 347, + 436 + ], + "score": 1.0, + "content": "algorithm is scalable even to very deep computation graphs.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 443, + 190, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 192, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 192, + 458 + ], + "score": 1.0, + "content": "5 DISCUSSION", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 462, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "score": 1.0, + "content": "We have shown that predictive coding provides a local and potentially biologically plausible approxi-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "mation to backprop on arbitrary, deep, and branching computation graphs. Moreover, convergence to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "the exact backprop gradients is rapid and robust, even in extremely deep graphs such as the unrolled", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "score": 1.0, + "content": "LSTM. Our algorithm is fully parallelizable, does not require separate phases, and can produce", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "score": 1.0, + "content": "equivalent performance to backprop in core machine-learning architectures. These results broaden", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "score": 1.0, + "content": "the horizon of local approximations to backprop by demonstrating that they can be implemented on", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "arbitrary computation graphs, not only simple MLP architectures. 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Our results also raise the possibility that the brain may", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "implement machine-learning type architectures much more directly than often considered. Many", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "lines of work suggest a close correspondence between the representations and activations of CNNs", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "and activity in higher visual areas (Yamins et al., 2014; Tacchetti et al., 2017; Eickenberg et al., 2017;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "Khaligh-Razavi and Kriegeskorte, 2014; Lindsay, 2020), for instance, and this similarity may be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 616, + 332, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 332, + 628 + ], + "score": 1.0, + "content": "found to extend to other machine learning architectures.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "It is important to note that predictive coding, as advanced here, still retains some biologically", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 644, + 504, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 504, + 656 + ], + "score": 1.0, + "content": "implausible features. 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In", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 506, + 106 + ], + "score": 1.0, + "content": "general (Figure 3), performance was identical between the predictive coding and backprop CNNs", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "and comparable to the standard performance of basic CNN models on these datasets, Moreover, the", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 478, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 478, + 129 + ], + "score": 1.0, + "content": "predictive coding gradient remained close to the true numerical gradient throughout training.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 82, + 506, + 129 + ] + }, + { + "type": "image", + "bbox": [ + 96, + 132, + 487, + 263 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 96, + 132, + 487, + 263 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 96, + 132, + 487, + 263 + ], + "spans": [ + { + "bbox": [ + 96, + 132, + 487, + 263 + ], + "score": 0.897, + "type": "image", + "image_path": "4ebd0a0a4e44e28d41c7b437a46155ae83ced6a07d907922b968c52a55aebf61.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 96, + 132, + 487, + 175.66666666666666 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 96, + 175.66666666666666, + 487, + 219.33333333333331 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 96, + 219.33333333333331, + 487, + 263.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 275, + 504, + 298 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 506, + 288 + ], + "score": 1.0, + "content": "Figure 4: Test accuracy plots for the Predictive Coding and Backprop RNN and LSTM on their", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 285, + 487, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 487, + 300 + ], + "score": 1.0, + "content": "respective tasks, averaged over 5 seeds. 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The RNN was", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "trained on a character-level name classification task, while the LSTM was trained on a next-character", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "score": 1.0, + "content": "prediction task on the full works of Shakespeare. Full implementation details can be found in Appen-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 505, + 358 + ], + "score": 1.0, + "content": "dices B and C. LSTMs and RNNs are recurrent networks which are trained through backpropagation", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "through time (BPTT). BPTT simply unrolls the network through time and backpropagates through", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 367, + 506, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 382 + ], + "score": 1.0, + "content": "the unrolled graph. Analogously we trained the predictive coding RNN and LSTM by applying", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 379, + 506, + 392 + ], + "score": 1.0, + "content": "predictive coding to the unrolled computation graph. The depth of the unrolled graph depends heavily", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 403 + ], + "score": 1.0, + "content": "on the sequence length, and in our tasks using a sequence length of 100 we still found that predictive", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "coding evinced rapid convergence to the correct numerical gradient, and that the performance was", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "approximately identical to the equivalent backprop-trained networks (Figure 3), thus showing that the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 424, + 347, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 347, + 436 + ], + "score": 1.0, + "content": "algorithm is scalable even to very deep computation graphs.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 303, + 506, + 436 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 443, + 190, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 192, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 192, + 458 + ], + "score": 1.0, + "content": "5 DISCUSSION", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 462, + 505, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 475 + ], + "score": 1.0, + "content": "We have shown that predictive coding provides a local and potentially biologically plausible approxi-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "mation to backprop on arbitrary, deep, and branching computation graphs. Moreover, convergence to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "the exact backprop gradients is rapid and robust, even in extremely deep graphs such as the unrolled", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 509 + ], + "score": 1.0, + "content": "LSTM. Our algorithm is fully parallelizable, does not require separate phases, and can produce", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "score": 1.0, + "content": "equivalent performance to backprop in core machine-learning architectures. These results broaden", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 531 + ], + "score": 1.0, + "content": "the horizon of local approximations to backprop by demonstrating that they can be implemented on", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "arbitrary computation graphs, not only simple MLP architectures. Our work prescribes a straight-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 539, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 553 + ], + "score": 1.0, + "content": "forward recipe for backpropagating through any computation graph with predictive coding using", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "only local learning rules. In the future, this process could potentially be made fully automatic and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "translated onto neuromorphic hardware. Our results also raise the possibility that the brain may", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "implement machine-learning type architectures much more directly than often considered. Many", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 583, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 506, + 596 + ], + "score": 1.0, + "content": "lines of work suggest a close correspondence between the representations and activations of CNNs", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 506, + 606 + ], + "score": 1.0, + "content": "and activity in higher visual areas (Yamins et al., 2014; Tacchetti et al., 2017; Eickenberg et al., 2017;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 506, + 618 + ], + "score": 1.0, + "content": "Khaligh-Razavi and Kriegeskorte, 2014; Lindsay, 2020), for instance, and this similarity may be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 616, + 332, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 332, + 628 + ], + "score": 1.0, + "content": "found to extend to other machine learning architectures.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 462, + 506, + 628 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 633, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 646 + ], + "score": 1.0, + "content": "It is important to note that predictive coding, as advanced here, still retains some biologically", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 644, + 504, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 504, + 656 + ], + "score": 1.0, + "content": "implausible features. Although using only local and Hebbian updates, the predictive coding algorithm", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "still requires identical forward and backwards weights, as well as mandating a very precise one-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 328, + 678 + ], + "score": 1.0, + "content": "to-one connectivity structure between value neurons", + "type": "text" + }, + { + "bbox": [ + 328, + 668, + 338, + 677 + ], + "score": 0.84, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 666, + 417, + 678 + ], + "score": 1.0, + "content": "and error neurons", + "type": "text" + }, + { + "bbox": [ + 418, + 668, + 426, + 677 + ], + "score": 0.84, + "content": "\\epsilon _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 666, + 505, + 678 + ], + "score": 1.0, + "content": ". However, recent", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "work (Millidge et al., 2020) has begun to show that these implausibilities can be relaxed using", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "learnable backwards weights instead of requiring weight symmetry, and allowing for learnable", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "dense connectivity between value and error neurons, without harm to performance in simple MLP", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "settings. An additional limitation to the biological plausibility of our method is the fixed-prediction", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "assumption, which requires that the feedforward pass values be somehow stored during the backwards", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "iteration phase. In biological neurons this could potentially be implemented by utilizing synaptic", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "mechanisms for maintaining information over short periods, such as eligibility traces, or alternatively", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "score": 1.0, + "content": "through synchronised phase locking (Buzsaki, 2006). Alternatively, it is important to note that", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "score": 1.0, + "content": "this fixed-prediction assumption is only required for exact convergence to backprop, and predictive", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "score": 1.0, + "content": "coding networks have been shown to be able to attain strong discriminative classification performance", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 281, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 281, + 150 + ], + "score": 1.0, + "content": "without it (Whittington and Bogacz, 2017).", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 632, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 149 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "iteration phase. In biological neurons this could potentially be implemented by utilizing synaptic", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "mechanisms for maintaining information over short periods, such as eligibility traces, or alternatively", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 116 + ], + "score": 1.0, + "content": "through synchronised phase locking (Buzsaki, 2006). Alternatively, it is important to note that", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "score": 1.0, + "content": "this fixed-prediction assumption is only required for exact convergence to backprop, and predictive", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 140 + ], + "score": 1.0, + "content": "coding networks have been shown to be able to attain strong discriminative classification performance", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 281, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 281, + 150 + ], + "score": 1.0, + "content": "without it (Whittington and Bogacz, 2017).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 154, + 505, + 242 + ], + "lines": [ + { + "bbox": [ + 105, + 153, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 505, + 167 + ], + "score": 1.0, + "content": "Although we have implemented three core machine learning architectures as predictive coding", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "score": 1.0, + "content": "networks, we have nevertheless focused on relatively small and straightforward networks and thus", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "score": 1.0, + "content": "both our backprop and predictive coding networks perform below the state of the art on the presented", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "tasks. This is primarily because our focus was on demonstrating the theoretical convergence between", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 210 + ], + "score": 1.0, + "content": "the two algorithms. Nevertheless, we believe that due to the generality of our theoretical results,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "’scaling up’ the existing architectures to implement performance-matched predictive coding versions", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 232 + ], + "score": 1.0, + "content": "of more advanced machine learning architectures such as resnets (He et al., 2016), GANs (Goodfellow", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 232, + 464, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 464, + 243 + ], + "score": 1.0, + "content": "et al., 2014), and transformers (Vaswani et al., 2017) should be relatively straightforward.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 106, + 248, + 505, + 391 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 505, + 260 + ], + "score": 1.0, + "content": "In terms of computational cost, one inference iteration in the predictive coding network is about as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 272 + ], + "score": 1.0, + "content": "costly as a backprop backwards pass. Thus, due to using 100-200 iterations for full convergence, our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 270, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 506, + 282 + ], + "score": 1.0, + "content": "algorithm is substantially more expensive than backprop which limits the scalability of our method.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 294 + ], + "score": 1.0, + "content": "However, this serial cost is misleading when talking about highly parallel neural architectures. In the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 305 + ], + "score": 1.0, + "content": "brain, neurons cannot wait for a sequential forward and backward sweep. By phrasing our algorithm", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "score": 1.0, + "content": "as a global descent, our algorithm is fully parallel across layers. There is no waiting and no phases", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "to be coordinated. Each neuron need only respond to its local driving inputs and downwards error", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "signals. We believe that this local and parallelizable property of our algorithm may engender the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "score": 1.0, + "content": "possibility of substantially more efficient implementations on neuromorphic hardware (Furber et al.,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "2014; Merolla et al., 2014; Davies et al., 2018), which may ameliorate much of the computational", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 357, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 371 + ], + "score": 1.0, + "content": "overhead compared to backprop. Future work could also examine whether our method is more", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "capable than backprop of handling the continuously varying inputs the brain is presented with in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 379, + 484, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 484, + 393 + ], + "score": 1.0, + "content": "practice, rather than the artificial paradigm of being presented with a series of i.i.d. datapoints.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 396, + 505, + 552 + ], + "lines": [ + { + "bbox": [ + 106, + 397, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 505, + 408 + ], + "score": 1.0, + "content": "Our work also reveals a close connection between backprop and inference. 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This was followed by a max-pooling layer with a", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 270, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 506, + 284 + ], + "score": 1.0, + "content": "(2,2) kernel and a further convolutional layer with a (5,5) kernel and filter bank of 16 filters. This was", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 506, + 295 + ], + "score": 1.0, + "content": "then followed by three fully connected layers of 200, 150, and 10 (or 100 for CIFAR100) output units.", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 292, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 506, + 306 + ], + "score": 1.0, + "content": "Each convolutional and fully connected layer used the relu activation function, except the output", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "layer which was linear. Although this architecture is far smaller than state of the art for convolutional", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 313, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 104, + 313, + 506, + 329 + ], + "score": 1.0, + "content": "networks, the primary point of our paper was to demonstrate the equivalence of predictive coding", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "and backprop. Further work could investigate scaling up predictive coding to more state-of-the-art", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 338, + 162, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 162, + 348 + ], + "score": 1.0, + "content": "architectures.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 353, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 352, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 208, + 367 + ], + "score": 1.0, + "content": "Our datasets consisted of", + "type": "text" + }, + { + "bbox": [ + 209, + 354, + 235, + 364 + ], + "score": 0.56, + "content": "3 2 \\mathbf { x } 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 352, + 505, + 367 + ], + "score": 1.0, + "content": "RGB images. We normalised the values of all pixels of each image", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 363, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 104, + 363, + 506, + 378 + ], + "score": 1.0, + "content": "to lie between 0 and 1, but otherwise performed no other image preprocessing. We did not use data", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 389 + ], + "score": 1.0, + "content": "augmentation of any kind. We set the weight learning rate for the predictive coding and backprop", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 385, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 104, + 385, + 505, + 400 + ], + "score": 1.0, + "content": "networks 0.0001. A minibatch size of 64 was used. These parameters were chosen without any", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "detailed hyperparameter search and so are likely suboptimal. The magnitude of the gradient updates", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 407, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 422 + ], + "score": 1.0, + "content": "was clamped to lie between -50 and 50 in all of our models. This was done to prevent divergences, as", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 420, + 428, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 428, + 432 + ], + "score": 1.0, + "content": "occasionally occurred in the LSTM networks, likely due to exploding gradients.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 436, + 505, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 506, + 451 + ], + "score": 1.0, + "content": "The predictive coding scheme converged to the exact backprop gradients very precisely within 100", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "inference iterations using an inference learning rate of 0.1. This gives the predictive coding CNN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 176, + 471 + ], + "score": 1.0, + "content": "approximately a", + "type": "text" + }, + { + "bbox": [ + 177, + 459, + 199, + 469 + ], + "score": 0.42, + "content": "1 0 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "computational overhead compared to backprop. The divergence between", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "the true and approximate gradients remained approximately constant throughout training, as shown", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "by Figure 5, which shows the mean divergence for each layer of the CNN over the course of an", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 489, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 104, + 489, + 506, + 506 + ], + "score": 1.0, + "content": "example training run on the CIFAR10 dataset. The training loss of the predictive coding and backprop", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 502, + 401, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 401, + 514 + ], + "score": 1.0, + "content": "networks for SVHN, CIFAR10 and CIFAR100 are presented in Figure 4.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 519, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "score": 1.0, + "content": "While the experiments in the main paper all used the mean-squared-error loss function, it is also", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "possible to use alternative loss functions. In Figure 6, we show performance of the CNN on CIFAR", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "and SVHN datasets is also very close to backprop when trained with a multi-class cross-entropy loss", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 107, + 550, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 107, + 551, + 178, + 564 + ], + "score": 0.92, + "content": "\\begin{array} { r } { L = \\sum _ { i } T _ { i } \\ln v _ { L i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 550, + 506, + 567 + ], + "score": 1.0, + "content": ". In this case the output layer used a softmax function as its nonlinearity, to ensure", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 576 + ], + "score": 1.0, + "content": "that the logits passed to the cross-entropy loss were valid probabilities. The cross-entropy loss is", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "also straightforward to fit into the predictive coding framework since the gradient with respect to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 582, + 506, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 402, + 598 + ], + "score": 1.0, + "content": "the pre-activations of the output is also just the negative prediction error", + "type": "text" + }, + { + "bbox": [ + 402, + 582, + 506, + 599 + ], + "score": 1.0, + "content": "∂L∂v = T − vL, although", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "the softmax function itself may be challenging to implement neurally since it is non-local as its’", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "score": 1.0, + "content": "normalisation coefficient requires of the exponentiated activities of all neurons in a layer. 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We consider only a single layer RNN", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "score": 1.0, + "content": "here although the architecture can be straightforwardly extended to hierarchically stacked RNNs. 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And", + "type": "text" + }, + { + "bbox": [ + 383, + 142, + 421, + 154 + ], + "score": 0.93, + "content": "\\theta _ { h } , \\theta _ { x } , \\theta _ { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 141, + 505, + 155 + ], + "score": 1.0, + "content": "are weight matrices", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 167 + ], + "score": 1.0, + "content": "for each specific input. 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BPTT requires updates to proceed backwards through time from the end of", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 265 + ], + "score": 1.0, + "content": "the sequence to the beginning. Ignoring any biological implausibility with the rules themselves, this", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "updating sequence is clearly not biologically plausible as naively it requires maintaining the entire", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 505, + 287 + ], + "score": 1.0, + "content": "sequence of predictions and prediction errors perfectly in memory until the end of the sequence, and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 506, + 299 + ], + "score": 1.0, + "content": "waiting until the sequence ends before making any updates. There is a small literature on trying to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "score": 1.0, + "content": "produce biologically plausible, or forward-looking approximations to BPTT which does not require", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "updates to be propagated back through time (Williams and Zipser, 1989; Lillicrap and Santoro, 2019;", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 318, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 505, + 331 + ], + "score": 1.0, + "content": "Steil, 2004; Ollivier et al., 2015; Tallec and Ollivier, 2017). 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\\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 3 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 3 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 4 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 5 } ~ } = - \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 6 } ~ } = \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 7 } ~ } = \\nu _ { 6 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 9 } ~ } = \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 0 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\end{array}", + "type": "interline_equation", + "image_path": "fcad0e8dcfcaff005dc7691dd9d45bc2c2ac5562fe4f72fd274336b202f12ed9.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 269, + 296, + 339, + 594 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 599, + 505, + 643 + ], + "lines": [ + { + "bbox": [ + 105, + 598, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 222, + 612 + ], + "score": 1.0, + "content": "During inference, the inputs", + "type": "text" + }, + { + "bbox": [ + 222, + 600, + 245, + 610 + ], + "score": 0.91, + "content": "h _ { t } , x _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 598, + 306, + 612 + ], + "score": 1.0, + "content": "and the output", + "type": "text" + }, + { + "bbox": [ + 306, + 601, + 316, + 610 + ], + "score": 0.85, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 598, + 505, + 612 + ], + "score": 1.0, + "content": "are fixed. The vertices and then the prediction", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 610, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 622 + ], + "score": 1.0, + "content": "errors are updated according to Equation 2. This recipe is straightforward and can easily be extended", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "to other more complex machine learning architectures. The full augmented computation graph,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 632, + 340, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 340, + 644 + ], + "score": 1.0, + "content": "including the vertex update rules, is presented in Figure 9.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 649, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "Empirically, we observed rapid convergence to the exact backprop gradients even in the case of very", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "score": 1.0, + "content": "deep computation graphs (as is an unrolled LSTM with a sequence length of 100). Although conver-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "gence was slower than was the case for CNNs or lesser sequence lengths, it was still straightforward", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 682, + 432, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 432, + 694 + ], + "score": 1.0, + "content": "to achieve convergence to the exact numerical gradients with sufficient iterations.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "Below we plot the mean divergence between the predictive coding and true numerical gradients as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "a function of sequence length (and hence depth of graph) for a fixed computational budget of 200", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "iterations with an inference learning rate of 0.05. As can be seen, the divergence increases roughly", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + } + ], + "page_idx": 19, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 15 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 26, + 307, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 435, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 438, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 438, + 96 + ], + "score": 1.0, + "content": "The equations that specify the computation graph of the LSTM cell are as follows.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 105, + 82, + 438, + 96 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 270, + 98, + 342, + 252 + ], + "lines": [ + { + "bbox": [ + 270, + 98, + 342, + 252 + ], + "spans": [ + { + "bbox": [ + 270, + 98, + 342, + 252 + ], + "score": 0.86, + "content": "\\begin{array} { r l } & { v _ { 1 } = h _ { i } \\oplus \\hat { \\varpi } x _ { t } } \\\\ & { v _ { 2 } = \\sigma ( \\theta _ { i } v _ { 1 } ) } \\\\ & { v _ { 3 } = c _ { i } v _ { 2 } } \\\\ & { v _ { 4 } = \\sigma ( \\theta _ { i n p } v _ { 1 } ) } \\\\ & { v _ { 5 } = \\mathrm { t a n h } ( \\theta _ { e } v _ { 1 } ) } \\\\ & { v _ { 6 } = v _ { 1 } v _ { 5 } } \\\\ & { v _ { 7 } = v _ { 3 } + v _ { 6 } } \\\\ & { v _ { 8 } = \\sigma ( \\theta _ { o } v _ { 1 } ) } \\\\ & { v _ { 9 } = \\mathrm { t a n h } ( v _ { 7 } ) } \\\\ & { v _ { 1 0 } = v _ { 8 } v _ { 9 } } \\\\ & { y = \\sigma ( \\theta _ { o } v _ { 1 0 } ) } \\end{array}", + "type": "interline_equation", + "image_path": "23e829380c39c0a9e23863744add2c32736c8811417d8a728ad57a5320b49b4e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 270, + 98, + 342, + 252 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "list", + "bbox": [ + 105, + 259, + 505, + 294 + ], + "lines": [ + { + "bbox": [ + 105, + 259, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 506, + 273 + ], + "score": 1.0, + "content": "The recipe to convert this computation graph into a predictive coding algorithm is straightforward.", + "type": "text" + } + ], + "index": 2, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 270, + 507, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 507, + 284 + ], + "score": 1.0, + "content": "We first rewire the connectivity so that the predictions are set to the forward functions of their parents.", + "type": "text" + } + ], + "index": 3, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 281, + 383, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 383, + 294 + ], + "score": 1.0, + "content": "We then compute the errors between the vertices and the predictions.", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 3, + "bbox_fs": [ + 105, + 259, + 507, + 294 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 269, + 296, + 339, + 594 + ], + "lines": [ + { + "bbox": [ + 269, + 296, + 339, + 594 + ], + "spans": [ + { + "bbox": [ + 269, + 296, + 339, + 594 + ], + "score": 0.72, + "content": "\\begin{array} { r l } & { \\mathrm { ~ V _ { 2 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 } ~ } = \\nu _ { 3 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 3 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 4 } ~ } = - \\nu _ { 4 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 5 } ~ } = - \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 6 } ~ } = \\nu _ { 5 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 7 } ~ } = \\nu _ { 6 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = \\nu _ { 7 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 9 } ~ } = \\nu _ { 8 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 8 } ~ } = - \\nu _ { 1 0 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 1 0 } ~ } = \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = - \\nu _ { 1 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\\\ & { \\mathrm { ~ V _ { 2 0 } ~ } = \\nu _ { 2 } \\langle \\mathbf { \\lambda } \\rangle , } \\end{array}", + "type": "interline_equation", + "image_path": "fcad0e8dcfcaff005dc7691dd9d45bc2c2ac5562fe4f72fd274336b202f12ed9.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 269, + 296, + 339, + 594 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 599, + 505, + 643 + ], + "lines": [ + { + "bbox": [ + 105, + 598, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 222, + 612 + ], + "score": 1.0, + "content": "During inference, the inputs", + "type": "text" + }, + { + "bbox": [ + 222, + 600, + 245, + 610 + ], + "score": 0.91, + "content": "h _ { t } , x _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 598, + 306, + 612 + ], + "score": 1.0, + "content": "and the output", + "type": "text" + }, + { + "bbox": [ + 306, + 601, + 316, + 610 + ], + "score": 0.85, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 598, + 505, + 612 + ], + "score": 1.0, + "content": "are fixed. The vertices and then the prediction", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 610, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 622 + ], + "score": 1.0, + "content": "errors are updated according to Equation 2. This recipe is straightforward and can easily be extended", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "to other more complex machine learning architectures. The full augmented computation graph,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 632, + 340, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 340, + 644 + ], + "score": 1.0, + "content": "including the vertex update rules, is presented in Figure 9.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 598, + 506, + 644 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 649, + 505, + 693 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 662 + ], + "score": 1.0, + "content": "Empirically, we observed rapid convergence to the exact backprop gradients even in the case of very", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 506, + 672 + ], + "score": 1.0, + "content": "deep computation graphs (as is an unrolled LSTM with a sequence length of 100). Although conver-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 683 + ], + "score": 1.0, + "content": "gence was slower than was the case for CNNs or lesser sequence lengths, it was still straightforward", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 682, + 432, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 682, + 432, + 694 + ], + "score": 1.0, + "content": "to achieve convergence to the exact numerical gradients with sufficient iterations.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 649, + 506, + 694 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "Below we plot the mean divergence between the predictive coding and true numerical gradients as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "a function of sequence length (and hence depth of graph) for a fixed computational budget of 200", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "iterations with an inference learning rate of 0.05. As can be seen, the divergence increases roughly", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "linearly with sequence length. Importantly, even with long sequences, the divergence is not especially", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 371, + 507, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 507, + 384 + ], + "score": 1.0, + "content": "large, and can be decreased further by increasing the computational budget. As the increase is linear,", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "score": 1.0, + "content": "we believe that predictive coding approaches should be scalable even for backpropagating through", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 393, + 232, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 232, + 406 + ], + "score": 1.0, + "content": "very deep and complex graphs.", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 698, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 111, + 102, + 503, + 291 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 102, + 503, + 291 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 102, + 503, + 291 + ], + "spans": [ + { + "bbox": [ + 111, + 102, + 503, + 291 + ], + "score": 0.967, + "type": "image", + "image_path": "0e931b4f9a9e8c9ed5508cc55246ac5363b327e4e5c12a2949acb84ad02a7c32.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 111, + 102, + 503, + 165.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 111, + 165.0, + 503, + 228.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 111, + 228.0, + 503, + 291.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 313, + 504, + 335 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 312, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 326 + ], + "score": 1.0, + "content": "Figure 10: The LSTM cell computation graph augmented with error units, evincing the connectivity", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 324, + 279, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 279, + 336 + ], + "score": 1.0, + "content": "scheme of the predictive coding algorithm.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 360, + 505, + 404 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "linearly with sequence length. Importantly, even with long sequences, the divergence is not especially", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 371, + 507, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 507, + 384 + ], + "score": 1.0, + "content": "large, and can be decreased further by increasing the computational budget. As the increase is linear,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 505, + 395 + ], + "score": 1.0, + "content": "we believe that predictive coding approaches should be scalable even for backpropagating through", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 393, + 232, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 232, + 406 + ], + "score": 1.0, + "content": "very deep and complex graphs.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 107, + 410, + 505, + 465 + ], + "lines": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "We also plot the number of iterations required to reach a given convergence threshold (here taken", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 433 + ], + "score": 1.0, + "content": "to be 0.005) as a function of sequence length (Figure 11). We see that the number of iterations", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 432, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 443 + ], + "score": 1.0, + "content": "required increases sublinearly with the sequence length, and likely asymptotes at about 300 iterations.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "Although this is a lot of iterations, the sublinear convergence nevertheless shows that the method can", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 453, + 254, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 254, + 467 + ], + "score": 1.0, + "content": "scale to even extremely deep graphs.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 470, + 505, + 602 + ], + "lines": [ + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 506, + 483 + ], + "score": 1.0, + "content": "Our architecture consisted of a single LSTM layer (more complex architectures would consist of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "multiple stacked LSTM layers). The LSTM was trained on a next-character character-level prediction", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "task. The dataset was the full works of Shakespeare, downloadable from Tensorflow. The text was", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "shuffled and split into sequences of 50 characters, which were fed to the LSTM one character at a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "time. The LSTM was trained then to predict the next character, so as to ultimately be able to generate", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "text. The characters were presented as one-hot-encoded vectors. The LSTM had a hidden size and a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 537, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 549 + ], + "score": 1.0, + "content": "cell-size of 1056 units. A minibatch size of 64 was used and a weight learning rate of 0.0001 was", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "score": 1.0, + "content": "used for both predictive coding and backprop networks. To achieve sufficient numerical convergence", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "to the correct gradient, we used 200 variational iterations with an inference learning rate of 0.1. This", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 568, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 288, + 582 + ], + "score": 1.0, + "content": "rendered the predictive LSTM approximately", + "type": "text" + }, + { + "bbox": [ + 289, + 569, + 310, + 580 + ], + "score": 0.56, + "content": "2 0 0 \\mathrm { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 568, + 505, + 582 + ], + "score": 1.0, + "content": "as costly as the backprop LSTM to run. 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The", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 291, + 372, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 372, + 305 + ], + "score": 1.0, + "content": "performance of the two training methods is effectively equivalent.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 323, + 506, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 167, + 337 + ], + "score": 1.0, + "content": "Given an input", + "type": "text" + }, + { + "bbox": [ + 167, + 326, + 178, + 335 + ], + "score": 0.85, + "content": "y _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 324, + 227, + 337 + ], + "score": 1.0, + "content": "and a target", + "type": "text" + }, + { + "bbox": [ + 227, + 326, + 241, + 336 + ], + "score": 0.85, + "content": "y _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "(the multiple input and/or output case is a straightforward general-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 334, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 263, + 349 + ], + "score": 1.0, + "content": "ization). We wish to infer the posterior", + "type": "text" + }, + { + "bbox": [ + 263, + 335, + 335, + 347 + ], + "score": 0.92, + "content": "p \\big ( y _ { 1 : N - 1 } \\big | y _ { 0 } , y _ { N } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 334, + 506, + 349 + ], + "score": 1.0, + "content": ". We approximate this intractable posterior", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 345, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 360 + ], + "score": 1.0, + "content": "with variational inference. Variational inference proceeds by defining an approximate posterior", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 107, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 107, + 357, + 162, + 369 + ], + "score": 0.92, + "content": "Q \\big ( y _ { 1 : N - 1 } ; \\phi \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 357, + 297, + 370 + ], + "score": 1.0, + "content": "with some arbitrary parameters", + "type": "text" + }, + { + "bbox": [ + 298, + 357, + 305, + 368 + ], + "score": 0.84, + "content": "\\phi", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 357, + 505, + 370 + ], + "score": 1.0, + "content": ". We then wish to minimize the KL divergence", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 367, + 284, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 284, + 381 + ], + "score": 1.0, + "content": "between the true and approximate posterior.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "interline_equation", + "bbox": [ + 211, + 383, + 398, + 406 + ], + "lines": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "spans": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "score": 0.89, + "content": "\\underset { \\phi } { \\operatorname { a r g m i n } } \\ : \\mathbb { K L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) | | p ( y _ { 1 : N - 1 } | y _ { 0 } , y _ { N } ) ]", + "type": "interline_equation", + "image_path": "7c0fb1c833f4977800a353f3262963b49907c463f0cdf4b643ba18e9b7182566.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 415, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 429 + ], + "score": 1.0, + "content": "Although this KL is itself intractable, since it includes the intractable posterior, we can derive a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 425, + 351, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 351, + 439 + ], + "score": 1.0, + "content": "tractable bound on this KL called the variational free-energy.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 441, + 514, + 513 + ], + "lines": [ + { + "bbox": [ + 111, + 441, + 514, + 513 + ], + "spans": [ + { + "bbox": [ + 111, + 441, + 514, + 513 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 : N } | y _ { 0 } , y _ { N } ) ] = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ) \\| \\frac { p ( y _ { 1 : N } , y _ { 0 } , y _ { N } ) } { p ( y _ { 0 } , y _ { N } ) } ] } \\\\ & { \\qquad = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N } , y _ { 0 } ) ] + \\ln p ( y _ { 0 } , y _ { N } ) } \\\\ & { \\qquad \\Rightarrow \\underbrace { \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ] } _ { - \\mathcal { F } } \\leq \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 } } \\\\ & { \\qquad \\quad - } \\end{array}", + "type": "interline_equation", + "image_path": "cc3b0e9da865cbceba3118abc960b72d140a7243b2002ba6cbf30721cf2645da.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 441, + 514, + 465.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 111, + 465.0, + 514, + 489.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 489.0, + 514, + 513.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 584 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 242, + 542 + ], + "score": 1.0, + "content": "We define the negative free-energy", + "type": "text" + }, + { + "bbox": [ + 242, + 528, + 413, + 542 + ], + "score": 0.92, + "content": "- \\mathcal { F } = \\mathbb { K L } [ Q ( y _ { 1 : N - 1 ) } | | p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "which is a lower bound", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "on the divergence between the true and approximate posteriors. By thus maximizing the negative", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "free-energy (which is identical to the ELBO (Beal et al., 2003; Blei et al., 2017)), or equivalently", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "minimizing the free-energy, we decrease this divergence and make the variational distribution a better", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 573, + 250, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 250, + 585 + ], + "score": 1.0, + "content": "approximation to the true posterior.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 589, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 432, + 603 + ], + "score": 1.0, + "content": "To proceed further, it is necessary to define an explicit form of the generative model", + "type": "text" + }, + { + "bbox": [ + 432, + 590, + 505, + 601 + ], + "score": 0.94, + "content": "p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } )", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 227, + 612 + ], + "score": 1.0, + "content": "and the approximate posterior", + "type": "text" + }, + { + "bbox": [ + 227, + 600, + 282, + 612 + ], + "score": 0.92, + "content": "Q \\big ( y _ { 1 : N - 1 } ; \\phi \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 600, + 505, + 612 + ], + "score": 1.0, + "content": ". 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The output vertices", + "type": "text" + }, + { + "bbox": [ + 352, + 694, + 386, + 704 + ], + "score": 0.9, + "content": "y _ { N } = T", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 692, + 465, + 706 + ], + "score": 1.0, + "content": "are set to the target", + "type": "text" + }, + { + "bbox": [ + 465, + 694, + 474, + 703 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 692, + 477, + 706 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 369, + 723 + ], + "score": 1.0, + "content": "We also define the variational density to be Gaussian with mean", + "type": "text" + }, + { + "bbox": [ + 369, + 712, + 399, + 721 + ], + "score": 0.87, + "content": "v _ { 1 : N - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 709, + 455, + 723 + ], + "score": 1.0, + "content": "and variance", + "type": "text" + }, + { + "bbox": [ + 455, + 712, + 486, + 721 + ], + "score": 0.87, + "content": "\\sigma _ { 1 : N - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 709, + 505, + 723 + ], + "score": 1.0, + "content": ", but", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "under a mean field approximation, so that the approximation at each node is independent of all others", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + } + ], + "page_idx": 22, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "23", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 307, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 172, + 84, + 437, + 266 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 172, + 84, + 437, + 266 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 172, + 84, + 437, + 266 + ], + "spans": [ + { + "bbox": [ + 172, + 84, + 437, + 266 + ], + "score": 0.971, + "type": "image", + "image_path": "7866ef96faf5afea9d8a0d211e72752f807f5819c0c7c85ef034867cf9904cf0.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 172, + 84, + 437, + 144.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 172, + 144.66666666666666, + 437, + 205.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 172, + 205.33333333333331, + 437, + 266.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 280, + 504, + 304 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "Figure 13: Training losses for the predictive coding and backprop LSTMs averaged over 5 seeds. The", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 291, + 372, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 372, + 305 + ], + "score": 1.0, + "content": "performance of the two training methods is effectively equivalent.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 323, + 506, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 167, + 337 + ], + "score": 1.0, + "content": "Given an input", + "type": "text" + }, + { + "bbox": [ + 167, + 326, + 178, + 335 + ], + "score": 0.85, + "content": "y _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 324, + 227, + 337 + ], + "score": 1.0, + "content": "and a target", + "type": "text" + }, + { + "bbox": [ + 227, + 326, + 241, + 336 + ], + "score": 0.85, + "content": "y _ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 324, + 506, + 337 + ], + "score": 1.0, + "content": "(the multiple input and/or output case is a straightforward general-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 334, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 263, + 349 + ], + "score": 1.0, + "content": "ization). We wish to infer the posterior", + "type": "text" + }, + { + "bbox": [ + 263, + 335, + 335, + 347 + ], + "score": 0.92, + "content": "p \\big ( y _ { 1 : N - 1 } \\big | y _ { 0 } , y _ { N } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 334, + 506, + 349 + ], + "score": 1.0, + "content": ". We approximate this intractable posterior", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 345, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 360 + ], + "score": 1.0, + "content": "with variational inference. 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We then wish to minimize the KL divergence", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 367, + 284, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 284, + 381 + ], + "score": 1.0, + "content": "between the true and approximate posterior.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 324, + 506, + 381 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 211, + 383, + 398, + 406 + ], + "lines": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "spans": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "score": 0.89, + "content": "\\underset { \\phi } { \\operatorname { a r g m i n } } \\ : \\mathbb { K L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) | | p ( y _ { 1 : N - 1 } | y _ { 0 } , y _ { N } ) ]", + "type": "interline_equation", + "image_path": "7c0fb1c833f4977800a353f3262963b49907c463f0cdf4b643ba18e9b7182566.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 211, + 383, + 398, + 406 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 415, + 505, + 438 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 429 + ], + "score": 1.0, + "content": "Although this KL is itself intractable, since it includes the intractable posterior, we can derive a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 425, + 351, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 351, + 439 + ], + "score": 1.0, + "content": "tractable bound on this KL called the variational free-energy.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 413, + 506, + 439 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 441, + 514, + 513 + ], + "lines": [ + { + "bbox": [ + 111, + 441, + 514, + 513 + ], + "spans": [ + { + "bbox": [ + 111, + 441, + 514, + 513 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 : N } | y _ { 0 } , y _ { N } ) ] = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ) \\| \\frac { p ( y _ { 1 : N } , y _ { 0 } , y _ { N } ) } { p ( y _ { 0 } , y _ { N } ) } ] } \\\\ & { \\qquad = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N } , y _ { 0 } ) ] + \\ln p ( y _ { 0 } , y _ { N } ) } \\\\ & { \\qquad \\Rightarrow \\underbrace { \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N } ; \\phi ) \\| p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ] } _ { - \\mathcal { F } } \\leq \\mathbb { K } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; \\phi ) \\| p ( y _ { 1 } } \\\\ & { \\qquad \\quad - } \\end{array}", + "type": "interline_equation", + "image_path": "cc3b0e9da865cbceba3118abc960b72d140a7243b2002ba6cbf30721cf2645da.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 441, + 514, + 465.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 111, + 465.0, + 514, + 489.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 489.0, + 514, + 513.0 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 528, + 505, + 584 + ], + "lines": [ + { + "bbox": [ + 105, + 527, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 242, + 542 + ], + "score": 1.0, + "content": "We define the negative free-energy", + "type": "text" + }, + { + "bbox": [ + 242, + 528, + 413, + 542 + ], + "score": 0.92, + "content": "- \\mathcal { F } = \\mathbb { K L } [ Q ( y _ { 1 : N - 1 ) } | | p ( y _ { 1 : N - 1 } , y _ { 0 } , y _ { N } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 527, + 506, + 542 + ], + "score": 1.0, + "content": "which is a lower bound", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 505, + 552 + ], + "score": 1.0, + "content": "on the divergence between the true and approximate posteriors. By thus maximizing the negative", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "free-energy (which is identical to the ELBO (Beal et al., 2003; Blei et al., 2017)), or equivalently", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "minimizing the free-energy, we decrease this divergence and make the variational distribution a better", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 573, + 250, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 250, + 585 + ], + "score": 1.0, + "content": "approximation to the true posterior.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 527, + 506, + 585 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 589, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 432, + 603 + ], + "score": 1.0, + "content": "To proceed further, it is necessary to define an explicit form of the generative model", + "type": "text" + }, + { + "bbox": [ + 432, + 590, + 505, + 601 + ], + "score": 0.94, + "content": "p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } )", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 600, + 505, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 227, + 612 + ], + "score": 1.0, + "content": "and the approximate posterior", + "type": "text" + }, + { + "bbox": [ + 227, + 600, + 282, + 612 + ], + "score": 0.92, + "content": "Q \\big ( y _ { 1 : N - 1 } ; \\phi \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 600, + 505, + 612 + ], + "score": 1.0, + "content": ". In predictive coding, we define a hierarchical Gaussian", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 610, + 415, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 415, + 624 + ], + "score": 1.0, + "content": "generative model which mirrors the exact structure of the computation graph", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 588, + 505, + 624 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 627, + 429, + 661 + ], + "lines": [ + { + "bbox": [ + 181, + 627, + 429, + 661 + ], + "spans": [ + { + "bbox": [ + 181, + 627, + 429, + 661 + ], + "score": 0.94, + "content": "p ( \\boldsymbol { y } _ { 0 : N } ) = \\mathcal { N } ( \\boldsymbol { y } _ { 0 } ; \\boldsymbol { \\bar { y _ { 0 } } } , \\boldsymbol { \\Sigma } _ { 0 } ) \\prod _ { i = 1 } ^ { N } \\mathcal { N } ( \\boldsymbol { y } _ { i } ; \\boldsymbol { f } ( \\mathcal { P } ( \\boldsymbol { y } _ { i } ) ; \\boldsymbol { \\theta } _ { \\boldsymbol { y } _ { j } \\in \\mathcal { P } ( \\boldsymbol { y } _ { i } ) } ) , \\boldsymbol { \\Sigma } _ { i } ) ;", + "type": "interline_equation", + "image_path": "2388f86062216cf113452f90b93926054189887daad32721106af04290534e97.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 181, + 627, + 429, + 638.3333333333334 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 181, + 638.3333333333334, + 429, + 649.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 181, + 649.6666666666667, + 429, + 661.0000000000001 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 670, + 506, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 670, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 225, + 684 + ], + "score": 1.0, + "content": "Where essentially each vertex", + "type": "text" + }, + { + "bbox": [ + 225, + 673, + 234, + 682 + ], + "score": 0.82, + "content": "y _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 670, + 506, + 684 + ], + "score": 1.0, + "content": "is a Gaussian with a mean which is a function of the prediction of all", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 681, + 507, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 377, + 695 + ], + "score": 1.0, + "content": "the parents of the vertex, and the parameters of their edge-functions.", + "type": "text" + }, + { + "bbox": [ + 377, + 682, + 387, + 693 + ], + "score": 0.86, + "content": "\\bar { y _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 681, + 507, + 695 + ], + "score": 1.0, + "content": "is effectively an ”input-prior”", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 692, + 477, + 706 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 352, + 706 + ], + "score": 1.0, + "content": "which is set to 0 throughout and ignored. The output vertices", + "type": "text" + }, + { + "bbox": [ + 352, + 694, + 386, + 704 + ], + "score": 0.9, + "content": "y _ { N } = T", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 692, + 465, + 706 + ], + "score": 1.0, + "content": "are set to the target", + "type": "text" + }, + { + "bbox": [ + 465, + 694, + 474, + 703 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 692, + 477, + 706 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 670, + 507, + 706 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 369, + 723 + ], + "score": 1.0, + "content": "We also define the variational density to be Gaussian with mean", + "type": "text" + }, + { + "bbox": [ + 369, + 712, + 399, + 721 + ], + "score": 0.87, + "content": "v _ { 1 : N - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 709, + 455, + 723 + ], + "score": 1.0, + "content": "and variance", + "type": "text" + }, + { + "bbox": [ + 455, + 712, + 486, + 721 + ], + "score": 0.87, + "content": "\\sigma _ { 1 : N - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 709, + 505, + 723 + ], + "score": 1.0, + "content": ", but", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "under a mean field approximation, so that the approximation at each node is independent of all others", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 505, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 269, + 95 + ], + "score": 1.0, + "content": "(note the variational variance is denoted", + "type": "text" + }, + { + "bbox": [ + 269, + 84, + 277, + 92 + ], + "score": 0.77, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 82, + 494, + 95 + ], + "score": 1.0, + "content": "while the variance of the generative model is denoted", + "type": "text" + }, + { + "bbox": [ + 495, + 83, + 503, + 92 + ], + "score": 0.75, + "content": "\\Sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 82, + 506, + 95 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 168, + 105 + ], + "score": 1.0, + "content": "The lower-case", + "type": "text" + }, + { + "bbox": [ + 169, + 96, + 176, + 104 + ], + "score": 0.77, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 93, + 505, + 105 + ], + "score": 1.0, + "content": "is not used to denote a scalar variable – both variances can be multivariate – but to", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 337, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 337, + 117 + ], + "score": 1.0, + "content": "distinguish between variational and generative variances)", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "interline_equation", + "bbox": [ + 206, + 118, + 405, + 153 + ], + "lines": [ + { + "bbox": [ + 206, + 118, + 405, + 153 + ], + "spans": [ + { + "bbox": [ + 206, + 118, + 405, + 153 + ], + "score": 0.93, + "content": "Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) = \\prod _ { i = 1 } ^ { N - 1 } \\mathcal { N } ( y _ { i } ; v _ { i } , \\sigma _ { i } )", + "type": "interline_equation", + "image_path": "9a7484548bb63773728b9b797215c7d428f2242c7d4673bd86693e9639940556.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 206, + 118, + 405, + 135.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 206, + 135.5, + 405, + 153.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 160, + 505, + 183 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 173 + ], + "score": 1.0, + "content": "We now can express the free-energy functional concretely. First we decompose it as the sum of an", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 170, + 198, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 198, + 185 + ], + "score": 1.0, + "content": "energy and an entropy", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "interline_equation", + "bbox": [ + 124, + 184, + 527, + 231 + ], + "lines": [ + { + "bbox": [ + 124, + 184, + 527, + 231 + ], + "spans": [ + { + "bbox": [ + 124, + 184, + 527, + 231 + ], + "score": 0.65, + "content": "\\begin{array} { r l } & { = \\mathbb { E } \\mathbb { L } [ Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) | | p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } \\\\ & { = \\underbrace { - \\mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) } [ \\ln p ( y _ { 0 } , y _ { 1 : N - 1 } , y _ { N } ) ] } _ { E n e r g y } + \\underbrace { \\mathbb { E } _ { Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) } [ \\ln Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } ) ] } _ { E n t r e p y } } \\end{array}", + "type": "interline_equation", + "image_path": "a9ad112cb04bdc09f2e7099496eb9de2e70ce4397d88dc1e9846afd63d55a4d3.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 124, + 184, + 527, + 199.66666666666666 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 124, + 199.66666666666666, + 527, + 215.33333333333331 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 124, + 215.33333333333331, + 527, + 230.99999999999997 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 237, + 493, + 249 + ], + "lines": [ + { + "bbox": [ + 105, + 235, + 493, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 493, + 251 + ], + "score": 1.0, + "content": "Then, taking the entropy term first, we can express it concretely in terms of normal distributions.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 252, + 554, + 427 + ], + "lines": [ + { + "bbox": [ + 151, + 252, + 554, + 427 + ], + "spans": [ + { + "bbox": [ + 151, + 252, + 554, + 427 + ], + "score": 0.86, + "content": "\\begin{array} { r l } { \\underset { m \\leq i - 1 , ( j , \\eta _ { 1 } , \\eta _ { 1 } , \\eta _ { 1 } ) = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q ( y _ { i ; \\mathcal { N } - 1 } ; v _ { 1 ; \\mathcal { N } - 1 } , \\sigma _ { 1 ; N - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } ( \\underset { \\delta \\neq j \\leq i } { \\overset { N - 1 } { \\prod } } , v _ { 1 ; \\mathcal { N } - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } W ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ \\underset { \\delta \\neq j } { \\overset { N - 1 } { \\prod } } , v _ { i } ; \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } \\sigma _ { i } ) ] + \\underset { \\mathbb { P } _ { Q ( y _ { i } ; \\mathcal { N } , \\eta _ { i } ) } [ \\frac { 1 } { 2 } } { \\overset { N - 1 } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } ) ] + \\frac { \\sigma _ { i } } { 2 \\sigma _ { i } } } \\\\ & { = \\underset { i = 1 } { \\overset { N } { \\prod } } + \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } ) } \\end{array}", + "type": "interline_equation", + "image_path": "c79e1fb701b4eca6246ffccb6521bf7b8de2b6703b2d440cf9f9f35a841b555d.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 151, + 252, + 554, + 310.3333333333333 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 151, + 310.3333333333333, + 554, + 368.66666666666663 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 151, + 368.66666666666663, + 554, + 426.99999999999994 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 432, + 507, + 511 + ], + "lines": [ + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 445 + ], + "score": 1.0, + "content": "The entropy of a multivariate gaussian has a simple analytical form depending only on the variance.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "Next we turn to the energy term, which is more complex. 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This means that we can successfully approximate the approximate posterior", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "with a second-order Taylor expansion around the mean. 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1 ; \\mathcal { V } _ { 1 } , N - 1 , \\mathcal { O } _ { 1 } , N - 1 ) } [ \\ln p ( y _ { 0 } , N ) ] = \\ln p ( y _ { 0 } ) + \\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) + \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\mathbb { E } _ { Q ( y _ { i } ; \\mathcal { P } _ { i } , \\sigma _ { i } ) } [ \\ln p ( y _ { i } | \\mathcal { P } ( y _ { i } ) ) } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } E _ { Q } [ \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) ] + \\mathbb { E } _ { Q } [ \\frac { \\partial \\ln p ( y _ { i } | \\mathcal { P } ( y _ { k } ) ) } { \\partial y _ { i } } ( v _ { i } - y _ { i } ) ] } & { } \\\\ { + \\mathbb { E } _ { Q } [ \\frac { d ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { d y _ { i } ^ { 2 } } ( v _ { i } - y _ { i } ) ^ { 2 } ] } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) + \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } \\sigma _ { i } } & { } \\end{array}", + "type": "interline_equation", + "image_path": "23b75a727175e9343db6343f8dfa6e533b890e890cecf7d17d4aa364683007d9.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 512, + 514, + 557.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 557.0, + 514, + 602.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 602.0, + 514, + 647.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 653, + 506, + 678 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 371, + 667 + ], + "score": 1.0, + "content": "Where the second term in the Taylor expansion evaluates to 0 since", + "type": "text" + }, + { + "bbox": [ + 371, + 653, + 487, + 666 + ], + "score": 0.93, + "content": "\\mathbb { E } _ { Q } [ y _ { i } - 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1 } ; v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) = \\prod _ { i = 1 } ^ { N - 1 } \\mathcal { N } ( y _ { i } ; v _ { i } , \\sigma _ { i } )", + "type": "interline_equation", + "image_path": "9a7484548bb63773728b9b797215c7d428f2242c7d4673bd86693e9639940556.jpg" + } + ] + } + ], + "index": 3.5, + "virtual_lines": [ + { + "bbox": [ + 206, + 118, + 405, + 135.5 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 206, + 135.5, + 405, + 153.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 160, + 505, + 183 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 505, + 173 + ], + "score": 1.0, + "content": "We now can express the free-energy functional concretely. 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v _ { 1 : N - 1 } , \\sigma _ { 1 : N - 1 } ) } [ \\ln Q ( y _ { 1 : N - 1 } ; v _ { 1 : N - 1 } ) ] } _ { E n t r e p y } } \\end{array}", + "type": "interline_equation", + "image_path": "a9ad112cb04bdc09f2e7099496eb9de2e70ce4397d88dc1e9846afd63d55a4d3.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 124, + 184, + 527, + 199.66666666666666 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 124, + 199.66666666666666, + 527, + 215.33333333333331 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 124, + 215.33333333333331, + 527, + 230.99999999999997 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 237, + 493, + 249 + ], + "lines": [ + { + "bbox": [ + 105, + 235, + 493, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 493, + 251 + ], + "score": 1.0, + "content": "Then, taking the entropy term first, we can express it concretely in terms of normal distributions.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 235, + 493, + 251 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 151, + 252, + 554, + 427 + ], + "lines": [ + { + "bbox": [ + 151, + 252, + 554, + 427 + ], + "spans": [ + { + "bbox": [ + 151, + 252, + 554, + 427 + ], + "score": 0.86, + "content": "\\begin{array} { r l } { \\underset { m \\leq i - 1 , ( j , \\eta _ { 1 } , \\eta _ { 1 } , \\eta _ { 1 } ) = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q ( y _ { i ; \\mathcal { N } - 1 } ; v _ { 1 ; \\mathcal { N } - 1 } , \\sigma _ { 1 ; N - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } ( \\underset { \\delta \\neq j \\leq i } { \\overset { N - 1 } { \\prod } } , v _ { 1 ; \\mathcal { N } - 1 } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } W ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ \\underset { \\delta \\neq j } { \\overset { N - 1 } { \\prod } } , v _ { i } ; \\sigma _ { i } ) \\underset { i = 1 } { \\overset { N } { \\prod } } } \\\\ & { = \\underset { i = 1 } { \\overset { N - 1 } { \\prod } } \\mathrm { H } Q _ { ( y _ { i ; \\mathcal { N } , \\eta _ { i } } , \\sigma _ { i } ) } [ - \\frac { 1 } { 2 } \\mathrm { h } \\mathrm { d e t } ( 2 \\pi \\sigma _ { i } \\sigma _ { i } ) ] + \\underset { \\mathbb { P } _ { Q ( y _ { i } ; 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To derive a clean analytical result, we must", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "make a further assumption, the Laplace approximation, which requires the variational density to be", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 466, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 506, + 478 + ], + "score": 1.0, + "content": "tightly peaked around the mean so the only non-negligible contribution to the expectation is from", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "regions around the mean. This means that we can successfully approximate the approximate posterior", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "with a second-order Taylor expansion around the mean. 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1 ; \\mathcal { V } _ { 1 } , N - 1 , \\mathcal { O } _ { 1 } , N - 1 ) } [ \\ln p ( y _ { 0 } , N ) ] = \\ln p ( y _ { 0 } ) + \\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) + \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\mathbb { E } _ { Q ( y _ { i } ; \\mathcal { P } _ { i } , \\sigma _ { i } ) } [ \\ln p ( y _ { i } | \\mathcal { P } ( y _ { i } ) ) } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } E _ { Q } [ \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) ] + \\mathbb { E } _ { Q } [ \\frac { \\partial \\ln p ( y _ { i } | \\mathcal { P } ( y _ { k } ) ) } { \\partial y _ { i } } ( v _ { i } - y _ { i } ) ] } & { } \\\\ { + \\mathbb { E } _ { Q } [ \\frac { d ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { d y _ { i } ^ { 2 } } ( v _ { i } - y _ { i } ) ^ { 2 } ] } & { } \\\\ { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) + \\frac { \\partial ^ { 2 } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) ) } { \\partial y _ { i } ^ { 2 } } \\sigma _ { i } } & { } \\end{array}", + "type": "interline_equation", + "image_path": "23b75a727175e9343db6343f8dfa6e533b890e890cecf7d17d4aa364683007d9.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 512, + 514, + 557.0 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 557.0, + 514, + 602.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 602.0, + 514, + 647.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 653, + 506, + 678 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 371, + 667 + ], + "score": 1.0, + "content": "Where the second term in the Taylor expansion evaluates to 0 since", + "type": "text" + }, + { + "bbox": [ + 371, + 653, + 487, + 666 + ], + "score": 0.93, + "content": "\\mathbb { E } _ { Q } [ y _ { i } - 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This renders all", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 217, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 263, + 231 + ], + "score": 1.0, + "content": "the terms in the free-energy except the", + "type": "text" + }, + { + "bbox": [ + 263, + 217, + 321, + 230 + ], + "score": 0.92, + "content": "\\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 217, + 506, + 231 + ], + "score": 1.0, + "content": "terms constant with respect to the variational", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 229, + 252, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 229, + 252, + 240 + ], + "score": 1.0, + "content": "parameters. This allows us to write:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 248, + 397, + 282 + ], + "lines": [ + { + "bbox": [ + 212, + 248, + 397, + 282 + ], + "spans": [ + { + "bbox": [ + 212, + 248, + 397, + 282 + ], + "score": 0.93, + "content": "- \\mathcal { F } \\approx \\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) + \\sum _ { i = 1 } ^ { N } \\ln p ( v _ { i } | \\mathcal { P } ( y _ { i } ) )", + "type": "interline_equation", + "image_path": "96ad3044e8cec3a7226dca410b070db66e34b30c9ce65ac3429580c709b9aaef.jpg" + } + ] + } + ], + "index": 11.5, + "virtual_lines": [ + { + "bbox": [ + 212, + 248, + 397, + 265.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 212, + 265.0, + 397, + 282.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 295, + 506, + 364 + ], + "lines": [ + { + "bbox": [ + 104, + 295, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 104, + 295, + 261, + 309 + ], + "score": 1.0, + "content": "as presented in section 2. The first term", + "type": "text" + }, + { + "bbox": [ + 262, + 296, + 328, + 308 + ], + "score": 0.9, + "content": "\\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 295, + 466, + 309 + ], + "score": 1.0, + "content": "is effectively the loss at the output", + "type": "text" + }, + { + "bbox": [ + 466, + 297, + 502, + 308 + ], + "score": 0.86, + "content": "( y _ { N } = T ,", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 295, + 506, + 309 + ], + "score": 1.0, + "content": ")", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 306, + 507, + 323 + ], + "spans": [ + { + "bbox": [ + 104, + 306, + 277, + 323 + ], + "score": 1.0, + "content": "so becomes an additional prediction error", + "type": "text" + }, + { + "bbox": [ + 277, + 307, + 460, + 321 + ], + "score": 0.91, + "content": "\\ln p ( y _ { N } | \\mathcal { P } ( y _ { N } ) ) \\propto ( T - \\hat { v } _ { N } ) ^ { T } \\Sigma _ { N } ^ { - 1 } ( T - \\hat { v } _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 306, + 507, + 323 + ], + "score": 1.0, + "content": "which can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 317, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 104, + 317, + 506, + 333 + ], + "score": 1.0, + "content": "be absorbed into the sum over other prediction errors. Crucially, although the variational variances", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 331, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 425, + 342 + ], + "score": 1.0, + "content": "have an analytical form, the variances of the generative model (the precisions", + "type": "text" + }, + { + "bbox": [ + 426, + 331, + 437, + 342 + ], + "score": 0.85, + "content": "\\Sigma _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 331, + 505, + 342 + ], + "score": 1.0, + "content": ") do not and can", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 506, + 354 + ], + "score": 1.0, + "content": "be optimised directly to improve the log model-evidence. These precisions allow for a kind of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 228, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 228, + 366 + ], + "score": 1.0, + "content": "’uncertainty-aware’ backprop.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 107, + 379, + 390, + 392 + ], + "lines": [ + { + "bbox": [ + 106, + 379, + 391, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 391, + 393 + ], + "score": 1.0, + "content": "DERIVATION OF VARIATIONAL UPDATE RULES AND FIXED POINTS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 401, + 505, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 487, + 415 + ], + "score": 1.0, + "content": "Here, starting from Equation 10, we show how to obtain the variational update rule for the", + "type": "text" + }, + { + "bbox": [ + 487, + 403, + 497, + 413 + ], + "score": 0.82, + "content": "v _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 497, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "’s", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "(Equation 2), and the fixed point equations (Equation 5) (Friston, 2008; 2005; Bogacz, 2017). 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Deep learning architectures are known to be vulnerable to adversarial examples, but previous work has focused on the application of adversarial examples to classification tasks. Deep generative models have recently become popular due to their ability to model input data distributions and generate realistic examples from those distributions. We present three classes of attacks on the VAE and VAE-GAN architectures and demonstrate them against networks trained on MNIST, SVHN and CelebA. Our first attack leverages classification-based adversaries by attaching a classifier to the trained encoder of the target generative model, which can then be used to indirectly manipulate the latent representation. Our second attack directly uses the VAE loss function to generate a target reconstruction image from the adversarial example. Our third attack moves beyond relying on classification or the standard loss for the gradient and directly optimizes against differences in source and target latent representations. We also motivate why an attacker might be interested in deploying such techniques against a target generative network. + +# 1 INTRODUCTION + +Adversarial examples have been shown to exist for a variety of deep learning architectures.1 They are small perturbations of the original inputs, often barely visible to a human observer, but carefully crafted to misguide the network into producing incorrect outputs. Seminal work by Szegedy et al. (2013) and Goodfellow et al. (2014), as well as much recent work, has shown that adversarial examples are abundant and finding them is easy. + +Most previous work focuses on the application of adversarial examples to the task of classification, where the deep network assigns classes to input images. The attack adds small adversarial perturbations to the original input image. These perturbations cause the network to change its classification of the input, from the correct class to some other incorrect class (possibly chosen by the attacker). Critically, the perturbed input must still be recognizable to a human observer as belonging to the original input class.2 + +Deep generative models, such as Kingma & Welling (2013), learn to generate a variety of outputs, ranging from handwritten digits to faces (Kulkarni et al., 2015), realistic scenes (Oord et al., 2016), videos (Kalchbrenner et al., 2016), 3D objects (Dosovitskiy et al., 2016), and audio (van den Oord et al., 2016). These models learn an approximation of the input data distribution in different ways, and then sample from this distribution to generate previously unseen but plausible outputs. + +To the best of our knowledge, no prior work has explored using adversarial inputs to attack generative models. There are two main requirements for such work: describing a plausible scenario in which an attacker might want to attack a generative model; and designing and demonstrating an attack that succeeds against generative models. We address both of these requirements in this work. + +One of the most basic applications of generative models is input reconstruction. Given an input image, the model first encodes it into a lower-dimensional latent representation, and then uses that representation to generate a reconstruction of the original input image. Since the latent representation usually has much fewer dimensions than the original input, it can be used as a form of compression. The latent representation can also be used to remove some types of noise from inputs, even when the network has not been explicitly trained for denoising, due to the lower dimensionality of the latent representation restricting what information the trained network is able to represent. Many generative models also allow manipulation of the generated output by sampling different latent values or modifying individual dimensions of the latent vectors without needing to pass through the encoding step. + +These properties of input reconstruction generative networks suggest a variety of different attacks that would be enabled by effective adversaries against generative networks. Any attack that targets the compression bottleneck of the latent representation can exploit natural security vulnerabilities in applications built to use that latent representation. Specifically, if the person doing the encoding step is separated from the person doing the decoding step, the attacker may be able to cause the encoding party to believe they have encoded a particular message for the decoding party, but in reality they have encoded a different message of the attacker’s choosing. We explore this idea in more detail as it applies to the application of compressing images using a VAE or VAE-GAN architecture. + +# 2 RELATED WORK AND BACKGROUND + +This work focuses on adversaries for variational autoencoders (VAEs, proposed in Kingma & Welling (2013)) and VAE-GANs (VAEs composed with a generative adversarial network, proposed in Larsen et al. (2015)). + +# 2.1 RELATED WORK ON ADVERSARIES + +Many adversarial attacks on classification models have been described in existing literature (Goodfellow et al., 2014; Szegedy et al., 2013). These attacks can be untargeted, where the adversary’s goal is to cause any misclassification, or the least likely misclassification (Goodfellow et al., 2014; Kurakin et al., 2016); or they can be targeted, where the attacker desires a specific misclassification. Moosavi-Dezfooli et al. (2016) gives a recent example of a strong targeted adversarial attack. Some adversarial attacks allow for a threat model where the adversary does not have access to the target model (Szegedy et al., 2013; Papernot et al., 2016), but commonly it is assumed that the attacker does have that access, in an online or offline setting (Goodfellow et al., 2014; Kurakin et al., 2016).3 + +Given a classifier $f ( \mathbf { x } ) \ : \ \mathbf { x } \ \in \ { \mathcal { X } } \ \to \ y \ \in \ { \mathcal { Y } }$ and original inputs $\textbf { x } \in { \mathcal { X } }$ , the problem of generating untargeted adversarial examples can be expressed as the following optimization: $\mathrm { a r g m i n } _ { \mathbf { x } ^ { * } }$ $L ( \mathbf { x } , \mathbf { x } ^ { * } )$ s.t. $f ( \mathbf { x } ^ { * } ) \neq f ( \mathbf { x } )$ , where $L ( \cdot )$ is a chosen distance measure between examples from the input space (e.g., the $L _ { 2 }$ norm). Similarly, generating a targeted adversarial attack on a classifier can be expressed as $\mathrm { a r g m i n } _ { \mathbf { x } ^ { * } }$ $L ( \mathbf { x } , \mathbf { x } ^ { * } )$ s.t. $f ( \mathbf { x } ^ { * } ) = y _ { t }$ , where $y _ { t } \in \mathcal { V }$ is some target label chosen by the attacker. + +These optimization problems can often be solved with optimizers like L-BFGS or Adam (Kingma & Ba, 2015), as done in Szegedy et al. (2013) and Carlini & Wagner (2016). They can also be approximated with single-step gradient-based techniques like fast gradient sign (Goodfellow et al., 2014), fast gradient $L _ { 2 }$ (Huang et al., 2015), or fast least likely class (Kurakin et al., 2016); or they can be approximated with iterative variants of those and other gradient-based techniques (Kurakin et al., 2016; Moosavi-Dezfooli et al., 2016). + +An interesting variation of this type of attack can be found in Sabour et al. (2015). In that work, they attack the hidden state of the target network directly by taking an input image $\mathbf { x }$ and a target image $\mathbf { x } _ { t }$ and searching for a perturbed variant of $\mathbf { x }$ that generates similar hidden state at layer $l$ of the target network to the hidden state at the same layer generated by $\mathbf { x } _ { t }$ . This approach can also be applied directly to attacking the latent vector of a generative model. + +A variant of this attack has also been applied to VAE models in the concurrent work of Tabacof et al. $( 2 0 1 6 ) ^ { 4 }$ , which uses the KL divergence between the latent representation of the source and target images to generate the adversarial example. However in their paper, the authors mention that they tried attacking the output directly and that this only managed to make the reconstructions more blurry. While they do not explain the exact experimental setting, the attack sounds similar to our $\mathcal { L } _ { \mathrm { V A E } }$ attack, which we find very successful. Also, in their paper the authors do not consider the more advanced VAE-GAN models and more complex datasets like CelebA. + +![](images/e76d5a24fe0aaa96afeb05ce8b905561f283fad2b76a8b30b96064f90f2843a9.jpg) +Figure 1: Depiction of the attack scenario. The VAE is used as a compression scheme to transmit a latent representation of the image from the sender (left) to the receiver (right). The attacker convinces the sender to compress a particular image into its latent vector, which is sent to the receiver, where the decoder reconstructs the latent vector into some other image chosen by the attacker. + +# 2.2 BACKGROUND ON VAES AND VAE-GANS + +The general architecture of a variational autoencoder consists of three components, as shown in Figure 8. The encoder $f _ { \mathrm { e n c } } ( \mathbf { x } )$ is a neural network mapping a high-dimensional input representation $\mathbf { x }$ into a lower-dimensional (compressed) latent representation $\mathbf { z }$ . All possible values of $\mathbf { z }$ form a latent space. Similar values in the latent space should produce similar outputs from the decoder in a well-trained VAE. And finally, the decoder/generator $f _ { \mathrm { d e c } } ( \mathbf { z } )$ , which is a neural network mapping the compressed latent representation back to a high-dimensional output $\hat { \bf x }$ . Composing these networks allows basic input reconstruction $\begin{array} { r } { \hat { \mathbf { x } } = f _ { \mathrm { d e c } } ( \bar { f _ { \mathrm { e n c } } } ( \mathbf { x } ) ) } \end{array}$ . This composed architecture is used during training to backpropagate errors from the loss function. + +The variational autoencoder’s loss function $\mathcal { L } _ { \mathrm { V A E } }$ enables the network to learn a latent representation that approximates the intractable posterior distribution $p ( \mathbf { z } | \mathbf { x } )$ : + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { V A E } } = - D _ { \mathrm { K L } } \big [ q ( { \mathbf { z } } | { \mathbf { x } } ) | | p ( { \mathbf { z } } ) \big ] + E _ { q } \big [ \log p ( { \mathbf { x } } | { \mathbf { z } } ) \big ] . } \end{array} +$$ + +$q ( \mathbf { z } | \mathbf { x } )$ is the learned approximation of the posterior distribution $p ( \mathbf { z } | \mathbf { x } )$ . $p ( \mathbf { z } )$ is the prior distribution of the latent representation $\mathbf { z }$ . $D _ { \mathrm { K L } }$ denotes the Kullback–Leibler divergence. $E _ { q } [ \log p ( \mathbf { x } | \mathbf { z } ) ]$ is the variational lower bound, which in the case of input reconstruction is the cross-entropy $H [ \mathbf { x } , { \hat { \mathbf { x } } } ]$ between the inputs $\mathbf { x }$ and their reconstructions $\hat { \bf x }$ . In order to generate $\hat { \bf x }$ the VAE needs to sample $q ( \mathbf { z } | \mathbf { x } )$ and then compute $f _ { \mathrm { d e c } } ( \mathbf { z } )$ . + +For the VAE to be fully differentiable while sampling from $q ( \mathbf { z } | \mathbf { x } )$ , the reparametrization trick (Kingma & Welling, 2013) extracts the random sampling step from the network and turns it into an input, $\varepsilon$ . VAEs are often parameterized with Gaussian distributions. In this case, $f _ { \mathrm { e n c } } ( \mathbf { x } )$ outputs the distribution parameters $\pmb { \mu }$ and $\sigma ^ { 2 }$ . That distribution is then sampled by computing ${ \bf z } = \mu { + } \varepsilon \sqrt { \sigma ^ { 2 } }$ where $\varepsilon \sim N ( 0 , 1 )$ is the input random sample, which does not depend on any parameters of $f _ { \mathrm { e n c } }$ , and thus does not impact differentiation of the network. + +The VAE-GAN architecture of Larsen et al. (2015) has the same $f _ { \mathrm { e n c } }$ and $f _ { \mathrm { d e c } }$ pair as in the VAE. It also adds a discriminator $f _ { \mathrm { d i s c } }$ that is used during training, as in standard generative adversarial networks (Goodfellow et al., 2014). The loss function of $f _ { \mathrm { d e c } }$ uses the disciminator loss instead of cross-entropy for estimating the reconstruction error. + +# 3 PROBLEM DEFINITION + +We provide a motivating attack scenario for adversaries against generative models, as well as a formal definition of an adversary in the generative setting. + +# 3.1 MOTIVATING ATTACK SCENARIO + +To motivate the attacks presented below, we describe the attack scenario depicted in Figure 1. In this scenario, there are two parties, the sender and the receiver, who wish to share images with each other over a computer network. In order to conserve bandwidth, they share a VAE trained on the input distribution of interest, which will allow them to send only latent vectors $\mathbf { z }$ . + +![](images/95790f396fe0425f68d3a69bac937f2d8f8f4944f38467fef3d6e9335923e8fb.jpg) +Figure 2: Results for the $L _ { 2 }$ optimization latent attack (see Section 4.3) on the VAE-GAN, targeting a specific image from the class 0. Shown are the first 12 non-zero images from the test SVHN data set. The columns are, in order: the original image, the reconstruction of the original image, the adversarial example, the predicted class of the adversarial example, the reconstruction of the adversarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction. + +The attacker’s goal is to convince the sender to send an image of the attacker’s choosing to the receiver, but the attacker has no direct control over the bytes sent between the two parties. However, the attacker has a copy of the shared VAE. The attacker presents an image $\mathbf { x } ^ { * }$ to the sender which resembles an image $\mathbf { x }$ that the sender wants to share with the receiver. For example, the sender wants to share pictures of kittens with the receiver, so the attacker presents a web page to the sender with a picture of a kitten, which is $\mathbf { x } ^ { * }$ . The sender chooses $\mathbf { x } ^ { * }$ and sends its corresponding $\mathbf { z }$ to the receiver, who reconstructs it. However, because the attacker controlled the chosen image, when the receiver reconstructs it, instead of getting a faithful reproduction $\hat { \bf x }$ of $\mathbf { x }$ (e.g., a kitten), the receiver sees some other image of the attacker’s choosing, $\hat { \mathbf { x } } _ { \mathrm { a d v } }$ , which has a different meaning from $\mathbf { x }$ (e.g., a request to send money to the attacker’s bank account). + +There are other attacks of this general form, where the sender and the receiver may be separated by distance, as in this example, or by time, in the case of storing compressed images to disk for later retrieval. In the time-separated attack, the sender and the receiver may be the same person or multiple different people. In either case, if they are using the insecure channel of the VAE’s latent space, the messages they share may be under the control of an attacker. For example, an attacker may be able to fool an automatic surveillance system if the system uses this type of compression to store the video signal before it is processed by other systems. In this case, the subsequent analysis of the video signal could be on compromised data showing what the attacker wants to show. + +While we do not specifically attack their models, viable compression schemes based on deep neural networks have already been proposed in the literature, showing promising results Toderici et al. (2015; 2016). + +# 3.2 DEFINING ADVERSARIAL EXAMPLES AGAINST GENERATIVE MODELS + +We make the following assumptions about generating adversarial examples on a target generative model, $G _ { \mathrm { t a r g } } ( \mathbf { x } ) = f _ { \mathrm { d e c } } ( f _ { \mathrm { e n c } } ( \mathbf { \bar { x } } ) )$ . $G _ { \mathrm { t a r g } }$ is trained on inputs $\mathcal { X }$ that can naturally be labeled with semantically meaningful classes $\mathcal { V }$ , although there may be no such labels at training time, or the labels may not have been used during training. $G _ { \mathrm { t a r g } }$ normally succeeds at generating an output $\hat { \mathbf { x } } = G _ { \mathrm { t a r g } } ( \mathbf { x } )$ in class $y$ when presented with an input $\mathbf { x }$ from class $y$ . In other words, whatever target output class the attacker is interested in, we assume that $G _ { \mathrm { t a r g } }$ successfully captures it in the latent representation such that it can generate examples of that class from the decoder. This target output class does not need to be from the most salient classes in the training dataset. For example, on models trained on MNIST, the attacker may not care about generating different target digits (which are the most salient classes). The attacker may prefer to generate the same input digits in a different style (perhaps to aid forgery). We also assume that the attacker has access to $G _ { \mathrm { t a r g } }$ . Finally, the attacker has access to a set of examples from the same distribution as $\mathcal { X }$ that have the target label $y _ { t }$ the attacker wants to generate. This does not mean that the attacker needs access to the labeled training dataset (which may not exist), or to an appropriate labeled dataset with large numbers of examples labeled for each class $y \in \mathcal { V }$ (which may be hard or expensive to collect). The attacks described here may be successful with only a small amount of data labeled for a single target class of interest. + +![](images/75f2cff57ecf04b02972cc71cc6001f1d18d1cbe3a070a3bb845ad48acad2732.jpg) +Figure 3: The VAE-GAN classifier architecture used to generate classifier-based adversarial examples on the VAE-GAN. The VAE-GAN in the dashed box is the target network and is frozen while training the classifier. The path ${ \bf x } f _ { \mathrm { e n c } } { \bf z } f _ { \mathrm { c l a s s } } \hat { y }$ is used to generate adversarial examples in $\mathbf { z }$ , which can then be reconstructed by $f _ { \mathrm { d e c } }$ . + +One way to generate such adversaries is by solving the optimization problem $\mathrm { a r g m i n } _ { \mathbf { x } ^ { * } }$ $L ( \mathbf { x } , \mathbf { x } ^ { * } )$ $\begin{array} { r c l } { s . t . \ \mathrm { O R A C L E } ( G _ { \mathrm { t a r g } } ( \mathbf { x } ^ { * } ) ) } & { = } & { y _ { t } } \end{array}$ , where ORACLE reliably discriminates between inputs of class $y _ { t }$ and inputs of other classes. In practice, a classifier trained by the attacker may server as ORACLE. Other types of adversaries from Section 2.1 can also be used to approximate this optimization in natural ways, some of which we describe in Section 4. + +If the attacker only needs to generate one successful attack, the problem of determining if an attack is successful can be solved by manually reviewing the $\mathbf { x } ^ { * }$ and $\hat { \mathbf { x } } _ { \mathrm { a d v } }$ pairs and choosing whichever the attacker considers best. However, if the attacker wants to generate many successful attacks, an automated method of evaluating the success of an attack is necessary. We show in Section 4.5 how to measure the effectiveness of an attack automatically using a classifier trained on $\mathbf { z } = f _ { \mathrm { e n c } } ( \mathbf { x } )$ . + +# 4 ATTACK METHODOLOGY + +The attacker would like to construct an adversarially-perturbed input to influence the latent representation in a way that will cause the reconstruction process to reconstruct an output for a different class. We propose three approaches to attacking generative models: a classifier-based attack, where we train a new classifier on top of the latent space $\mathbf { z }$ and use that classifier to find adversarial examples in the latent space; an attack using $\mathcal { L } _ { \mathrm { V A E } }$ to target the output directly; and an attack on the latent space, $\mathbf { z }$ . All three methods are technically applicable to any generative architecture that relies on a learned latent representation $\mathbf { z }$ . Without loss of generality, we focus on the VAE-GAN architecture. + +# 4.1 CLASSIFIER ATTACK + +By adding a classifier $f _ { \mathrm { c l a s s } }$ to the pre-trained generative model5, we can turn the problem of generating adversaries for generative models back into the previously solved problem of generating adversarial examples for classifiers. This approach allows us to apply all of the existing attacks on classifiers in the literature. However, as discussed below, using this classifier tends to produce lower-quality reconstructions from the adversarial examples than the other two attacks due to the inaccuracies of the classifier. + +Step 1. The weights of the target generative model are frozen, and a new classifier $f _ { \mathrm { c l a s s } } ( \mathbf { z } ) \hat { y }$ is trained on top of $f _ { \mathrm { e n c } }$ using a standard classification loss $\mathcal { L } _ { \mathrm { c l a s s i f i e r } }$ such as cross-entropy, as shown in Figure 3. This process is independent of how the original model is trained, but it requires a training corpus pulled from approximately the same input distribution as was used to train $G _ { \mathrm { t a r g } }$ , with ground truth labels for at least two classes: $y _ { t }$ and $y _ { \tilde { t } }$ , the negative class. + +Step 2. With the trained classifier, the attacker finds adversarial examples $\mathbf { x } ^ { * }$ using the methods described in Section 4.4. + +Using $f _ { \mathrm { c l a s s } }$ to generate adversarial examples does not always result in high-quality reconstructions, as can be seen in the middle column of Figure 5 and in Figure 11. This appears to be due to the fact that $f _ { \mathrm { c l a s s } }$ adds additional noise to the process. For example, $f _ { \mathrm { c l a s s } }$ sometimes confidently misclassifies latent vectors $\mathbf { z }$ that represent inputs that are far from the training data distribution, resulting in $f _ { \mathrm { d e c } }$ failing to reconstruct a plausible output from the adversarial example. + +# 4.2 LVAE ATTACK + +Our second approach generates adversarial perturbations using the VAE loss function. The attacker chooses two inputs, $\mathbf { x } _ { s }$ (the source) and $\mathbf { x } _ { t }$ (the target), and uses one of the standard adversarial methods to perturb $\mathbf { x } _ { s }$ into $\mathbf { x } ^ { * }$ such that its reconstruction $\hat { \textbf { x } } ^ { * }$ matches the reconstruction of $\mathbf { x } _ { t }$ , using the methods described in Section 4.4. + +The adversary precomputes the reconstruction $\hat { \mathbf { x } } _ { t }$ by evaluating $f _ { \mathrm { d e c } } \big ( f _ { \mathrm { e n c } } ( \mathbf { x } _ { t } ) \big )$ once before performing optimization. In order to use $\mathcal { L } _ { \mathrm { V A E } }$ in an attack, the second term (the reconstruction loss) of $\mathcal { L } _ { \mathrm { V A E } }$ (see Equation 1) is changed so that instead of computing the reconstruction loss between $\mathbf { x }$ and $\hat { \bf x }$ , the loss is computed between $\hat { \textbf { x } } ^ { * }$ and $\hat { \mathbf { x } } _ { t }$ . This means that during each optimization iteration, the adversary needs to compute $\hat { \mathbf { x } } ^ { * }$ , which requires the full $f _ { \mathrm { d e c } } ( f _ { \mathrm { e n c } } ( \bar { \mathbf { x } } ^ { * } ) )$ to be evaluated. + +# 4.3 LATENT ATTACK + +Our third approach attacks the latent space of the generative model. + +Single latent vector target. This attack is similar to the work of Sabour et al. (2015), in which they use a pair of source image $\mathbf { x } _ { s }$ and target image $\mathbf { x } _ { t }$ to generate $\mathbf { x } ^ { * }$ that induces the target network to produce similar activations at some hidden layer $l$ as are produced by $\mathbf { x } _ { t }$ , while maintaining similarity between $\mathbf { x } _ { s }$ and $\mathbf { x } ^ { * }$ . + +For this attack to work on latent generative models, it is sufficient to compute ${ \mathbf z } _ { t } = f _ { \mathrm { e n c } } ( { \mathbf x } _ { t } )$ and then use the following loss function to generate adversarial examples from different source images $\mathbf { x } _ { s }$ , using the methods described in Section 4.4: + +$$ +\mathcal { L } _ { \mathrm { l a t e n t } } = L ( \mathbf { z } _ { t } , f _ { \mathrm { e n c } } ( \mathbf { x } ^ { * } ) ) . +$$ + +$L ( \cdot )$ is a distance measure between two vectors. We use the $L _ { 2 }$ norm, under the assumption that the latent space is approximately euclidean. + +We also explored a variation on the single latent vector target attack, which we describe in Section A.1 in the Appendix. + +# 4.4 METHODS FOR SOLVING THE ADVERSARIAL OPTIMIZATION PROBLEM + +We can use a number of different methods to generate the adversarial examples. We initially evaluated both the fast gradient sign Goodfellow et al. (2014) method and an $L _ { 2 }$ optimization method. As the latter produces much better results we focus on the $L _ { 2 }$ optimization method, while we include some FGS results in the Appendix. The attack can be used either in targeted mode (where we want a specific class, $y _ { t }$ , to be reconstructed) or untargeted mode (where we just want an incorrect class to be reconstructed). In this paper, we focus on the targeted mode of the attacks. + +$L _ { 2 }$ optimization. The optimization-based approach, explored in Szegedy et al. (2013) and Carlini & Wagner (2016), poses the adversarial generation problem as the following optimization problem: + +$$ +\begin{array} { r } { \operatorname * { a r g m i n } _ { \mathbf { x } ^ { * } } \lambda L ( \mathbf { x } , \mathbf { x } ^ { * } ) + \mathcal { L } ( \mathbf { x } ^ { * } , y _ { t } ) . } \end{array} +$$ + +As above, $L ( \cdot )$ is a distance measure, and $\mathcal { L }$ is one of $\mathcal { L } _ { \mathrm { c l a s s i f i e r } }$ , $\mathcal { L } _ { \mathrm { V A E } }$ , or $\mathcal { L } _ { \mathrm { l a t e n t } }$ . The constant $\lambda$ is used to balance the two loss contributions. For the $\mathcal { L } _ { \mathrm { V A E } }$ attack, the optimizer must do a full + +reconstruction at each step of the optimizer. The other two attacks do not need to do reconstructions while the optimizer is running, so they generate adversarial examples much more quickly, as shown in Table 1. + +# 4.5 MEASURING ATTACK EFFECTIVENESS + +To generate a large number of adversarial examples automatically against a generative model, the attacker needs a way to judge the quality of the adversarial examples. We leverage $f _ { \mathrm { c l a s s } }$ to estimate whether a particular attack was successful.6 + +Reconstruction feedback loop. The architecture is the same as shown in Figure 3. We use the generative model to reconstruct the attempted adversarial inputs $\mathbf { x } ^ { * }$ by computing: + +$$ +\hat { \mathbf { x } } ^ { * } = f _ { \mathrm { d e c } } ( f _ { \mathrm { e n c } } ( \mathbf { x } ^ { * } ) ) . +$$ + +Then, $f _ { \mathrm { c l a s s } }$ is used to compute: + +$$ +\hat { y } = f _ { \mathrm { c l a s s } } ( f _ { \mathrm { e n c } } ( \hat { \mathbf { x } } ^ { * } ) ) . +$$ + +The input adversarial examples $\mathbf { x } ^ { * }$ are not classified directly, but are first fed to the generative model for reconstruction. This reconstruction loop improves the accuracy of the classifier by $6 0 \%$ on average against the adversarial attacks we examined. The predicted label $\hat { y }$ after the reconstruction feedback loop is compared with the attack target $y _ { t }$ to determine if the adversarial example successfully reconstructed to the target class. If the precision and recall of $f _ { \mathrm { c l a s s } }$ are sufficiently high on $y _ { t }$ , $f _ { \mathrm { c l a s s } }$ can be used to filter out most of the failed adversarial examples while keeping most of the good ones. + +We derive two metrics from classifier predictions after one reconstruction feedback loop. The first metric is $A S _ { i g n o r e - t a r g e t }$ , the attack success rate ignoring targeting, i.e., without requiring the output class of the adversarial example to match the target class: + +$$ +A S _ { i g n o r e - t a r g e t } = \frac { 1 } { N } \sum _ { i = 1 } ^ { N } \mathbf { 1 } _ { \hat { y } ^ { i } \ne y ^ { i } } +$$ + +$N$ is the total number of reconstructed adversarial examples; $\mathbf { 1 } _ { \hat { y } ^ { i } \neq y ^ { i } }$ is 1 when $\hat { y } ^ { i }$ , the classification of the reconstruction for image $i$ , does not equal $y ^ { i }$ , the ground truth classification of the original image, and 0 otherwise. The second metric is $A S _ { t a r g e t }$ , the attack success rate including targeting (i.e., requiring the output class of the adversarial example to match the target class), which we define similarly as: + +$$ +A S _ { t a r g e t } = \frac { 1 } { N } \sum _ { i = 1 } ^ { N } \mathbf { 1 } _ { \hat { y } ^ { i } = y _ { t } ^ { i } } . +$$ + +Both metrics are expected to be higher for more successful attacks. Note that $A S _ { t a r g e t } \ \le$ $A S _ { i g n o r e - t a r g e t }$ . When computing these metrics, we exclude input examples that have the same ground truth class as the target class. + +# 5 EVALUATION + +We evaluate the three attacks on MNIST (LeCun et al., 1998), SVHN (Netzer et al., 2011) and CelebA (Liu et al., 2015), using the standard training and validation set splits. The VAE and VAEGAN architectures are implemented in TensorFlow (Abadi & et al., 2015). We optimized using Adam with learning rate 0.001 and other parameters set to default values for both the generative model and the classifier. For the VAE, we use two architectures: a simple architecture with a single fully-connected hidden layer with 512 units and ReLU activation function; and a convolutional architecture taken from the original VAE-GAN paper Larsen et al. (2015) (but trained with only the VAE loss). We use the same architecture trained with the additional GAN loss for the VAE-GAN model, as described in that work. For both VAE and VAE-GAN we use a 50-dimensional latent representation on MNIST, a 1024-dimensional latent representation on SVHN and 2048-dimensional latent representation on CelebA. + +$$ +\begin{array} { c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c } & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & \\ & & { \displaystyle \uparrow } & & { \displaystyle \downarrow } & & { \emptyset } & { \emptyset } & { \emptyset } & { \emptyset } & { \emptyset } & { \emptyset } & & & & & & & & & & & & & & & \\ & { \displaystyle \uparrow } & { \displaystyle \uparrow } & { \displaystyle \downarrow } & { \emptyset } & { \emptyset } & { \to } & { \textsc { \textsf { S { S { S { S { S } } } } } } } & & { \displaystyle \downarrow } & { \emptyset } & { \emptyset } & { \{ \textsc { \textsf { S { S { S \ S } } } } } & { \textmd { \textmd { S { S { S { S { S } } } } } } } & { \textmd { \textmd { S { S { S { S { S } } } } } } } & { \textmd { \textmd { S { S { S { S { S } } } } } } } & { \textmd { \textmd { S { S { S { S { S { S } } } } } } } } & { \textmd { \textmd { S { S { S { S { S { S { S } } } } } } } } } & { } & & & & & & { } \\ & { \displaystyle \uparrow } & { \displaystyle \uparrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle } & { \textmd { S { S { S { S { S { S \ S } } } } } } } \\ & { \displaystyle \downarrow } & { \displaystyle \uparrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } \\ & { \displaystyle \uparrow } & { \displaystyle \uparrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & { \displaystyle \downarrow } & \end{array} +$$ + +Figure 4: Results for the $L _ { 2 }$ optimization latent attack on the VAE-GAN, targeting the mean latent vector for 0. Shown are the first 12 non-zero images from the test MNIST data set. The columns are, in order: the original image, the reconstruction of the original image, the adversarial example, the predicted class of the adversarial example, the reconstruction of the adversarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction. + +In this section we only show results where no sampling from latent space has been performed. Instead we use the mean vector $\pmb { \mu }$ as the latent representation z. As sampling can have an effect on the resulting reconstructions, we evaluated it separately. We show the results with different number of samples in Figure 22 in the Appendix. On most examples, the visible change is small and in general the attack is still successful. + +# 5.1 MNIST + +Both VAE and VAE-GAN by themselves reconstruct the original inputs well as show in Figure 9, although the quality from the VAE-GAN is noticeably better. As a control, we also generate random noise of the same magnitude as used for the adversarial examples (see Figure 13), to show that random noise does not cause the reconstructed noisy images to change in any significant way. Although we ran experiments on both VAEs and VAE-GANs, we only show results for the VAE-GAN as it generates much higher quality reconstructions than the corresponding VAE. + +# 5.1.1 CLASSIFIER ATTACK + +We use a simple classifier architecture to help generate attacks on the VAE and VAE-GAN models. The classifier consists of two fully-connected hidden layers with 512 units each, using the ReLU activation function. The output layer is a 10 dimensional softmax. The input to the classifier is the 50 dimensional latent representation produced by the VAE/VAE-GAN encoder. The classifier achieves $9 8 . 0 5 \%$ accuracy on the validation set after training for 100 epochs. + +To see if there are differences between classes, we generate targeted adversarial examples for each MNIST class and present the results per-class. For the targeted attacks we used the optimization method with lambda 0.001, where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples using the classifier attack is 3.36, while the mean RMSD is 0.120. + +Numerical results in Table 2 show that the targeted classifier attack successfully fools the classifier. Classifier accuracy is reduced to $0 \%$ , while the matching rate (the ratio between the number of predictions matching the target class and the number of incorrectly classified images) is $1 0 0 \%$ , which means that all incorrect predictions match the target class. However, what we are interested in (as per the attack definition from Section 3.2) is how the generative model reconstructs the adversarial examples. If we look at the images generated by the VAE-GAN for class 0, shown in Figure 4, the targeted attack is successful on some reconstructed images (e.g. one, four, five, six and nine are reconstructed as zeroes). But even when the classifier accuracy is $0 \%$ and matching rate is $1 0 0 \%$ , an incorrect classification does not always result in a reconstruction to the target class, which shows that the classifier is fooled by an adversarial example more easily than the generative model. + +Reconstruction feedback loop. The reconstruction feedback loop described in Section 4.5 can be used to measure how well a targeted attack succeeds in making the generative model change the reconstructed classes. Table 4 in the Appendix shows $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for all source and target class pairs. A higher value signifies a more successful attack for that pair of classes. It is interesting to observe that attacking some source/target pairs is much easier than others (e.g. pair $( 4 , 0 )$ vs. $( 0 , 8 ) )$ and that the results are not symmetric over source/target pairs. Also, some pairs do well in $A S _ { i g n o r e - t a r g e t }$ , but do poorly in $A S _ { t a r g e t }$ (e.g., all source digits when targeting 4). As can be seen in Figure 11, the classifier adversarial examples targeting 4 consistently fail to reconstruct into something easily recognizable as a 4. Most of the reconstructions look like 5, but the adversarial example reconstructions of source 5s instead look like 0 or 3. + +![](images/5fed9e5cfa266ca49cbd260956209106f34a47bffc83216642943b6f194e7712.jpg) +Figure 5: Left: representative adversarial examples with a target class of 0 on the first 100 nonzero images from the MNIST validation set. These were produced using the $L _ { 2 }$ optimization latent attack (Section 4.3). Middle: VAE-GAN reconstructions from adversarial examples produced using the $L _ { 2 }$ optimization classifier attack on the same set of 100 validation images (those adversaries are not shown, but are qualitatively similiar, see Section 4.1). Right: VAE-GAN reconstructions from the adversarial examples in the left column. Many of the classifier adversarial examples fail to reconstruct as zeros, whereas almost every adversarial example from the latent attack reconstructs as zero. + +# 5.1.2 ${ \mathcal { L } } _ { \mathrm { V A E } }$ ATTACK + +For generating adversarial examples using the $\mathcal { L } _ { \mathrm { V A E } }$ attack, we used the optimization method with $\lambda = 1 . 0$ , where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples with this approach is 3.68, while the mean RMSD is 0.131. + +We show $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ of the $\mathcal { L } _ { \mathrm { V A E } }$ attack in Table 5 in the Appendix. Comparing with the numerical evaluation results of the latent attack (below), we can see that both methods achieve similar results on MNIST. + +# 5.1.3 LATENT ATTACK + +To generate adversarial examples using the latent attack, we used the optimization method with $\lambda \ : = \ : 1 . 0$ , where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples using this approach is 2.96, while the mean RMSD is 0.105. + +Table 3 shows $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for all source and target class pairs. Comparing with the numerical evaluation results of the classifier attack we can see that the latent attack performs much better. This result remains true when visually comparing the reconstructed images, shown in Figure 5. + +We also tried an untargeted version of the latent attack, where we change Equation 2 to maximize the distance in latent space between the encoding of the original image and the encoding of the adversarial example. In this case the loss we are trying to minimize is unbounded, since the $L _ { 2 }$ distance can always grow larger, so the attack normally fails to generate a reasonable adversarial example. + +![](images/4602c37a132f43a39fd6332ac6510c46318bc65a43dc32c3816101224afd48cf.jpg) +Figure 6: Left: VAE-GAN reconstructions of adversarial examples generated using the $L _ { 2 }$ optimization $\mathcal { L } _ { \mathrm { V A E } }$ attack (single image target). Right: VAE-GAN reconstructions of adversarial examples generated using the $L _ { 2 }$ optimization latent attack (single image target). Approximately 85 out of 100 images are convincing zeros for the $L _ { 2 }$ latent attack, whereas only about 5 out of 100 could be mistaken for zeros with the ${ \mathcal { L } } _ { \mathrm { V A E } }$ attack. + +Additionally, we also experimented with targeting latent representations of specific images from the training set instead of taking the mean, as described in Section 4.3. We show the numerical results in Table 3 and the generated reconstructions in Figure 15 (in the Appendix). It is also interesting to compare the results with $\mathcal { L } _ { \mathrm { V A E } }$ , by choosing the same image as the target. Results for $\mathcal { L } _ { \mathrm { V A E } }$ for the same target images as in Table 3 are shown in Table 6 in the Appendix. The results are identical between the two attacks, which is expected as the target image is the same – only the loss function differs between the methods. + +# 5.2 SVHN + +The SVHN dataset consists of cropped street number images and is much less clean than MNIST. Due to the way the images have been processed, each image may contain more than one digit; the target digit is roughly in the center. VAE-GAN produces high-quality reconstructions of the original images as shown in Figure 17 in the Appendix. + +For the classifier attack, we set $\lambda = 1 0 ^ { - 5 }$ after testing a range of values, although we were unable to find an effective value for this attack against SVHN. For the latent and $\mathcal { L } _ { \mathrm { V A E } }$ attacks we set $\lambda = 1 0$ . + +In Table 10 we show $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for the $L _ { 2 }$ optimization latent attack. The evaluation metrics are less strong on SVHN than on MNIST, but it is still straightforward for an attacker to find a successful attack for almost all source/target pairs. Figure 2 supports this evaluation. Visual inspection shows that 11 out of the 12 adversarial examples reconstructed as 0, the target digit. It is worth noting that 2 out of the 12 adversarial examples look like zeros (rows 1 and 11), and two others look like both the original digit and zero, depending on whether the viewer focuses on the light or dark areas of the image (rows 4 and 7). The $L _ { 2 }$ optimization latent attack achieves much better results than the $\mathcal { L } _ { \mathrm { V A E } }$ attack (see Table 11 and Figure 6) on SVHN, while both attacks work equally well on MNIST. + +# 5.3 CELEBA + +The CelebA dataset consists of more than 200,000 cropped faces of celebrities, each annotated with 40 different attributes. For our experiments, we further scale the images to $6 4 \mathrm { x } 6 4$ and ignore the attribute annotations. VAE-GAN reconstructions of original images after training are shown in Figure 19 in the Appendix. + +Since faces don’t have natural classes, we only evaluated the latent and $\mathcal { L } _ { \mathrm { V A E } }$ attacks. We tried lambdas ranging from 0.1 to 0.75 for both attacks. Figure 20 shows adversarial examples generated + +
MethodMNISTMean L2 Mean RMSD Time to attackSVHNMean L2 Mean RMSD Time to attack
L2 Optimization Classifier Attack3.360.1202771.770.032274
L2 OptimizationLvAE Attack3.680.1317342.360.043895
L2 Optimization Latent Attack2.960.1052362.800.051242
+ +Table 1: Comparison of mean $L _ { 2 }$ norm and RMSD between the original images and the generated adversarial examples for the different attacks. Time to attack is the mean number of seconds it takes to generate 1000 adversarial examples using the given attack method (with the same number of optimization iterations for each attack). + +using the latent attack and a lambda value of 0.5 ( $L _ { 2 }$ norm between original images and generated adversarial examples 9.78, RMSD 0.088) and the corresponding VAE-GAN reconstructions. Most of the reconstructions reflect the target image very well. We get even better results with the $\mathcal { L } _ { \mathrm { V A E } }$ attack, using a lambda value of 0.75 $L _ { 2 }$ norm between original images and generated adversarial examples 8.98, RMSD 0.081) as shown in Figure 21. + +![](images/91bf0bb0e19b276b4c0e21c5e5c29d30a4001afc28de297cc7a71f818cacd608.jpg) +Figure 7: Summary of different attacks on CelebA dataset: reconstructions of original images (top), reconstructions of adversarial examples generated using the latent attack (middle) and $\mathcal { L } _ { \mathrm { V A E } }$ attack (bottom). Target reconstruction is shown on the right. Full results are in the Appendix. + +# 5.4 SUMMARY OF DIFFERENT ATTACK METHODS + +Table 1 shows a comparison of the mean distances between original images and generated adversarial examples for the three different attack methods. The larger the distance between the original image and the adversarial perturbation, the more noticeable the perturbation will tend to be, and the more likely a human observer will no longer recognize the original input, so effective attacks keep these distances small while still achieving their goal. The latent attack consistently gives the best results in our experiments, and the classifier attack performs the worst. + +We also measure the time it takes to generate 1000 adversarial examples using the given attack method. The $\mathcal { L } _ { \mathrm { V A E } }$ attack is by far the slowest of the three, due to the fact that it requires computing full reconstructions at each step of the optimizer when generating the adversarial examples. The other two attacks do not need to run the reconstruction step during optimization of the adversarial examples. + +# 6 CONCLUSION + +We explored generating adversarial examples against generative models such as VAEs and VAEGANs. These models are also vulnerable to adversaries that convince them to turn inputs into surprisingly different outputs. We have also motivated why an attacker might want to attack generative models. Our work adds further support to the hypothesis that adversarial examples are a general phenomenon for current neural network architectures, given our successful application of adversarial attacks to popular generative models. In this work, we are helping to lay the foundations for understanding how to build more robust networks. Future work will explore defense and robustification in greater depth as well as attacks on generative models trained using natural image datasets such as CIFAR-10 and ImageNet. + +# ACKNOWLEDGMENTS + +This material is in part based upon work supported by the National Science Foundation under Grant No. TWC-1409915. Any opinions, findings, and conclusions or recommendations expressed in this + +material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation. + +# REFERENCES + +Mart´ın Abadi and Ashish Agarwal et al. TensorFlow: Large-scale machine learning on heterogeneous systems, 2015. URL http://tensorflow.org/. Software available from tensorflow.org. + +Nicholas Carlini and David Wagner. Towards evaluating the robustness of neural networks. arXiv preprint arXiv:1608.04644, 2016. + +Alexey Dosovitskiy, Jost Springenberg, Maxim Tatarchenko, and Thomas Brox. Learning to generate chairs, tables and cars with convolutional networks. IEEE Transactions on Pattern Analysis and Machine Intelligence, PP(99):1–1, 2016. ISSN 0162-8828. doi: 10.1109/TPAMI.2016. 2567384. + +I. J. Goodfellow, J. Pouget-Abadie, M. Mirza, B. Xu, D. Warde-Farley, S. Ozair, A. Courville, and Y. Bengio. Generative Adversarial Networks. ArXiv e-prints, June 2014. + +Ian J Goodfellow, Jonathon Shlens, and Christian Szegedy. Explaining and harnessing adversarial examples. arXiv preprint arXiv:1412.6572, 2014. + +Ruitong Huang, Bing Xu, Dale Schuurmans, and Csaba Szepesvari. Learning with a strong adver- ´ sary. CoRR, abs/1511.03034, 2015. + +Nal Kalchbrenner, Aaron van den Oord, Karen Simonyan, Ivo Danihelka, Oriol Vinyals, Alex Graves, and Koray Kavukcuoglu. Video pixel networks. arXiv preprint arXiv:1610.00527, 2016. + +Diederik Kingma and Jimmy Ba. Adam: A method for stochastic optimization. 2015. + +Diederik P Kingma and Max Welling. Auto-encoding variational bayes. arXiv preprint arXiv:1312.6114, 2013. + +Diederik P Kingma, Shakir Mohamed, Danilo Jimenez Rezende, and Max Welling. Semi-supervised learning with deep generative models. In Advances in Neural Information Processing Systems, pp. 3581–3589, 2014. + +Tejas D Kulkarni, William F Whitney, Pushmeet Kohli, and Josh Tenenbaum. Deep convolutional inverse graphics network. In Advances in Neural Information Processing Systems, pp. 2539–2547, 2015. + +Alexey Kurakin, Ian J. Goodfellow, and Samy Bengio. Adversarial examples in the physical world. CoRR, abs/1607.02533, 2016. + +Anders Boesen Lindbo Larsen, Søren Kaae Sønderby, and Ole Winther. Autoencoding beyond pixels using a learned similarity metric. arXiv preprint arXiv:1512.09300, 2015. + +Yann LeCun, Leon Bottou, Yoshua Bengio, and Patrick Haffner. Gradient-based learning applied to ´ document recognition. Proceedings of the IEEE, 86(11):2278–2324, 1998. + +Ziwei Liu, Ping Luo, Xiaogang Wang, and Xiaoou Tang. Deep learning face attributes in the wild. In Proceedings of International Conference on Computer Vision (ICCV), 2015. + +Seyed-Mohsen Moosavi-Dezfooli, Alhussein Fawzi, and Pascal Frossard. Deepfool: a simple and accurate method to fool deep neural networks. 2016. + +Yuval Netzer, Tao Wang, Adam Coates, Alessandro Bissacco, Bo Wu, and Andrew Y Ng. Reading digits in natural images with unsupervised feature learning. 2011. + +Anh Mai Nguyen, Jason Yosinski, and Jeff Clune. Deep neural networks are easily fooled: High confidence predictions for unrecognizable images. CoRR, abs/1412.1897, 2014. + +Aaron van den Oord, Nal Kalchbrenner, Oriol Vinyals, Lasse Espeholt, Alex Graves, and Koray Kavukcuoglu. Conditional image generation with pixelcnn decoders. arXiv preprint arXiv:1606.05328, 2016. +Nicolas Papernot, Patrick McDaniel, Somesh Jha, Matt Fredrikson, Z Berkay Celik, and Ananthram Swami. The limitations of deep learning in adversarial settings. In Proceedings of the 1st IEEE European Symposium on Security and Privacy, 2015. +Nicolas Papernot, Patrick McDaniel, Ian Goodfellow, Somesh Jha, Z Berkay Celik, and Ananthram Swami. Practical black-box attacks against deep learning systems using adversarial examples. arXiv preprint arXiv:1602.02697, 2016. +Sara Sabour, Yanshuai Cao, Fartash Faghri, and David J. Fleet. Adversarial manipulation of deep representations. CoRR, abs/1511.05122, 2015. URL http://arxiv.org/abs/1511. 05122. +Christian Szegedy, Wojciech Zaremba, Ilya Sutskever, Joan Bruna, Dumitru Erhan, Ian Goodfellow, and Rob Fergus. Intriguing properties of neural networks. arXiv preprint arXiv:1312.6199, 2013. +P. Tabacof, J. Tavares, and E. Valle. Adversarial Images for Variational Autoencoders. ArXiv eprints, December 2016. +George Toderici, Sean M O’Malley, Sung Jin Hwang, Damien Vincent, David Minnen, Shumeet Baluja, Michele Covell, and Rahul Sukthankar. Variable rate image compression with recurrent neural networks. arXiv preprint arXiv:1511.06085, 2015. +George Toderici, Damien Vincent, Nick Johnston, Sung Jin Hwang, David Minnen, Joel Shor, and Michele Covell. Full resolution image compression with recurrent neural networks. arXiv preprint arXiv:1608.05148, 2016. +Aaron van den Oord, Sander Dieleman, Heiga Zen, Karen Simonyan, Oriol Vinyals, Alex Graves, ¨ Nal Kalchbrenner, Andrew W. Senior, and Koray Kavukcuoglu. Wavenet: A generative model for raw audio. CoRR, abs/1609.03499, 2016. URL http://arxiv.org/abs/1609.03499. + +# A APPENDIX + +# A.1 MEAN LATENT VECTOR TARGETED ATTACK + +A variant of the single latent vector targeted attack described in Section 4.3, that was not explored in previous work to our knowledge is to take the mean latent vector of many target images and use that vector as $\mathbf { x } _ { t }$ . This variant is more flexible, in that the attacker can choose different latent properties to target without needing to find the ideal input. For example, in MNIST, the attacker may wish to have a particular line thickness or slant in the reconstructed digit, but may not have such an image available. In that case, by choosing some images of the target class with thinner lines or less slant, and some with thicker lines or more slant, the attacker can find a target latent vector that closely matches the desired properties. + +In this case, the attack starts by using $f _ { \mathrm { e n c } }$ to produce the target latent vector, $\mathbf { z } _ { t }$ , from the chosen target images, $\mathbf { x } _ { ( t ) }$ . + +$$ +\mathbf { z } _ { t } = \frac { 1 } { | \mathbf { x } _ { ( t ) } | } \sum _ { i = 0 } ^ { | \mathbf { x } _ { ( t ) } | } f _ { \mathrm { e n c } } ( \mathbf { x } _ { ( t ) } ^ { i } ) . +$$ + +In this work, we choose to reconstruct “ideal” MNIST digits by taking the mean latent vector of all of the training digits of each class, and using those vectors as $\mathbf { x } _ { t }$ . Given a target class $y _ { t }$ , a set of examples $\mathcal { X }$ and their corresponding ground truth labels $\mathbf { y }$ , we create a subset $\mathbf { x } _ { ( t ) }$ as follows: + +$$ +\mathbf { x } _ { ( t ) } = \{ \mathbf { x } _ { i } | \mathbf { x } _ { i } \in \mathcal { X } \land y _ { i } = y _ { t } \} . +$$ + +Both variants of this attack appear to be similarly effective, as shown in Figure 15 and Figure 5. The trade-off between the two in these experiments is between the simplicity of the first attack and the flexibility of the second attack. + +![](images/a4e991e6b4b54b10377d1b6c5edbd3845d978b847105b02cf3946b8dadfe30e6.jpg) +Figure 8: Variational autoencoder architecture. + +# A.2 EVALUATION RESULTS + +![](images/9e33e2bb9919f883011ad07b32af85cb4dafc15859479b19d60f6a8a9553df38.jpg) +Figure 9: Original Inputs and Reconstructions: The first 100 images from the validation set reconstructed by the VAE (left) and the VAE-GAN (right). + +![](images/79a4b0e12efc771091d6ef01080c4bc9e1fc42b0944c87fac7339dfe57eaeea9.jpg) +Figure 10: Untargeted FGS $\mathcal { L } _ { \mathrm { V A E } }$ Attack: VAE reconstructions (left) and VAE-GAN reconstructions (right). Note the difference in reconstructions compared to Figure 9. Careful visual inspection reveals that none of the VAE reconstructions change class, and only two of the VAE-GAN reconstructions change class (a 6 to a 0 in the next-to-last row, and a 9 to a 4 in the last row). Combining FGS with $\mathcal { L } _ { \mathrm { V A E } }$ does not seem to give an effective attack. + +Table 2: $L _ { 2 }$ Optimization Classifier Attack on MNIST: $f _ { \mathrm { c l a s s } }$ accuracy on adversarial examples against the VAE-GAN for each target class (middle row) and the matching rate between the predictions $f _ { \mathrm { c l a s s } }$ made and the adversarial target class (bottom row). The adversarial examples successfully fool $f _ { \mathrm { c l a s s } }$ into predicting the target class almost $1 0 0 \%$ of the time, which makes this attack seem like a strong attack, but the attack actually fails to generate good reconstructions in many cases. Reconstructions for target classes 0 and 4 can be seen in Figure 4 and Figure 11. + +
Target0123456789
Classifieraccuracy1.98%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%
Matching rate95.06%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%99.89%
+ +Table 3: $L _ { 2 }$ Optimization Latent Attack on MNIST (single latent vector target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. + +
SourceTarget 0Target1Target2Target3Target 4Target5Target6Target7Target8Target9
0-85.54%100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(92.77%)
100.00%(34.94%)(100.00%) 100.00%(13.25%) 100.00%(75.90%)100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
97.37%
2(100.00%)(55.26%)-100.00% (55.26%)(88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00% (100.00%)90.65% (89.72%)100.00% (100.00%)-100.00%94.39%100.00%85.05%100.00%90.65%
4100.00%97.27%100.00%100.00%(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
(100.00%)-100.00%100.00%100.00%100.00%100.00%
5100.00%(67.27%)(100.00%)(18.18%)(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
(100.00%)96.55%100.00%2.30%100.00%-100.00%98.85%100.00%95.40%
6(80.46%)(100.00%)(2.30%)(96.55%)(100.00%)(89.66%)(0.00%)(94.25%)
100.00%87.36%100.00%100.00%100.00%100.00%-100.00%100.00%100.00%
7(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)(98.85%)(0.00%)(96.55%)
100.00%90.91%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
8(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)(0.00%)(100.00%)
100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
9(100.00%)(71.59%)(100.00%)(35.23%)(97.73%)(62.50%)(100.00%)(92.05%)-(96.59%)
100.00% (100.00%)95.65% (75.00%)100.00% (100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00%100.00%
+ +Table 4: $L _ { 2 }$ Optimization Classifier Attack on MNIST: ASignore−target ${ } ^ { \prime } A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. + +
SourceTarget 0Target 1Target2Target3Target 4Target5Target 6Target7Target8Target9
040.96%(1.20%)6.02%(4.82%)10.84%(7.23%)75.90%(0.00%)6.02%(3.61%)28.92%
(28.92%)
37.35%(20.48%)6.02%(1.20%)10.84%(3.61%)
199.20%(77.60%)-7.20%(5.60%)1.60%(1.60%)85.60%(0.00%)8.00%(5.60%)28.80%
(28.00%)
8.80%(7.20%)
(7.20%)
3.20%(1.60%)69.60%(0.80%)
285.96%(80.70%)3.51%(2.63%)-29.82%(23.68%)78.95%(0.00%)72.81%%72.81%35.09%41.23%68.42%
(20.18%)(46.49%)(8.77%)(12.28%)(2.63%)
393.46%(83.18%)26.17%(12.15%)27.10%(16.82%)-67.29%(0.00%)66.36%(62.62%)87.85%(22.43%)50.47%(27.10%)23.36%(8.41%)33.64%(8.41%)
4100.00%(82.73%)70.00%(48.18%)28.18%(10.91%)84.55%(17.27%)-66.36%(31.82%)95.45%(71.82%)62.73%(37.27%)20.91%(0.91%)51.82%(44.55%)
593.10%(89.66%)21.84%(1.15%)68.97%(11.49%)28.74%(18.39%)3.45%(0.00%)-20.69%(19.54%)80.46%(41.38%)22.99%(2.30%)44.83%(12.64%)
629.89%(28.74%)44.83%(1.15%)24.14%(3.45%)59.77%(11.49%)77.01%(0.00%)10.34%(8.05%)-62.07%(8.05%)8.05%(0.00%)75.86%(4.60%)
779.80%(65.66%)77.78%(26.26%)
(8.08%)(4.04%)
100.00%(0.00%)56.57%(23.23%)97.98%(17.17%)-38.38%(1.01%)17.17%(10.10%)
894.32%(84.09%)96.59%(18.18%)60.23%(42.05%)57.95%(43.18%)100.00%(0.00%)93.18%(80.68%)100.00%(57.95%)100.00%(34.09%)-87.50%(26.14%)
998.91%(79.35%)97.83%(33.70%)26.09%(1.09%)17.39%(2.17%)100.00%(0.00%)22.83%(21.74%)100.00%(30.43%)47.83%(43.48%)31.52%(4.35%)-
+ +$$ +\begin{array} { l } { \frac { 1 } { 5 } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \mathcal { O } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \textit { s } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { L } } } \\ { \mathrm { \mathcal { S } } ^ { - } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \\ { \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } \leq \textrm { \mathcal { S } } } \end{array} +$$ + +Figure 11: $L _ { 2 }$ Optimization Classifier Attack: Reconstructions of the first 100 adversarial examples targeting 4, demonstrating why the $A S _ { t a r g e t }$ metric is 0 for all source digits. + +Table 5: $L _ { 2 }$ Optimization $\mathcal { L } _ { \mathrm { V A E } }$ Attack on MNIST (single image target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) for different source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. + +
SourceTarget 0Target1Target 2Target 3Target 4Target5Target 6Target7Target8Target9
0-90.36%(14.46%)100.00%(100.00%)100.00%(98.80%)100.00%(61.45%)91.57%(90.36%)100.00%(96.39%)68.67%100.00%
(50.60%)(91.57%)
98.80%(37.35%)
1100.00%(100.00%)-100.00%(100.00%)100.00%(100.00%)100.00%(99.20%)100.00%(100.00%)100.00%(97.60%)100.00%(96.00%)100.00%(100.00%)100.00%(96.00%)
2100.00%(100.00%)84.21%(60.53%)-100.00%(100.00%)90.35%(71.93%)100.00%(85.96%)88.60%(88.60%)97.37%(76.32%)94.74%(94.74%)97.37%(35.09%)
3100.00%(100.00%)75.70%(66.36%)100.00%(100.00%)-94.39%(52.34%)99.07%(99.07%)98.13%(82.24%)64.49%(53.27%)100.00%(96.26%)67.29%(31.78%)
4100.00%(100.00%)100.00%(52.73%)100.00%(100.00%)100.00%(100.00%)-100.00%(97.27%)100.00%(100.00%)100.00%(99.09%)100.00%(100.00%)85.45%(83.64%)
5100.00%(100.00%)96.55%(40.23%)100.00%(100.00%)100.00%(100.00%)93.10%(59.77%)-100.00%(95.40%)93.10%(71.26%)96.55%(96.55%)83.91%(51.72%)
6100.00%(100.00%)97.70%(70.11%)100.00%(100.00%)100.00%(100.00%)100.00%(91.95%)100.00%(100.00%)-97.70%(67.82%)100.00%(98.85%)95.40%(50.57%)
7100.00%(100.00%)85.86%(58.59%)100.00%(100.00%)100.00%(100.00%)100.00%(98.99%)100.00%(97.98%)100.00%(79.80%)-100.00%(98.99%)100.00%(96.97%)
8100.00%(100.00%)69.32%(44.32%)100.00%(100.00%)100.00%(100.00%)54.55%(53.41%)96.59%(96.59%)95.45%(92.05%)73.86%(52.27%)-42.05%(29.55%)
9100.00%(100.00%)100.00%(44.57%)100.00%(100.00%)100.00%(100.00%)96.74%(95.65%)100.00%(97.83%)100.00%(100.00%)100.00%(97.83%)100.00%(100.00%)-
+ +![](images/3e94916444feaab66e43761d4bb0fa8cdf042db86b78a12f565fac2483b0c15e.jpg) +Figure 12: Untargeted FGS Classifer Attack: Adversarial examples (left) and their reconstructions by the generative model (right) for the first 100 images from the MNIST validation set. Top results are for VAE, while bottom results are for VAE-GAN. Note the difference in quality of the reconstructed adversarial examples. + +![](images/346f07d112946bcd809d8ce50bc1ed80f0e49bafd28afed6b1e1156ca79886a1.jpg) +Figure 13: Original images with random noise added (top) and their reconstructions by VAE (bottom left) and VAE-GAN (bottom right). The magnitude of the random noise is the same as for the generated adversarial noise shown in Figure 12. Random noise does not cause the reconstructed images to change in a significant way. + +Table 6: $L _ { 2 }$ Optimization LVAE Attack (mean reconstruction target): ASignore−target $( A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean reconstruction image for each target class (over all of the images of that class in the training set) is used as the target reconstruction. Higher values indicate more successful attacks against the generative model. + +
SourceTarget0Target1Target 2Target3Target4Target5Target 6Target7Target8Target9
0-85.54% (34.94%)100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(75.90%)
100.00%(100.00%) 100.00%(13.25%) 100.00%(92.77%) 100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
100.00%
2(100.00%)(55.26%)-(55.26%)97.37% (88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00%90.65%100.00%100.00%94.39%100.00%85.05%100.00%90.65%
(100.00%)(89.72%)(100.00%)-(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
4100.00%97.27%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(67.27%)(100.00%)(18.18%)-(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
5100.00%96.55%100.00%2.30%100.00%100.00%98.85%100.00%95.40%
(100.00%)(80.46%)(100.00%)(2.30%)(96.55%)-(100.00%)(89.66%)(0.00%)(94.25%)
6100.00%87.36%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)-(98.85%)(0.00%)(96.55%)
7100.00%90.91%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)-(0.00%)(100.00%)
8100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
(100.00%)(71.59%)(100.00%)(35.23%)(97.73%)(92.05%)-
9100.00%95.65%100.00%(62.50%)(100.00%)(96.59%)
(100.00%)(75.00%)(100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00% (100.00%)100.00% (0.00%)-
+ +
SourceTarget 0Target 1Target 2Target 3Target 4Target5Target6Target 7Target 8Target9
0-40.96% (10.84%)65.06%53.01%62.65%36.14%59.04%46.99%13.25%44.58%
1100.00%(65.06%) 100.00%(46.99%)(54.22%)(36.14%)(59.04%)(46.99%)(12.05%)(27.71%)
(100.00%)-(100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00%
296.49%60.53%95.61%78.07%98.25%94.74%71.05%52.63%(96.80%) 75.44%
(96.49%)(59.65%)-(95.61%)(75.44%)(71.05%)(90.35%)(69.30%)(50.88%)(42.98%)
3100.00% (100.00%)87.85% (66.36%)90.65% (90.65%)-85.98%95.33%79.44%65.42%59.81%70.09%
99.09%67.27%96.36%(73.83%)(95.33%)(53.27%)(64.49%)(46.73%)(58.88%)
4(99.09%)(66.36%)(96.36%)100.00% (81.82%)-100.00%93.64%98.18%97.27%39.09%
100.00%100.00%70.11%(98.18%)(93.64%)(95.45%)(92.73%)(39.09%)
579.31%80.46%-73.56%87.36%55.17%75.86%
(100.00%)(51.72%)(83.91%)(70.11%)(72.41%)(73.56%)(73.56%)(52.87%)(65.52%)
697.70%68.97%96.55%95.40%73.56%87.36%88.51%90.80%91.95%
(97.70%)(50.57%)(96.55%)(71.26%)(73.56%)(77.01%)-(72.41%)(55.17%)(35.63%)
7100.00%83.84%100.00%100.00%93.94%98.99%88.89%100.00%50.51%
(97.98%)(83.84%)(100.00%)(100.00%)(90.91%)(96.97%)(81.82%)-(86.87%)(50.51%)
8100.00%96.59%100.00%98.86%94.32%98.86%98.86%98.86%87.50%
(100.00%)(78.41%)(100.00%)(95.45%)(86.36%)(98.86%)(93.18%)(73.86%)-
9100.00%100.00%100.00%98.91%100.00%100.00%97.83%98.91%97.83%(78.41%)
+ +Table 7: $L _ { 2 }$ Optimization Latent Attack (mean latent vector target): $A S _ { i g n o r e - t a r g e t }$ $. A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean latent vector for each target class (over all of the images of that class in the training set) is used as the target latent vector. Higher values indicate more successful attacks against the generative model. + +![](images/c031cf329f194045d9bc0fc8daee8fba2835175bf606f51dab550f2432558da8.jpg) +Figure 14: $L _ { 2 }$ Optimization Latent Attack (mean latent vector targets): VAE-GAN reconstructions of adversarial examples with target classes from 1 through 9. Original examples which already belong to the target class are excluded. + +Table 8: $L _ { 2 }$ Optimization $\mathcal { L } _ { \mathrm { V A E } }$ Attack (mean reconstruction target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean image for each target class (over all of the images of that class in the training set) is used as the target. Higher values indicate more successful attacks against the generative model. + +
SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target7Target8Target9
0-95.18%(9.64%)100.00%(100.00%)98.80%(93.98%)100.00%(48.19%)91.57%100.00%73.49%100.00%
(89.16%)(89.16%)(43.37%)(87.95%)(25.30%)
1100.00%(100.00%)-100.00%(100.00%)100.00%(100.00%)100.00%(92.80%)100.00%(97.60%)100.00%(98.40%)100.00%(76.00%)100.00%(100.00%)100.00%(90.40%)
298.25%(98.25%)83.33%(48.25%)-100.00%(100.00%)88.60%(43.86%)99.12%(63.16%)74.56%(71.93%)99.12%(63.16%)93.86%(92.98%)99.12%(21.05%)
399.07%(98.13%)57.01%(42.99%)99.07%(99.07%)-82.24%(36.45%)89.72%(88.79%)99.07%(61.68%)57.01%(37.38%)98.13%(92.52%)67.29%(18.69%)
4100.00%(100.00%)100.00%(37.27%)100.00%(100.00%)100.00%(99.09%)-100.00%(80.00%)98.18%(93.64%)100.00%(94.55%)100.00%(99.09%)86.36%(80.00%)
5100.00%(100.00%)97.70%(19.54%)100.00%(98.85%)98.85%(98.85%)85.06%(44.83%)-95.40%(88.51%)93.10%(45.98%)96.55%(96.55%)87.36%(34.48%)
6100.00%(100.00%)96.55%(58.62%)100.00%(98.85%)100.00%(98.85%)100.00%(86.21%)100.00%(97.70%)100.00%(56.32%)100.00%(96.55%)95.40%(43.68%)
7100.00%(100.00%)80.81%(40.40%)100.00%(100.00%)100.00%(98.99%)100.00%(92.93%)100.00%(87.88%)100.00%(62.63%)-100.00%(97.98%)100.00%(88.89%)
8100.00%(100.00%)44.32%(18.18%)100.00%(100.00%)100.00%(100.00%)30.68%(28.41%)78.41%(76.14%)89.77%(81.82%)75.00%(38.64%)-22.73%(15.91%)
9100.00%(100.00%)98.91%(17.39%)100.00%(100.00%)100.00%(100.00%)97.83%(92.39%)100.00%(89.13%)100.00%(92.39%)98.91%(94.57%)100.00%(100.00%)-
+ +![](images/d880cf4848602a480ac76dde77ce6dbbbda6712c72a4f811a5263f68e6a4fe56.jpg) +Figure 15: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): VAE-GAN reconstructions of adversarial examples generated using the latent attack with target classes 0 and 7 using two random targets in latent space per target class. Original examples which already belong to the target class are excluded. The stylistic differences in the reconstructions are clearly visible. + +![](images/4fe9505d0fc27babca467a8d9e2b5f7b7b6a2adf9a683e553b124e3497cda4ca.jpg) +Figure 16: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): t-SNE plot of the latent space, with the addition of green circles representing the adversarial examples for target class 0. In this plot, it appears that the adversarial examples cluster around 6 (yellow) and 0 (red). + +
SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target 7Target8Target9
0-92.77% (38.55%)100.00%100.00%100.00%100.00%100.00%79.52%97.59% (90.36%)100.00% (62.65%)
(22.89%)
1100.00%-(100.00%) 100.00%(66.27%) 100.00%(34.94%) 100.00%100.00%(100.00%) 100.00%(63.86%) 100.00%100.00%100.00%
(100.00%) 97.37%97.37%(100.00%)(99.20%) 100.00%(90.40%) 98.25%(0.80%) 100.00%(100.00%) 100.00%(100.00%) 97.37%(100.00%) 89.47%(100.00%) 100.00%
2(97.37%) 100.00%(57.02%) 89.72%- 100.00%(87.72%)(42.11%) 62.62%(50.88%) 91.59%(99.12%) 100.00%(89.47%) 95.33%(89.47%) 97.20%(81.58%) 90.65%
3 4(100.00%)(85.05%)(100.00%)-(48.60%)(45.79%)(99.07%)(90.65%)(94.39%)(79.44%)
100.00%95.45%100.00%100.00%100.00%100.00%100.00%100.00%99.09%
5(100.00%)(67.27%)(100.00%)(73.64%)-(30.00%)(100.00%)(99.09%)(99.09%)(99.09%)
100.00%98.85%100.00%73.56%83.91%100.00%90.80%100.00%87.36%
(100.00%)(79.31%)(100.00%)(73.56%)(34.48%)-(100.00%)(87.36%)(100.00%)
100.00%86.21%100.00%(82.76%)
6(100.00%)100.00%95.40%10.34%-100.00%100.00%100.00%
(79.31%)(100.00%)(88.51%)(71.26%)(10.34%)(83.91%)(97.70%)(70.11%)
7100.00% (100.00%)91.92%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
(79.80%)(100.00%)(87.88%)(63.64%)(58.59%)(100.00%)(100.00%)(100.00%)
8100.00%88.64%100.00%100.00%95.45%96.59%100.00%96.59%95.45%
(100.00%)(73.86%)(100.00%)(46.59%)(44.32%)(31.82%)(100.00%)(94.32%)-
9100.00%96.74%100.00%100.00%66.30%100.00%100.00%98.91%100.00%(79.55%)
+ +![](images/b61069b8c6c3a985b798cec0d4eb8a682eefa46fcbdb80437e4997e15bf350e1.jpg) +Table 9: $L _ { 2 }$ Optimization $\mathcal { L } _ { \mathrm { V A E } }$ Attack on MNIST (single image target): ASignore−target $( A S _ { t a r g e t }$ in parentheses) for different source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. +Figure 17: Original Inputs and Reconstructions: The first 100 images from the SVHN validation set (left) reconstructed by VAE-GAN (right). + +
SourceTarget0Target 1Target2Target3Target 4Target5Target6Target7Target8Target9
0-64.29%(40.00%)78.57%(61.43%)92.86%(80.00%)84.29%(57.14%)98.57%(98.57%)94.29%88.57%95.71%95.71%
(38.57%)(54.29%)(11.43%)(25.71%)
176.80%(70.72%)-74.59%(67.40%)93.37%(88.95%)75.69%(65.19%)98.34%(97.79%)86.74%(24.86%)46.96%(36.46%)96.13%(4.97%)96.13%(28.73%)
282.93%(65.85%)57.93%(42.68%)-90.24%(86.59%)53.66%(46.34%)99.39%(98.17%)82.93%(14.02%)71.34%(57.32%)71.34%(6.71%)24.39%(23.17%)
392.17%(64.35%)58.26%(41.74%)83.48%(68.70%)-84.35%(49.57%)96.52%(95.65%)53.91%(23.48%)90.43%(56.52%)93.04%(5.22%)93.91%(33.91%)
474.44%(55.56%)47.78%(43.33%)70.00%(61.11%)86.67%(77.78%)-100.00%(98.89%)93.33%(35.56%)90.00%(36.67%)85.56%(14.44%)94.44%(27.78%)
575.31%(50.62%)59.26%(43.21%)88.89%(58.02%)97.53%(88.89%)72.84%(53.09%)-37.04%(18.52%)80.25%(41.98%)32.10%(6.17%)92.59%(30.86%)
667.44%(47.67%)56.98%(27.91%)84.88%(55.81%)86.05%(79.07%)65.12%(39.53%)94.19%(94.19%)-90.70%(33.72%)58.14%(10.47%)87.21%(22.09%)
787.34%(63.29%)55.70%(48.10%)79.75%(74.68%)92.41%(79.75%)69.62%(41.77%)97.47%(89.87%)93.67%(18.99%)-91.14%(7.59%)97.47%(17.72%)
898.33%(63.33%)78.33%(38.33%)80.00%(63.33%)100.00%(88.33%)93.33%(48.33%)98.33%(96.67%)96.67%(35.00%)96.67%(50.00%)95.00%(31.67%)
987.88%(66.67%)72.73%(43.94%)92.42%(80.30%)93.94%(86.36%)80.30%(51.52%)95.45%(93.94%)98.48%(27.27%)92.42%(62.12%)93.94%(9.09%)-
+ +Table 10: $L _ { 2 }$ Optimization Latent Attack on SVHN (single latent vector target): $A S _ { i g n o r e - t a r g e t }$ $. A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. + +
SourceTarget 0Target1Target 2Target3Target 4Target5Target6Target7Target8Target9
0-30.00%(12.86%)32.86%(5.71%)34.29%(5.71%)28.57%(0.00%)30.00%30.00%30.00%30.00%
(1.43%)(5.71%)(0.00%)(1.43%)
31.43%(0.00%)
113.26%(1.10%)-7.73%(1.66%)18.78%(4.97%)13.26%(3.31%)12.15%(0.00%)11.60%(0.55%)9.94%(1.10%)10.50%(1.10%)16.02%(0.55%)
223.17%(0.61%)13.41%(3.66%)-17.07%(3.05%)14.63%(1.83%)14.63%(2.44%)15.24%(0.00%)15.24%(1.22%)14.02%(0.61%)15.24%(1.22%)
330.43%(0.87%)26.09%(7.83%)30.43%(2.61%)30.43%(0.00%)29.57%(6.96%)27.83%(0.00%)27.83%
(1.74%)
28.70%(2.61%)33.91%(6.09%)
421.11%(0.00%)15.56%(5.56%)16.67%(2.22%)25.56%(4.44%)-16.67%(1.11%)18.89%(0.00%)16.67%(1.11%)18.89%(2.22%)22.22%(0.00%)
532.10%(0.00%)28.40%(3.70%)27.16%(3.70%)32.10%(8.64%)24.69%(2.47%)-28.40%(6.17%)23.46%(0.00%)27.16%(3.70%)27.16%(0.00%)
627.91%(4.65%)25.58%(4.65%)26.74%(0.00%)33.72%(3.49%)30.23%(2.33%)20.93%(4.65%)31.40%(0.00%)24.42%(3.49%)32.56%(0.00%)
730.38%(0.00%)27.85%(12.66%)26.58%(10.13%)31.65%(5.06%)31.65%(0.00%)30.38%(0.00%)32.91%(0.00%)130.38%(0.00%)34.18%(1.27%)
840.00%(5.00%)35.00%(0.00%)33.33%(3.33%)43.33%(6.67%)40.00%(3.33%)35.00%(1.67%)41.67%(11.67%)38.33%(0.00%)-36.67%(0.00%)
934.85%(6.06%)33.33%(12.12%)33.33%(9.09%)40.91%(4.55%)31.82%(3.03%)31.82%(0.00%)33.33%(0.00%)34.85%(0.00%)31.82%(1.52%)-
+ +![](images/759586eec46ac86682146e3355a4586adb1a917a1aba5fd90218eb6cdb9255fe.jpg) +Table 11: $L _ { 2 }$ Optimization $\mathcal { L } _ { \mathrm { V A E } }$ Attack on SVHN (single image target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. + +![](images/e7fd48d1f82a80b1e1f8dd310e2d44350f2c1ff621740102a44e510fd1c370f9.jpg) +Figure 18: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): Nearest neighbors in latent space for generated adversarial examples (target class 0) on the first 100 images from the MNIST (left) and SVHN (right) validation sets. +Figure 19: Original images in the CelebA dataset (left) and their VAE-GAN reconstructions (right). + +![](images/6e2c7cc4939491be453d585bdb4764ef951b56408f940c448247cebcf8e2b54f.jpg) +Figure 20: $L _ { 2 }$ Optimization Latent Attack on CelebA Dataset (single latent vector target): Adversarial examples generated for 100 images from the CelebA dataset (left) and their VAE-GAN reconstructions (right). + +![](images/d7b2b50274a6a600062ced3fbb727edddb5bf426ed4704f7af548a7a73a2aa0c.jpg) +Figure 21: $L _ { 2 }$ Optimization LVAE Attack on CelebA Dataset (single image target): Adversarial examples generated for 100 images from the CelebA dataset (left) and their VAE-GAN reconstructions (right). + +![](images/b7e2167c347255dc983433f61afff19ebb5dfde7ff2ab62c9b14a192565c6ebb.jpg) +Figure 22: Effect of sampling on adversarial reconstructions. Columns in order: original image, reconstruction of the original image (no sampling, just the mean), reconstruction of the original image (1 sample), reconstruction of the original image (12 samples), reconstruction of the original image (50 samples), adversarial example (latent attack), reconstruction of the adversarial example (no sampling, just the mean), reconstruction of the adversarial example (1 sample), reconstruction of the adversarial example (12 samples), reconstruction of the adversarial example (50 samples). \ No newline at end of file diff --git a/parse/train/SJk01vogl/SJk01vogl_content_list.json b/parse/train/SJk01vogl/SJk01vogl_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..952a4f485267f13e80a177793f4a3d3ecdcf8897 --- /dev/null +++ b/parse/train/SJk01vogl/SJk01vogl_content_list.json @@ -0,0 +1,2156 @@ +[ + { + "type": "text", + "text": "ADVERSARIAL EXAMPLES FOR GENERATIVE MODELS ", + "text_level": 1, + "bbox": [ + 176, + 101, + 813, + 121 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jernej Kos National University of Singapore ", + "bbox": [ + 183, + 145, + 403, + 174 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Ian Fischer Google Research ", + "bbox": [ + 431, + 145, + 545, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Dawn Song University of California, Berkeley ", + "bbox": [ + 575, + 145, + 800, + 174 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 452, + 210, + 544, + 224 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We explore methods of producing adversarial examples on deep generative models such as the variational autoencoder (VAE) and the VAE-GAN. Deep learning architectures are known to be vulnerable to adversarial examples, but previous work has focused on the application of adversarial examples to classification tasks. Deep generative models have recently become popular due to their ability to model input data distributions and generate realistic examples from those distributions. We present three classes of attacks on the VAE and VAE-GAN architectures and demonstrate them against networks trained on MNIST, SVHN and CelebA. Our first attack leverages classification-based adversaries by attaching a classifier to the trained encoder of the target generative model, which can then be used to indirectly manipulate the latent representation. Our second attack directly uses the VAE loss function to generate a target reconstruction image from the adversarial example. Our third attack moves beyond relying on classification or the standard loss for the gradient and directly optimizes against differences in source and target latent representations. We also motivate why an attacker might be interested in deploying such techniques against a target generative network. ", + "bbox": [ + 233, + 238, + 764, + 460 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 483, + 336, + 500 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Adversarial examples have been shown to exist for a variety of deep learning architectures.1 They are small perturbations of the original inputs, often barely visible to a human observer, but carefully crafted to misguide the network into producing incorrect outputs. Seminal work by Szegedy et al. (2013) and Goodfellow et al. (2014), as well as much recent work, has shown that adversarial examples are abundant and finding them is easy. ", + "bbox": [ + 174, + 513, + 823, + 584 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Most previous work focuses on the application of adversarial examples to the task of classification, where the deep network assigns classes to input images. The attack adds small adversarial perturbations to the original input image. These perturbations cause the network to change its classification of the input, from the correct class to some other incorrect class (possibly chosen by the attacker). Critically, the perturbed input must still be recognizable to a human observer as belonging to the original input class.2 ", + "bbox": [ + 174, + 590, + 825, + 674 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep generative models, such as Kingma & Welling (2013), learn to generate a variety of outputs, ranging from handwritten digits to faces (Kulkarni et al., 2015), realistic scenes (Oord et al., 2016), videos (Kalchbrenner et al., 2016), 3D objects (Dosovitskiy et al., 2016), and audio (van den Oord et al., 2016). These models learn an approximation of the input data distribution in different ways, and then sample from this distribution to generate previously unseen but plausible outputs. ", + "bbox": [ + 174, + 681, + 825, + 751 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To the best of our knowledge, no prior work has explored using adversarial inputs to attack generative models. There are two main requirements for such work: describing a plausible scenario in which an attacker might want to attack a generative model; and designing and demonstrating an attack that succeeds against generative models. We address both of these requirements in this work. ", + "bbox": [ + 174, + 758, + 823, + 814 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "One of the most basic applications of generative models is input reconstruction. Given an input image, the model first encodes it into a lower-dimensional latent representation, and then uses that representation to generate a reconstruction of the original input image. Since the latent representation usually has much fewer dimensions than the original input, it can be used as a form of compression. The latent representation can also be used to remove some types of noise from inputs, even when the network has not been explicitly trained for denoising, due to the lower dimensionality of the latent representation restricting what information the trained network is able to represent. Many generative models also allow manipulation of the generated output by sampling different latent values or modifying individual dimensions of the latent vectors without needing to pass through the encoding step. ", + "bbox": [ + 174, + 820, + 823, + 863 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 200 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "These properties of input reconstruction generative networks suggest a variety of different attacks that would be enabled by effective adversaries against generative networks. Any attack that targets the compression bottleneck of the latent representation can exploit natural security vulnerabilities in applications built to use that latent representation. Specifically, if the person doing the encoding step is separated from the person doing the decoding step, the attacker may be able to cause the encoding party to believe they have encoded a particular message for the decoding party, but in reality they have encoded a different message of the attacker’s choosing. We explore this idea in more detail as it applies to the application of compressing images using a VAE or VAE-GAN architecture. ", + "bbox": [ + 174, + 208, + 825, + 319 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK AND BACKGROUND ", + "text_level": 1, + "bbox": [ + 174, + 339, + 506, + 354 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "This work focuses on adversaries for variational autoencoders (VAEs, proposed in Kingma & Welling (2013)) and VAE-GANs (VAEs composed with a generative adversarial network, proposed in Larsen et al. (2015)). ", + "bbox": [ + 176, + 371, + 825, + 412 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 RELATED WORK ON ADVERSARIES ", + "text_level": 1, + "bbox": [ + 176, + 429, + 454, + 443 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Many adversarial attacks on classification models have been described in existing literature (Goodfellow et al., 2014; Szegedy et al., 2013). These attacks can be untargeted, where the adversary’s goal is to cause any misclassification, or the least likely misclassification (Goodfellow et al., 2014; Kurakin et al., 2016); or they can be targeted, where the attacker desires a specific misclassification. Moosavi-Dezfooli et al. (2016) gives a recent example of a strong targeted adversarial attack. Some adversarial attacks allow for a threat model where the adversary does not have access to the target model (Szegedy et al., 2013; Papernot et al., 2016), but commonly it is assumed that the attacker does have that access, in an online or offline setting (Goodfellow et al., 2014; Kurakin et al., 2016).3 ", + "bbox": [ + 173, + 454, + 825, + 565 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Given a classifier $f ( \\mathbf { x } ) \\ : \\ \\mathbf { x } \\ \\in \\ { \\mathcal { X } } \\ \\to \\ y \\ \\in \\ { \\mathcal { Y } }$ and original inputs $\\textbf { x } \\in { \\mathcal { X } }$ , the problem of generating untargeted adversarial examples can be expressed as the following optimization: $\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }$ $L ( \\mathbf { x } , \\mathbf { x } ^ { * } )$ s.t. $f ( \\mathbf { x } ^ { * } ) \\neq f ( \\mathbf { x } )$ , where $L ( \\cdot )$ is a chosen distance measure between examples from the input space (e.g., the $L _ { 2 }$ norm). Similarly, generating a targeted adversarial attack on a classifier can be expressed as $\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }$ $L ( \\mathbf { x } , \\mathbf { x } ^ { * } )$ s.t. $f ( \\mathbf { x } ^ { * } ) = y _ { t }$ , where $y _ { t } \\in \\mathcal { V }$ is some target label chosen by the attacker. ", + "bbox": [ + 173, + 573, + 823, + 656 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "These optimization problems can often be solved with optimizers like L-BFGS or Adam (Kingma & Ba, 2015), as done in Szegedy et al. (2013) and Carlini & Wagner (2016). They can also be approximated with single-step gradient-based techniques like fast gradient sign (Goodfellow et al., 2014), fast gradient $L _ { 2 }$ (Huang et al., 2015), or fast least likely class (Kurakin et al., 2016); or they can be approximated with iterative variants of those and other gradient-based techniques (Kurakin et al., 2016; Moosavi-Dezfooli et al., 2016). ", + "bbox": [ + 174, + 664, + 825, + 747 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "An interesting variation of this type of attack can be found in Sabour et al. (2015). In that work, they attack the hidden state of the target network directly by taking an input image $\\mathbf { x }$ and a target image $\\mathbf { x } _ { t }$ and searching for a perturbed variant of $\\mathbf { x }$ that generates similar hidden state at layer $l$ of the target network to the hidden state at the same layer generated by $\\mathbf { x } _ { t }$ . This approach can also be applied directly to attacking the latent vector of a generative model. ", + "bbox": [ + 174, + 753, + 825, + 824 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "A variant of this attack has also been applied to VAE models in the concurrent work of Tabacof et al. $( 2 0 1 6 ) ^ { 4 }$ , which uses the KL divergence between the latent representation of the source and target images to generate the adversarial example. However in their paper, the authors mention that they tried attacking the output directly and that this only managed to make the reconstructions more blurry. While they do not explain the exact experimental setting, the attack sounds similar to our $\\mathcal { L } _ { \\mathrm { V A E } }$ attack, which we find very successful. Also, in their paper the authors do not consider the more advanced VAE-GAN models and more complex datasets like CelebA. ", + "bbox": [ + 176, + 830, + 823, + 887 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/e76d5a24fe0aaa96afeb05ce8b905561f283fad2b76a8b30b96064f90f2843a9.jpg", + "image_caption": [ + "Figure 1: Depiction of the attack scenario. The VAE is used as a compression scheme to transmit a latent representation of the image from the sender (left) to the receiver (right). The attacker convinces the sender to compress a particular image into its latent vector, which is sent to the receiver, where the decoder reconstructs the latent vector into some other image chosen by the attacker. " + ], + "image_footnote": [], + "bbox": [ + 282, + 102, + 718, + 156 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 256, + 825, + 299 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 BACKGROUND ON VAES AND VAE-GANS ", + "text_level": 1, + "bbox": [ + 178, + 315, + 509, + 330 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The general architecture of a variational autoencoder consists of three components, as shown in Figure 8. The encoder $f _ { \\mathrm { e n c } } ( \\mathbf { x } )$ is a neural network mapping a high-dimensional input representation $\\mathbf { x }$ into a lower-dimensional (compressed) latent representation $\\mathbf { z }$ . All possible values of $\\mathbf { z }$ form a latent space. Similar values in the latent space should produce similar outputs from the decoder in a well-trained VAE. And finally, the decoder/generator $f _ { \\mathrm { d e c } } ( \\mathbf { z } )$ , which is a neural network mapping the compressed latent representation back to a high-dimensional output $\\hat { \\bf x }$ . Composing these networks allows basic input reconstruction $\\begin{array} { r } { \\hat { \\mathbf { x } } = f _ { \\mathrm { d e c } } ( \\bar { f _ { \\mathrm { e n c } } } ( \\mathbf { x } ) ) } \\end{array}$ . This composed architecture is used during training to backpropagate errors from the loss function. ", + "bbox": [ + 173, + 340, + 825, + 454 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The variational autoencoder’s loss function $\\mathcal { L } _ { \\mathrm { V A E } }$ enables the network to learn a latent representation that approximates the intractable posterior distribution $p ( \\mathbf { z } | \\mathbf { x } )$ : ", + "bbox": [ + 174, + 459, + 821, + 488 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/f1780ef45996bd86a6bfbcd2a869a971114995b07f38e2a57d4dcd7890570d67.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { V A E } } = - D _ { \\mathrm { K L } } \\big [ q ( { \\mathbf { z } } | { \\mathbf { x } } ) | | p ( { \\mathbf { z } } ) \\big ] + E _ { q } \\big [ \\log p ( { \\mathbf { x } } | { \\mathbf { z } } ) \\big ] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 338, + 494, + 658, + 512 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "$q ( \\mathbf { z } | \\mathbf { x } )$ is the learned approximation of the posterior distribution $p ( \\mathbf { z } | \\mathbf { x } )$ . $p ( \\mathbf { z } )$ is the prior distribution of the latent representation $\\mathbf { z }$ . $D _ { \\mathrm { K L } }$ denotes the Kullback–Leibler divergence. $E _ { q } [ \\log p ( \\mathbf { x } | \\mathbf { z } ) ]$ is the variational lower bound, which in the case of input reconstruction is the cross-entropy $H [ \\mathbf { x } , { \\hat { \\mathbf { x } } } ]$ between the inputs $\\mathbf { x }$ and their reconstructions $\\hat { \\bf x }$ . In order to generate $\\hat { \\bf x }$ the VAE needs to sample $q ( \\mathbf { z } | \\mathbf { x } )$ and then compute $f _ { \\mathrm { d e c } } ( \\mathbf { z } )$ . ", + "bbox": [ + 174, + 518, + 825, + 589 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For the VAE to be fully differentiable while sampling from $q ( \\mathbf { z } | \\mathbf { x } )$ , the reparametrization trick (Kingma & Welling, 2013) extracts the random sampling step from the network and turns it into an input, $\\varepsilon$ . VAEs are often parameterized with Gaussian distributions. In this case, $f _ { \\mathrm { e n c } } ( \\mathbf { x } )$ outputs the distribution parameters $\\pmb { \\mu }$ and $\\sigma ^ { 2 }$ . That distribution is then sampled by computing ${ \\bf z } = \\mu { + } \\varepsilon \\sqrt { \\sigma ^ { 2 } }$ where $\\varepsilon \\sim N ( 0 , 1 )$ is the input random sample, which does not depend on any parameters of $f _ { \\mathrm { e n c } }$ , and thus does not impact differentiation of the network. ", + "bbox": [ + 173, + 594, + 825, + 683 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The VAE-GAN architecture of Larsen et al. (2015) has the same $f _ { \\mathrm { e n c } }$ and $f _ { \\mathrm { d e c } }$ pair as in the VAE. It also adds a discriminator $f _ { \\mathrm { d i s c } }$ that is used during training, as in standard generative adversarial networks (Goodfellow et al., 2014). The loss function of $f _ { \\mathrm { d e c } }$ uses the disciminator loss instead of cross-entropy for estimating the reconstruction error. ", + "bbox": [ + 174, + 688, + 825, + 744 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 PROBLEM DEFINITION ", + "text_level": 1, + "bbox": [ + 176, + 765, + 390, + 781 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We provide a motivating attack scenario for adversaries against generative models, as well as a formal definition of an adversary in the generative setting. ", + "bbox": [ + 174, + 796, + 825, + 825 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 MOTIVATING ATTACK SCENARIO ", + "text_level": 1, + "bbox": [ + 176, + 842, + 439, + 856 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To motivate the attacks presented below, we describe the attack scenario depicted in Figure 1. In this scenario, there are two parties, the sender and the receiver, who wish to share images with each other over a computer network. In order to conserve bandwidth, they share a VAE trained on the input distribution of interest, which will allow them to send only latent vectors $\\mathbf { z }$ . ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/95790f396fe0425f68d3a69bac937f2d8f8f4944f38467fef3d6e9335923e8fb.jpg", + "image_caption": [ + "Figure 2: Results for the $L _ { 2 }$ optimization latent attack (see Section 4.3) on the VAE-GAN, targeting a specific image from the class 0. Shown are the first 12 non-zero images from the test SVHN data set. The columns are, in order: the original image, the reconstruction of the original image, the adversarial example, the predicted class of the adversarial example, the reconstruction of the adversarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction. " + ], + "image_footnote": [], + "bbox": [ + 248, + 99, + 745, + 275 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The attacker’s goal is to convince the sender to send an image of the attacker’s choosing to the receiver, but the attacker has no direct control over the bytes sent between the two parties. However, the attacker has a copy of the shared VAE. The attacker presents an image $\\mathbf { x } ^ { * }$ to the sender which resembles an image $\\mathbf { x }$ that the sender wants to share with the receiver. For example, the sender wants to share pictures of kittens with the receiver, so the attacker presents a web page to the sender with a picture of a kitten, which is $\\mathbf { x } ^ { * }$ . The sender chooses $\\mathbf { x } ^ { * }$ and sends its corresponding $\\mathbf { z }$ to the receiver, who reconstructs it. However, because the attacker controlled the chosen image, when the receiver reconstructs it, instead of getting a faithful reproduction $\\hat { \\bf x }$ of $\\mathbf { x }$ (e.g., a kitten), the receiver sees some other image of the attacker’s choosing, $\\hat { \\mathbf { x } } _ { \\mathrm { a d v } }$ , which has a different meaning from $\\mathbf { x }$ (e.g., a request to send money to the attacker’s bank account). ", + "bbox": [ + 174, + 405, + 825, + 544 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "There are other attacks of this general form, where the sender and the receiver may be separated by distance, as in this example, or by time, in the case of storing compressed images to disk for later retrieval. In the time-separated attack, the sender and the receiver may be the same person or multiple different people. In either case, if they are using the insecure channel of the VAE’s latent space, the messages they share may be under the control of an attacker. For example, an attacker may be able to fool an automatic surveillance system if the system uses this type of compression to store the video signal before it is processed by other systems. In this case, the subsequent analysis of the video signal could be on compromised data showing what the attacker wants to show. ", + "bbox": [ + 174, + 551, + 825, + 662 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "While we do not specifically attack their models, viable compression schemes based on deep neural networks have already been proposed in the literature, showing promising results Toderici et al. (2015; 2016). ", + "bbox": [ + 176, + 669, + 825, + 712 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 DEFINING ADVERSARIAL EXAMPLES AGAINST GENERATIVE MODELS", + "text_level": 1, + "bbox": [ + 176, + 731, + 691, + 744 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We make the following assumptions about generating adversarial examples on a target generative model, $G _ { \\mathrm { t a r g } } ( \\mathbf { x } ) = f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\mathbf { \\bar { x } } ) )$ . $G _ { \\mathrm { t a r g } }$ is trained on inputs $\\mathcal { X }$ that can naturally be labeled with semantically meaningful classes $\\mathcal { V }$ , although there may be no such labels at training time, or the labels may not have been used during training. $G _ { \\mathrm { t a r g } }$ normally succeeds at generating an output $\\hat { \\mathbf { x } } = G _ { \\mathrm { t a r g } } ( \\mathbf { x } )$ in class $y$ when presented with an input $\\mathbf { x }$ from class $y$ . In other words, whatever target output class the attacker is interested in, we assume that $G _ { \\mathrm { t a r g } }$ successfully captures it in the latent representation such that it can generate examples of that class from the decoder. This target output class does not need to be from the most salient classes in the training dataset. For example, on models trained on MNIST, the attacker may not care about generating different target digits (which are the most salient classes). The attacker may prefer to generate the same input digits in a different style (perhaps to aid forgery). We also assume that the attacker has access to $G _ { \\mathrm { t a r g } }$ . Finally, the attacker has access to a set of examples from the same distribution as $\\mathcal { X }$ that have the target label $y _ { t }$ the attacker wants to generate. This does not mean that the attacker needs access to the labeled training dataset (which may not exist), or to an appropriate labeled dataset with large numbers of examples labeled for each class $y \\in \\mathcal { V }$ (which may be hard or expensive to collect). The attacks described here may be successful with only a small amount of data labeled for a single target class of interest. ", + "bbox": [ + 174, + 757, + 825, + 922 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/75f2cff57ecf04b02972cc71cc6001f1d18d1cbe3a070a3bb845ad48acad2732.jpg", + "image_caption": [ + "Figure 3: The VAE-GAN classifier architecture used to generate classifier-based adversarial examples on the VAE-GAN. The VAE-GAN in the dashed box is the target network and is frozen while training the classifier. The path ${ \\bf x } f _ { \\mathrm { e n c } } { \\bf z } f _ { \\mathrm { c l a s s } } \\hat { y }$ is used to generate adversarial examples in $\\mathbf { z }$ , which can then be reconstructed by $f _ { \\mathrm { d e c } }$ . " + ], + "image_footnote": [], + "bbox": [ + 196, + 98, + 803, + 217 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 319, + 825, + 388 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "One way to generate such adversaries is by solving the optimization problem $\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }$ $L ( \\mathbf { x } , \\mathbf { x } ^ { * } )$ $\\begin{array} { r c l } { s . t . \\ \\mathrm { O R A C L E } ( G _ { \\mathrm { t a r g } } ( \\mathbf { x } ^ { * } ) ) } & { = } & { y _ { t } } \\end{array}$ , where ORACLE reliably discriminates between inputs of class $y _ { t }$ and inputs of other classes. In practice, a classifier trained by the attacker may server as ORACLE. Other types of adversaries from Section 2.1 can also be used to approximate this optimization in natural ways, some of which we describe in Section 4. ", + "bbox": [ + 174, + 396, + 825, + 465 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "If the attacker only needs to generate one successful attack, the problem of determining if an attack is successful can be solved by manually reviewing the $\\mathbf { x } ^ { * }$ and $\\hat { \\mathbf { x } } _ { \\mathrm { a d v } }$ pairs and choosing whichever the attacker considers best. However, if the attacker wants to generate many successful attacks, an automated method of evaluating the success of an attack is necessary. We show in Section 4.5 how to measure the effectiveness of an attack automatically using a classifier trained on $\\mathbf { z } = f _ { \\mathrm { e n c } } ( \\mathbf { x } )$ . ", + "bbox": [ + 174, + 473, + 825, + 542 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 ATTACK METHODOLOGY ", + "text_level": 1, + "bbox": [ + 176, + 565, + 410, + 580 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The attacker would like to construct an adversarially-perturbed input to influence the latent representation in a way that will cause the reconstruction process to reconstruct an output for a different class. We propose three approaches to attacking generative models: a classifier-based attack, where we train a new classifier on top of the latent space $\\mathbf { z }$ and use that classifier to find adversarial examples in the latent space; an attack using $\\mathcal { L } _ { \\mathrm { V A E } }$ to target the output directly; and an attack on the latent space, $\\mathbf { z }$ . All three methods are technically applicable to any generative architecture that relies on a learned latent representation $\\mathbf { z }$ . Without loss of generality, we focus on the VAE-GAN architecture. ", + "bbox": [ + 174, + 597, + 825, + 695 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 CLASSIFIER ATTACK ", + "text_level": 1, + "bbox": [ + 176, + 714, + 356, + 728 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "By adding a classifier $f _ { \\mathrm { c l a s s } }$ to the pre-trained generative model5, we can turn the problem of generating adversaries for generative models back into the previously solved problem of generating adversarial examples for classifiers. This approach allows us to apply all of the existing attacks on classifiers in the literature. However, as discussed below, using this classifier tends to produce lower-quality reconstructions from the adversarial examples than the other two attacks due to the inaccuracies of the classifier. ", + "bbox": [ + 174, + 739, + 825, + 824 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Step 1. The weights of the target generative model are frozen, and a new classifier $f _ { \\mathrm { c l a s s } } ( \\mathbf { z } ) \\hat { y }$ is trained on top of $f _ { \\mathrm { e n c } }$ using a standard classification loss $\\mathcal { L } _ { \\mathrm { c l a s s i f i e r } }$ such as cross-entropy, as shown in Figure 3. This process is independent of how the original model is trained, but it requires a training corpus pulled from approximately the same input distribution as was used to train $G _ { \\mathrm { t a r g } }$ , with ground truth labels for at least two classes: $y _ { t }$ and $y _ { \\tilde { t } }$ , the negative class. ", + "bbox": [ + 176, + 842, + 823, + 883 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Step 2. With the trained classifier, the attacker finds adversarial examples $\\mathbf { x } ^ { * }$ using the methods described in Section 4.4. ", + "bbox": [ + 176, + 146, + 821, + 175 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Using $f _ { \\mathrm { c l a s s } }$ to generate adversarial examples does not always result in high-quality reconstructions, as can be seen in the middle column of Figure 5 and in Figure 11. This appears to be due to the fact that $f _ { \\mathrm { c l a s s } }$ adds additional noise to the process. For example, $f _ { \\mathrm { c l a s s } }$ sometimes confidently misclassifies latent vectors $\\mathbf { z }$ that represent inputs that are far from the training data distribution, resulting in $f _ { \\mathrm { d e c } }$ failing to reconstruct a plausible output from the adversarial example. ", + "bbox": [ + 174, + 181, + 825, + 252 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 LVAE ATTACK ", + "text_level": 1, + "bbox": [ + 174, + 268, + 312, + 284 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Our second approach generates adversarial perturbations using the VAE loss function. The attacker chooses two inputs, $\\mathbf { x } _ { s }$ (the source) and $\\mathbf { x } _ { t }$ (the target), and uses one of the standard adversarial methods to perturb $\\mathbf { x } _ { s }$ into $\\mathbf { x } ^ { * }$ such that its reconstruction $\\hat { \\textbf { x } } ^ { * }$ matches the reconstruction of $\\mathbf { x } _ { t }$ , using the methods described in Section 4.4. ", + "bbox": [ + 174, + 295, + 825, + 351 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The adversary precomputes the reconstruction $\\hat { \\mathbf { x } } _ { t }$ by evaluating $f _ { \\mathrm { d e c } } \\big ( f _ { \\mathrm { e n c } } ( \\mathbf { x } _ { t } ) \\big )$ once before performing optimization. In order to use $\\mathcal { L } _ { \\mathrm { V A E } }$ in an attack, the second term (the reconstruction loss) of $\\mathcal { L } _ { \\mathrm { V A E } }$ (see Equation 1) is changed so that instead of computing the reconstruction loss between $\\mathbf { x }$ and $\\hat { \\bf x }$ , the loss is computed between $\\hat { \\textbf { x } } ^ { * }$ and $\\hat { \\mathbf { x } } _ { t }$ . This means that during each optimization iteration, the adversary needs to compute $\\hat { \\mathbf { x } } ^ { * }$ , which requires the full $f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\bar { \\mathbf { x } } ^ { * } ) )$ to be evaluated. ", + "bbox": [ + 174, + 357, + 825, + 428 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.3 LATENT ATTACK ", + "text_level": 1, + "bbox": [ + 174, + 444, + 330, + 458 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Our third approach attacks the latent space of the generative model. ", + "bbox": [ + 174, + 469, + 614, + 484 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Single latent vector target. This attack is similar to the work of Sabour et al. (2015), in which they use a pair of source image $\\mathbf { x } _ { s }$ and target image $\\mathbf { x } _ { t }$ to generate $\\mathbf { x } ^ { * }$ that induces the target network to produce similar activations at some hidden layer $l$ as are produced by $\\mathbf { x } _ { t }$ , while maintaining similarity between $\\mathbf { x } _ { s }$ and $\\mathbf { x } ^ { * }$ . ", + "bbox": [ + 174, + 500, + 825, + 555 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "For this attack to work on latent generative models, it is sufficient to compute ${ \\mathbf z } _ { t } = f _ { \\mathrm { e n c } } ( { \\mathbf x } _ { t } )$ and then use the following loss function to generate adversarial examples from different source images $\\mathbf { x } _ { s }$ , using the methods described in Section 4.4: ", + "bbox": [ + 174, + 561, + 825, + 604 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/bf68fd751d358eca9e9eab68a613b666bb6ff135f9bc8b42f10a86df474156f3.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { l a t e n t } } = L ( \\mathbf { z } _ { t } , f _ { \\mathrm { e n c } } ( \\mathbf { x } ^ { * } ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 410, + 609, + 588, + 627 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$L ( \\cdot )$ is a distance measure between two vectors. We use the $L _ { 2 }$ norm, under the assumption that the latent space is approximately euclidean. ", + "bbox": [ + 173, + 631, + 823, + 660 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We also explored a variation on the single latent vector target attack, which we describe in Section A.1 in the Appendix. ", + "bbox": [ + 173, + 666, + 823, + 695 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.4 METHODS FOR SOLVING THE ADVERSARIAL OPTIMIZATION PROBLEM ", + "text_level": 1, + "bbox": [ + 174, + 712, + 696, + 727 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We can use a number of different methods to generate the adversarial examples. We initially evaluated both the fast gradient sign Goodfellow et al. (2014) method and an $L _ { 2 }$ optimization method. As the latter produces much better results we focus on the $L _ { 2 }$ optimization method, while we include some FGS results in the Appendix. The attack can be used either in targeted mode (where we want a specific class, $y _ { t }$ , to be reconstructed) or untargeted mode (where we just want an incorrect class to be reconstructed). In this paper, we focus on the targeted mode of the attacks. ", + "bbox": [ + 173, + 737, + 825, + 821 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$L _ { 2 }$ optimization. The optimization-based approach, explored in Szegedy et al. (2013) and Carlini & Wagner (2016), poses the adversarial generation problem as the following optimization problem: ", + "bbox": [ + 173, + 835, + 823, + 864 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/6c8928ca69c1c41e129ae5c782abe01ecdca90a5b38d80e8b631c57ad4555295.jpg", + "text": "$$\n\\begin{array} { r } { \\operatorname * { a r g m i n } _ { \\mathbf { x } ^ { * } } \\lambda L ( \\mathbf { x } , \\mathbf { x } ^ { * } ) + \\mathcal { L } ( \\mathbf { x } ^ { * } , y _ { t } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 385, + 877, + 612, + 893 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As above, $L ( \\cdot )$ is a distance measure, and $\\mathcal { L }$ is one of $\\mathcal { L } _ { \\mathrm { c l a s s i f i e r } }$ , $\\mathcal { L } _ { \\mathrm { V A E } }$ , or $\\mathcal { L } _ { \\mathrm { l a t e n t } }$ . The constant $\\lambda$ is used to balance the two loss contributions. For the $\\mathcal { L } _ { \\mathrm { V A E } }$ attack, the optimizer must do a full ", + "bbox": [ + 173, + 895, + 828, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "reconstruction at each step of the optimizer. The other two attacks do not need to do reconstructions while the optimizer is running, so they generate adversarial examples much more quickly, as shown in Table 1. ", + "bbox": [ + 174, + 103, + 825, + 146 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.5 MEASURING ATTACK EFFECTIVENESS ", + "text_level": 1, + "bbox": [ + 176, + 162, + 475, + 176 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "To generate a large number of adversarial examples automatically against a generative model, the attacker needs a way to judge the quality of the adversarial examples. We leverage $f _ { \\mathrm { c l a s s } }$ to estimate whether a particular attack was successful.6 ", + "bbox": [ + 174, + 188, + 825, + 231 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Reconstruction feedback loop. The architecture is the same as shown in Figure 3. We use the generative model to reconstruct the attempted adversarial inputs $\\mathbf { x } ^ { * }$ by computing: ", + "bbox": [ + 174, + 244, + 823, + 273 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/d3514dc41f73c7680790cb447f763a974e204349c0b6acdafebe8e81b6e40565.jpg", + "text": "$$\n\\hat { \\mathbf { x } } ^ { * } = f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\mathbf { x } ^ { * } ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 424, + 277, + 573, + 295 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Then, $f _ { \\mathrm { c l a s s } }$ is used to compute: ", + "bbox": [ + 174, + 299, + 383, + 314 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/02c5d1b3d5b8043b0dc80e8f1ba8ab4e690b3fdc0949209f74082d730880d4c7.jpg", + "text": "$$\n\\hat { y } = f _ { \\mathrm { c l a s s } } ( f _ { \\mathrm { e n c } } ( \\hat { \\mathbf { x } } ^ { * } ) ) .\n$$", + "text_format": "latex", + "bbox": [ + 426, + 311, + 570, + 329 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The input adversarial examples $\\mathbf { x } ^ { * }$ are not classified directly, but are first fed to the generative model for reconstruction. This reconstruction loop improves the accuracy of the classifier by $6 0 \\%$ on average against the adversarial attacks we examined. The predicted label $\\hat { y }$ after the reconstruction feedback loop is compared with the attack target $y _ { t }$ to determine if the adversarial example successfully reconstructed to the target class. If the precision and recall of $f _ { \\mathrm { c l a s s } }$ are sufficiently high on $y _ { t }$ , $f _ { \\mathrm { c l a s s } }$ can be used to filter out most of the failed adversarial examples while keeping most of the good ones. ", + "bbox": [ + 173, + 330, + 825, + 428 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We derive two metrics from classifier predictions after one reconstruction feedback loop. The first metric is $A S _ { i g n o r e - t a r g e t }$ , the attack success rate ignoring targeting, i.e., without requiring the output class of the adversarial example to match the target class: ", + "bbox": [ + 174, + 434, + 823, + 477 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/dad06e4716783a0c906fc7de46614805f37b8552538921338af7027bd40c1b86.jpg", + "text": "$$\nA S _ { i g n o r e - t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } \\ne y ^ { i } }\n$$", + "text_format": "latex", + "bbox": [ + 387, + 481, + 611, + 523 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "$N$ is the total number of reconstructed adversarial examples; $\\mathbf { 1 } _ { \\hat { y } ^ { i } \\neq y ^ { i } }$ is 1 when $\\hat { y } ^ { i }$ , the classification of the reconstruction for image $i$ , does not equal $y ^ { i }$ , the ground truth classification of the original image, and 0 otherwise. The second metric is $A S _ { t a r g e t }$ , the attack success rate including targeting (i.e., requiring the output class of the adversarial example to match the target class), which we define similarly as: ", + "bbox": [ + 173, + 529, + 825, + 599 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/fd387a3f9bc3c2e002f815172ddad829522690ca3e56fabf024ac76e2cf7c570.jpg", + "text": "$$\nA S _ { t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } = y _ { t } ^ { i } } .\n$$", + "text_format": "latex", + "bbox": [ + 408, + 598, + 589, + 641 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Both metrics are expected to be higher for more successful attacks. Note that $A S _ { t a r g e t } \\ \\le$ $A S _ { i g n o r e - t a r g e t }$ . When computing these metrics, we exclude input examples that have the same ground truth class as the target class. ", + "bbox": [ + 174, + 642, + 825, + 684 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 704, + 315, + 719 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate the three attacks on MNIST (LeCun et al., 1998), SVHN (Netzer et al., 2011) and CelebA (Liu et al., 2015), using the standard training and validation set splits. The VAE and VAEGAN architectures are implemented in TensorFlow (Abadi & et al., 2015). We optimized using Adam with learning rate 0.001 and other parameters set to default values for both the generative model and the classifier. For the VAE, we use two architectures: a simple architecture with a single fully-connected hidden layer with 512 units and ReLU activation function; and a convolutional architecture taken from the original VAE-GAN paper Larsen et al. (2015) (but trained with only the VAE loss). We use the same architecture trained with the additional GAN loss for the VAE-GAN model, as described in that work. For both VAE and VAE-GAN we use a 50-dimensional latent representation on MNIST, a 1024-dimensional latent representation on SVHN and 2048-dimensional latent representation on CelebA. ", + "bbox": [ + 174, + 734, + 825, + 887 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/a12d817f5b62c3f547207c2b290e3545b6eb27acf70b17ec884726d09e5a4b18.jpg", + "text": "$$\n\\begin{array} { c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c c } & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & & \\\\ & & { \\displaystyle \\uparrow } & & { \\displaystyle \\downarrow } & & { \\emptyset } & { \\emptyset } & { \\emptyset } & { \\emptyset } & { \\emptyset } & { \\emptyset } & & & & & & & & & & & & & & & \\\\ & { \\displaystyle \\uparrow } & { \\displaystyle \\uparrow } & { \\displaystyle \\downarrow } & { \\emptyset } & { \\emptyset } & { \\to } & { \\textsc { \\textsf { S { S { S { S { S } } } } } } } & & { \\displaystyle \\downarrow } & { \\emptyset } & { \\emptyset } & { \\{ \\textsc { \\textsf { S { S { S \\ S } } } } } & { \\textmd { \\textmd { S { S { S { S { S } } } } } } } & { \\textmd { \\textmd { S { S { S { S { S } } } } } } } & { \\textmd { \\textmd { S { S { S { S { S } } } } } } } & { \\textmd { \\textmd { S { S { S { S { S { S } } } } } } } } & { \\textmd { \\textmd { S { S { S { S { S { S { S } } } } } } } } } & { } & & & & & & { } \\\\ & { \\displaystyle \\uparrow } & { \\displaystyle \\uparrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle } & { \\textmd { S { S { S { S { S { S \\ S } } } } } } } \\\\ & { \\displaystyle \\downarrow } & { \\displaystyle \\uparrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } \\\\ & { \\displaystyle \\uparrow } & { \\displaystyle \\uparrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & { \\displaystyle \\downarrow } & \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 98, + 674, + 226 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "", + "image_caption": [ + "Figure 4: Results for the $L _ { 2 }$ optimization latent attack on the VAE-GAN, targeting the mean latent vector for 0. Shown are the first 12 non-zero images from the test MNIST data set. The columns are, in order: the original image, the reconstruction of the original image, the adversarial example, the predicted class of the adversarial example, the reconstruction of the adversarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction. " + ], + "image_footnote": [], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this section we only show results where no sampling from latent space has been performed. Instead we use the mean vector $\\pmb { \\mu }$ as the latent representation z. As sampling can have an effect on the resulting reconstructions, we evaluated it separately. We show the results with different number of samples in Figure 22 in the Appendix. On most examples, the visible change is small and in general the attack is still successful. ", + "bbox": [ + 174, + 352, + 825, + 421 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.1 MNIST ", + "text_level": 1, + "bbox": [ + 174, + 438, + 269, + 452 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Both VAE and VAE-GAN by themselves reconstruct the original inputs well as show in Figure 9, although the quality from the VAE-GAN is noticeably better. As a control, we also generate random noise of the same magnitude as used for the adversarial examples (see Figure 13), to show that random noise does not cause the reconstructed noisy images to change in any significant way. Although we ran experiments on both VAEs and VAE-GANs, we only show results for the VAE-GAN as it generates much higher quality reconstructions than the corresponding VAE. ", + "bbox": [ + 174, + 464, + 825, + 547 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.1.1 CLASSIFIER ATTACK ", + "text_level": 1, + "bbox": [ + 176, + 564, + 369, + 578 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We use a simple classifier architecture to help generate attacks on the VAE and VAE-GAN models. The classifier consists of two fully-connected hidden layers with 512 units each, using the ReLU activation function. The output layer is a 10 dimensional softmax. The input to the classifier is the 50 dimensional latent representation produced by the VAE/VAE-GAN encoder. The classifier achieves $9 8 . 0 5 \\%$ accuracy on the validation set after training for 100 epochs. ", + "bbox": [ + 174, + 588, + 823, + 657 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "To see if there are differences between classes, we generate targeted adversarial examples for each MNIST class and present the results per-class. For the targeted attacks we used the optimization method with lambda 0.001, where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples using the classifier attack is 3.36, while the mean RMSD is 0.120. ", + "bbox": [ + 174, + 665, + 825, + 734 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Numerical results in Table 2 show that the targeted classifier attack successfully fools the classifier. Classifier accuracy is reduced to $0 \\%$ , while the matching rate (the ratio between the number of predictions matching the target class and the number of incorrectly classified images) is $1 0 0 \\%$ , which means that all incorrect predictions match the target class. However, what we are interested in (as per the attack definition from Section 3.2) is how the generative model reconstructs the adversarial examples. If we look at the images generated by the VAE-GAN for class 0, shown in Figure 4, the targeted attack is successful on some reconstructed images (e.g. one, four, five, six and nine are reconstructed as zeroes). But even when the classifier accuracy is $0 \\%$ and matching rate is $1 0 0 \\%$ , an incorrect classification does not always result in a reconstruction to the target class, which shows that the classifier is fooled by an adversarial example more easily than the generative model. ", + "bbox": [ + 174, + 741, + 825, + 881 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Reconstruction feedback loop. The reconstruction feedback loop described in Section 4.5 can be used to measure how well a targeted attack succeeds in making the generative model change the reconstructed classes. Table 4 in the Appendix shows $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for all source and target class pairs. A higher value signifies a more successful attack for that pair of classes. It is interesting to observe that attacking some source/target pairs is much easier than others (e.g. pair $( 4 , 0 )$ vs. $( 0 , 8 ) )$ and that the results are not symmetric over source/target pairs. Also, some pairs do well in $A S _ { i g n o r e - t a r g e t }$ , but do poorly in $A S _ { t a r g e t }$ (e.g., all source digits when targeting 4). As can be seen in Figure 11, the classifier adversarial examples targeting 4 consistently fail to reconstruct into something easily recognizable as a 4. Most of the reconstructions look like 5, but the adversarial example reconstructions of source 5s instead look like 0 or 3. ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/5fed9e5cfa266ca49cbd260956209106f34a47bffc83216642943b6f194e7712.jpg", + "image_caption": [ + "Figure 5: Left: representative adversarial examples with a target class of 0 on the first 100 nonzero images from the MNIST validation set. These were produced using the $L _ { 2 }$ optimization latent attack (Section 4.3). Middle: VAE-GAN reconstructions from adversarial examples produced using the $L _ { 2 }$ optimization classifier attack on the same set of 100 validation images (those adversaries are not shown, but are qualitatively similiar, see Section 4.1). Right: VAE-GAN reconstructions from the adversarial examples in the left column. Many of the classifier adversarial examples fail to reconstruct as zeros, whereas almost every adversarial example from the latent attack reconstructs as zero. " + ], + "image_footnote": [], + "bbox": [ + 189, + 99, + 808, + 258 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 416, + 825, + 529 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.1.2 ${ \\mathcal { L } } _ { \\mathrm { V A E } }$ ATTACK ", + "text_level": 1, + "bbox": [ + 174, + 549, + 326, + 564 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "For generating adversarial examples using the $\\mathcal { L } _ { \\mathrm { V A E } }$ attack, we used the optimization method with $\\lambda = 1 . 0$ , where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples with this approach is 3.68, while the mean RMSD is 0.131. ", + "bbox": [ + 174, + 575, + 825, + 632 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We show $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ of the $\\mathcal { L } _ { \\mathrm { V A E } }$ attack in Table 5 in the Appendix. Comparing with the numerical evaluation results of the latent attack (below), we can see that both methods achieve similar results on MNIST. ", + "bbox": [ + 176, + 638, + 825, + 681 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.1.3 LATENT ATTACK ", + "text_level": 1, + "bbox": [ + 174, + 702, + 343, + 715 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To generate adversarial examples using the latent attack, we used the optimization method with $\\lambda \\ : = \\ : 1 . 0$ , where Adam-based optimization was performed for 1000 epochs with a learning rate of 0.1. The mean $L _ { 2 }$ norm of the difference between original images and generated adversarial examples using this approach is 2.96, while the mean RMSD is 0.105. ", + "bbox": [ + 174, + 728, + 823, + 784 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Table 3 shows $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for all source and target class pairs. Comparing with the numerical evaluation results of the classifier attack we can see that the latent attack performs much better. This result remains true when visually comparing the reconstructed images, shown in Figure 5. ", + "bbox": [ + 174, + 790, + 823, + 847 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We also tried an untargeted version of the latent attack, where we change Equation 2 to maximize the distance in latent space between the encoding of the original image and the encoding of the adversarial example. In this case the loss we are trying to minimize is unbounded, since the $L _ { 2 }$ distance can always grow larger, so the attack normally fails to generate a reasonable adversarial example. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/4602c37a132f43a39fd6332ac6510c46318bc65a43dc32c3816101224afd48cf.jpg", + "image_caption": [ + "Figure 6: Left: VAE-GAN reconstructions of adversarial examples generated using the $L _ { 2 }$ optimization $\\mathcal { L } _ { \\mathrm { V A E } }$ attack (single image target). Right: VAE-GAN reconstructions of adversarial examples generated using the $L _ { 2 }$ optimization latent attack (single image target). Approximately 85 out of 100 images are convincing zeros for the $L _ { 2 }$ latent attack, whereas only about 5 out of 100 could be mistaken for zeros with the ${ \\mathcal { L } } _ { \\mathrm { V A E } }$ attack. " + ], + "image_footnote": [], + "bbox": [ + 228, + 101, + 769, + 308 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Additionally, we also experimented with targeting latent representations of specific images from the training set instead of taking the mean, as described in Section 4.3. We show the numerical results in Table 3 and the generated reconstructions in Figure 15 (in the Appendix). It is also interesting to compare the results with $\\mathcal { L } _ { \\mathrm { V A E } }$ , by choosing the same image as the target. Results for $\\mathcal { L } _ { \\mathrm { V A E } }$ for the same target images as in Table 3 are shown in Table 6 in the Appendix. The results are identical between the two attacks, which is expected as the target image is the same – only the loss function differs between the methods. ", + "bbox": [ + 174, + 424, + 825, + 521 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5.2 SVHN ", + "text_level": 1, + "bbox": [ + 174, + 539, + 261, + 554 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The SVHN dataset consists of cropped street number images and is much less clean than MNIST. Due to the way the images have been processed, each image may contain more than one digit; the target digit is roughly in the center. VAE-GAN produces high-quality reconstructions of the original images as shown in Figure 17 in the Appendix. ", + "bbox": [ + 174, + 565, + 825, + 621 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "For the classifier attack, we set $\\lambda = 1 0 ^ { - 5 }$ after testing a range of values, although we were unable to find an effective value for this attack against SVHN. For the latent and $\\mathcal { L } _ { \\mathrm { V A E } }$ attacks we set $\\lambda = 1 0$ . ", + "bbox": [ + 173, + 628, + 823, + 656 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In Table 10 we show $A S _ { i g n o r e - t a r g e t }$ and $A S _ { t a r g e t }$ for the $L _ { 2 }$ optimization latent attack. The evaluation metrics are less strong on SVHN than on MNIST, but it is still straightforward for an attacker to find a successful attack for almost all source/target pairs. Figure 2 supports this evaluation. Visual inspection shows that 11 out of the 12 adversarial examples reconstructed as 0, the target digit. It is worth noting that 2 out of the 12 adversarial examples look like zeros (rows 1 and 11), and two others look like both the original digit and zero, depending on whether the viewer focuses on the light or dark areas of the image (rows 4 and 7). The $L _ { 2 }$ optimization latent attack achieves much better results than the $\\mathcal { L } _ { \\mathrm { V A E } }$ attack (see Table 11 and Figure 6) on SVHN, while both attacks work equally well on MNIST. ", + "bbox": [ + 174, + 662, + 825, + 789 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5.3 CELEBA ", + "text_level": 1, + "bbox": [ + 174, + 806, + 272, + 820 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The CelebA dataset consists of more than 200,000 cropped faces of celebrities, each annotated with 40 different attributes. For our experiments, we further scale the images to $6 4 \\mathrm { x } 6 4$ and ignore the attribute annotations. VAE-GAN reconstructions of original images after training are shown in Figure 19 in the Appendix. ", + "bbox": [ + 176, + 832, + 823, + 888 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Since faces don’t have natural classes, we only evaluated the latent and $\\mathcal { L } _ { \\mathrm { V A E } }$ attacks. We tried lambdas ranging from 0.1 to 0.75 for both attacks. Figure 20 shows adversarial examples generated ", + "bbox": [ + 176, + 895, + 823, + 924 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/af8940c68ef35d81798232786a0a8f10919ee10ea8b0217d36988823e558eb4d.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
MethodMNISTMean L2 Mean RMSD Time to attackSVHNMean L2 Mean RMSD Time to attack
L2 Optimization Classifier Attack3.360.1202771.770.032274
L2 OptimizationLvAE Attack3.680.1317342.360.043895
L2 Optimization Latent Attack2.960.1052362.800.051242
", + "bbox": [ + 204, + 102, + 794, + 150 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 1: Comparison of mean $L _ { 2 }$ norm and RMSD between the original images and the generated adversarial examples for the different attacks. Time to attack is the mean number of seconds it takes to generate 1000 adversarial examples using the given attack method (with the same number of optimization iterations for each attack). ", + "bbox": [ + 173, + 166, + 825, + 222 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "using the latent attack and a lambda value of 0.5 ( $L _ { 2 }$ norm between original images and generated adversarial examples 9.78, RMSD 0.088) and the corresponding VAE-GAN reconstructions. Most of the reconstructions reflect the target image very well. We get even better results with the $\\mathcal { L } _ { \\mathrm { V A E } }$ attack, using a lambda value of 0.75 $L _ { 2 }$ norm between original images and generated adversarial examples 8.98, RMSD 0.081) as shown in Figure 21. ", + "bbox": [ + 174, + 247, + 825, + 318 + ], + "page_idx": 10 + }, + { + "type": "image", + "img_path": "images/91bf0bb0e19b276b4c0e21c5e5c29d30a4001afc28de297cc7a71f818cacd608.jpg", + "image_caption": [ + "Figure 7: Summary of different attacks on CelebA dataset: reconstructions of original images (top), reconstructions of adversarial examples generated using the latent attack (middle) and $\\mathcal { L } _ { \\mathrm { V A E } }$ attack (bottom). Target reconstruction is shown on the right. Full results are in the Appendix. " + ], + "image_footnote": [], + "bbox": [ + 290, + 330, + 702, + 409 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "5.4 SUMMARY OF DIFFERENT ATTACK METHODS ", + "text_level": 1, + "bbox": [ + 179, + 492, + 522, + 506 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 1 shows a comparison of the mean distances between original images and generated adversarial examples for the three different attack methods. The larger the distance between the original image and the adversarial perturbation, the more noticeable the perturbation will tend to be, and the more likely a human observer will no longer recognize the original input, so effective attacks keep these distances small while still achieving their goal. The latent attack consistently gives the best results in our experiments, and the classifier attack performs the worst. ", + "bbox": [ + 174, + 518, + 825, + 602 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We also measure the time it takes to generate 1000 adversarial examples using the given attack method. The $\\mathcal { L } _ { \\mathrm { V A E } }$ attack is by far the slowest of the three, due to the fact that it requires computing full reconstructions at each step of the optimizer when generating the adversarial examples. The other two attacks do not need to run the reconstruction step during optimization of the adversarial examples. ", + "bbox": [ + 174, + 608, + 823, + 679 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "6 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 699, + 318, + 714 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We explored generating adversarial examples against generative models such as VAEs and VAEGANs. These models are also vulnerable to adversaries that convince them to turn inputs into surprisingly different outputs. We have also motivated why an attacker might want to attack generative models. Our work adds further support to the hypothesis that adversarial examples are a general phenomenon for current neural network architectures, given our successful application of adversarial attacks to popular generative models. In this work, we are helping to lay the foundations for understanding how to build more robust networks. Future work will explore defense and robustification in greater depth as well as attacks on generative models trained using natural image datasets such as CIFAR-10 and ImageNet. ", + "bbox": [ + 174, + 731, + 825, + 856 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 872, + 326, + 885 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "This material is in part based upon work supported by the National Science Foundation under Grant No. TWC-1409915. Any opinions, findings, and conclusions or recommendations expressed in this ", + "bbox": [ + 176, + 895, + 823, + 924 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "material are those of the author(s) and do not necessarily reflect the views of the National Science Foundation. ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 154, + 287, + 169 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Mart´ın Abadi and Ashish Agarwal et al. TensorFlow: Large-scale machine learning on heterogeneous systems, 2015. URL http://tensorflow.org/. Software available from tensorflow.org. ", + "bbox": [ + 174, + 178, + 821, + 219 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Nicholas Carlini and David Wagner. Towards evaluating the robustness of neural networks. arXiv preprint arXiv:1608.04644, 2016. 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", + "bbox": [ + 171, + 103, + 826, + 529 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 547, + 297, + 563 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A.1 MEAN LATENT VECTOR TARGETED ATTACK ", + "text_level": 1, + "bbox": [ + 178, + 579, + 516, + 593 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A variant of the single latent vector targeted attack described in Section 4.3, that was not explored in previous work to our knowledge is to take the mean latent vector of many target images and use that vector as $\\mathbf { x } _ { t }$ . This variant is more flexible, in that the attacker can choose different latent properties to target without needing to find the ideal input. For example, in MNIST, the attacker may wish to have a particular line thickness or slant in the reconstructed digit, but may not have such an image available. In that case, by choosing some images of the target class with thinner lines or less slant, and some with thicker lines or more slant, the attacker can find a target latent vector that closely matches the desired properties. ", + "bbox": [ + 173, + 603, + 825, + 717 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In this case, the attack starts by using $f _ { \\mathrm { e n c } }$ to produce the target latent vector, $\\mathbf { z } _ { t }$ , from the chosen target images, $\\mathbf { x } _ { ( t ) }$ . ", + "bbox": [ + 174, + 722, + 823, + 752 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/0a7b9cba8274d44abde0f78ce62e89000aca6c8b5e509a7ff4a13ef920f4c63e.jpg", + "text": "$$\n\\mathbf { z } _ { t } = \\frac { 1 } { | \\mathbf { x } _ { ( t ) } | } \\sum _ { i = 0 } ^ { | \\mathbf { x } _ { ( t ) } | } f _ { \\mathrm { e n c } } ( \\mathbf { x } _ { ( t ) } ^ { i } ) .\n$$", + "text_format": "latex", + "bbox": [ + 406, + 751, + 591, + 797 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In this work, we choose to reconstruct “ideal” MNIST digits by taking the mean latent vector of all of the training digits of each class, and using those vectors as $\\mathbf { x } _ { t }$ . Given a target class $y _ { t }$ , a set of examples $\\mathcal { X }$ and their corresponding ground truth labels $\\mathbf { y }$ , we create a subset $\\mathbf { x } _ { ( t ) }$ as follows: ", + "bbox": [ + 174, + 804, + 825, + 848 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/f60d224dd34dfc28bc351cd8c9241a686e68f42a722d19d9af6564caa7f3f776.jpg", + "text": "$$\n\\mathbf { x } _ { ( t ) } = \\{ \\mathbf { x } _ { i } | \\mathbf { x } _ { i } \\in \\mathcal { X } \\land y _ { i } = y _ { t } \\} .\n$$", + "text_format": "latex", + "bbox": [ + 392, + 853, + 604, + 871 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Both variants of this attack appear to be similarly effective, as shown in Figure 15 and Figure 5. The trade-off between the two in these experiments is between the simplicity of the first attack and the flexibility of the second attack. ", + "bbox": [ + 176, + 881, + 825, + 924 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/a4e991e6b4b54b10377d1b6c5edbd3845d978b847105b02cf3946b8dadfe30e6.jpg", + "image_caption": [ + "Figure 8: Variational autoencoder architecture. " + ], + "image_footnote": [], + "bbox": [ + 302, + 98, + 694, + 137 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 EVALUATION RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 196, + 375, + 210 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/9e33e2bb9919f883011ad07b32af85cb4dafc15859479b19d60f6a8a9553df38.jpg", + "image_caption": [ + "Figure 9: Original Inputs and Reconstructions: The first 100 images from the validation set reconstructed by the VAE (left) and the VAE-GAN (right). " + ], + "image_footnote": [], + "bbox": [ + 230, + 224, + 769, + 435 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/79a4b0e12efc771091d6ef01080c4bc9e1fc42b0944c87fac7339dfe57eaeea9.jpg", + "image_caption": [ + "Figure 10: Untargeted FGS $\\mathcal { L } _ { \\mathrm { V A E } }$ Attack: VAE reconstructions (left) and VAE-GAN reconstructions (right). Note the difference in reconstructions compared to Figure 9. Careful visual inspection reveals that none of the VAE reconstructions change class, and only two of the VAE-GAN reconstructions change class (a 6 to a 0 in the next-to-last row, and a 9 to a 4 in the last row). Combining FGS with $\\mathcal { L } _ { \\mathrm { V A E } }$ does not seem to give an effective attack. " + ], + "image_footnote": [], + "bbox": [ + 228, + 502, + 769, + 712 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/c64c3637ae624886c08be390d08c322c238bc739a4030e81fc5b38fc37a2b5b5.jpg", + "table_caption": [ + "Table 2: $L _ { 2 }$ Optimization Classifier Attack on MNIST: $f _ { \\mathrm { c l a s s } }$ accuracy on adversarial examples against the VAE-GAN for each target class (middle row) and the matching rate between the predictions $f _ { \\mathrm { c l a s s } }$ made and the adversarial target class (bottom row). The adversarial examples successfully fool $f _ { \\mathrm { c l a s s } }$ into predicting the target class almost $1 0 0 \\%$ of the time, which makes this attack seem like a strong attack, but the attack actually fails to generate good reconstructions in many cases. Reconstructions for target classes 0 and 4 can be seen in Figure 4 and Figure 11. " + ], + "table_footnote": [], + "table_body": "
Target0123456789
Classifieraccuracy1.98%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%
Matching rate95.06%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%99.89%
", + "bbox": [ + 191, + 125, + 808, + 155 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/13c9cd2118a8434f7bf38ef38ee93725f27eb270939f269d928f36fc80af69a8.jpg", + "table_caption": [ + "Table 3: $L _ { 2 }$ Optimization Latent Attack on MNIST (single latent vector target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. " + ], + "table_footnote": [], + "table_body": "
SourceTarget 0Target1Target2Target3Target 4Target5Target6Target7Target8Target9
0-85.54%100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(92.77%)
100.00%(34.94%)(100.00%) 100.00%(13.25%) 100.00%(75.90%)100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
97.37%
2(100.00%)(55.26%)-100.00% (55.26%)(88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00% (100.00%)90.65% (89.72%)100.00% (100.00%)-100.00%94.39%100.00%85.05%100.00%90.65%
4100.00%97.27%100.00%100.00%(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
(100.00%)-100.00%100.00%100.00%100.00%100.00%
5100.00%(67.27%)(100.00%)(18.18%)(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
(100.00%)96.55%100.00%2.30%100.00%-100.00%98.85%100.00%95.40%
6(80.46%)(100.00%)(2.30%)(96.55%)(100.00%)(89.66%)(0.00%)(94.25%)
100.00%87.36%100.00%100.00%100.00%100.00%-100.00%100.00%100.00%
7(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)(98.85%)(0.00%)(96.55%)
100.00%90.91%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
8(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)(0.00%)(100.00%)
100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
9(100.00%)(71.59%)(100.00%)(35.23%)(97.73%)(62.50%)(100.00%)(92.05%)-(96.59%)
100.00% (100.00%)95.65% (75.00%)100.00% (100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00%100.00%
", + "bbox": [ + 178, + 310, + 820, + 503 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/eb31966f1131d94db3d18ce1baad2aa13f3ae96eff01eb53552a3a2c392b9d9e.jpg", + "table_caption": [ + "Table 4: $L _ { 2 }$ Optimization Classifier Attack on MNIST: ASignore−target ${ } ^ { \\prime } A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. " + ], + "table_footnote": [], + "table_body": "
SourceTarget 0Target 1Target2Target3Target 4Target5Target 6Target7Target8Target9
040.96%(1.20%)6.02%(4.82%)10.84%(7.23%)75.90%(0.00%)6.02%(3.61%)28.92%
(28.92%)
37.35%(20.48%)6.02%(1.20%)10.84%(3.61%)
199.20%(77.60%)-7.20%(5.60%)1.60%(1.60%)85.60%(0.00%)8.00%(5.60%)28.80%
(28.00%)
8.80%(7.20%)
(7.20%)
3.20%(1.60%)69.60%(0.80%)
285.96%(80.70%)3.51%(2.63%)-29.82%(23.68%)78.95%(0.00%)72.81%%72.81%35.09%41.23%68.42%
(20.18%)(46.49%)(8.77%)(12.28%)(2.63%)
393.46%(83.18%)26.17%(12.15%)27.10%(16.82%)-67.29%(0.00%)66.36%(62.62%)87.85%(22.43%)50.47%(27.10%)23.36%(8.41%)33.64%(8.41%)
4100.00%(82.73%)70.00%(48.18%)28.18%(10.91%)84.55%(17.27%)-66.36%(31.82%)95.45%(71.82%)62.73%(37.27%)20.91%(0.91%)51.82%(44.55%)
593.10%(89.66%)21.84%(1.15%)68.97%(11.49%)28.74%(18.39%)3.45%(0.00%)-20.69%(19.54%)80.46%(41.38%)22.99%(2.30%)44.83%(12.64%)
629.89%(28.74%)44.83%(1.15%)24.14%(3.45%)59.77%(11.49%)77.01%(0.00%)10.34%(8.05%)-62.07%(8.05%)8.05%(0.00%)75.86%(4.60%)
779.80%(65.66%)77.78%(26.26%)
(8.08%)(4.04%)
100.00%(0.00%)56.57%(23.23%)97.98%(17.17%)-38.38%(1.01%)17.17%(10.10%)
894.32%(84.09%)96.59%(18.18%)60.23%(42.05%)57.95%(43.18%)100.00%(0.00%)93.18%(80.68%)100.00%(57.95%)100.00%(34.09%)-87.50%(26.14%)
998.91%(79.35%)97.83%(33.70%)26.09%(1.09%)17.39%(2.17%)100.00%(0.00%)22.83%(21.74%)100.00%(30.43%)47.83%(43.48%)31.52%(4.35%)-
", + "bbox": [ + 192, + 645, + 805, + 838 + ], + "page_idx": 14 + }, + { + "type": "equation", + "img_path": "images/9cf65aff36a19ebd14dd49c3f9ac8c19f7d72f94da14cace1867af376dd384f2.jpg", + "text": "$$\n\\begin{array} { l } { \\frac { 1 } { 5 } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\mathcal { O } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\textit { s } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { L } } } \\\\ { \\mathrm { \\mathcal { S } } ^ { - } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\\\ { \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } \\leq \\textrm { \\mathcal { S } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 344, + 164, + 656, + 411 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "", + "image_caption": [ + "Figure 11: $L _ { 2 }$ Optimization Classifier Attack: Reconstructions of the first 100 adversarial examples targeting 4, demonstrating why the $A S _ { t a r g e t }$ metric is 0 for all source digits. " + ], + "image_footnote": [], + "page_idx": 15 + }, + { + "type": "table", + "img_path": "images/2d19dc2bbb9b654e2d75eeb11bcb87502bd1745483fcbe6b138c3baad08ff624.jpg", + "table_caption": [ + "Table 5: $L _ { 2 }$ Optimization $\\mathcal { L } _ { \\mathrm { V A E } }$ Attack on MNIST (single image target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) for different source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. " + ], + "table_footnote": [], + "table_body": "
SourceTarget 0Target1Target 2Target 3Target 4Target5Target 6Target7Target8Target9
0-90.36%(14.46%)100.00%(100.00%)100.00%(98.80%)100.00%(61.45%)91.57%(90.36%)100.00%(96.39%)68.67%100.00%
(50.60%)(91.57%)
98.80%(37.35%)
1100.00%(100.00%)-100.00%(100.00%)100.00%(100.00%)100.00%(99.20%)100.00%(100.00%)100.00%(97.60%)100.00%(96.00%)100.00%(100.00%)100.00%(96.00%)
2100.00%(100.00%)84.21%(60.53%)-100.00%(100.00%)90.35%(71.93%)100.00%(85.96%)88.60%(88.60%)97.37%(76.32%)94.74%(94.74%)97.37%(35.09%)
3100.00%(100.00%)75.70%(66.36%)100.00%(100.00%)-94.39%(52.34%)99.07%(99.07%)98.13%(82.24%)64.49%(53.27%)100.00%(96.26%)67.29%(31.78%)
4100.00%(100.00%)100.00%(52.73%)100.00%(100.00%)100.00%(100.00%)-100.00%(97.27%)100.00%(100.00%)100.00%(99.09%)100.00%(100.00%)85.45%(83.64%)
5100.00%(100.00%)96.55%(40.23%)100.00%(100.00%)100.00%(100.00%)93.10%(59.77%)-100.00%(95.40%)93.10%(71.26%)96.55%(96.55%)83.91%(51.72%)
6100.00%(100.00%)97.70%(70.11%)100.00%(100.00%)100.00%(100.00%)100.00%(91.95%)100.00%(100.00%)-97.70%(67.82%)100.00%(98.85%)95.40%(50.57%)
7100.00%(100.00%)85.86%(58.59%)100.00%(100.00%)100.00%(100.00%)100.00%(98.99%)100.00%(97.98%)100.00%(79.80%)-100.00%(98.99%)100.00%(96.97%)
8100.00%(100.00%)69.32%(44.32%)100.00%(100.00%)100.00%(100.00%)54.55%(53.41%)96.59%(96.59%)95.45%(92.05%)73.86%(52.27%)-42.05%(29.55%)
9100.00%(100.00%)100.00%(44.57%)100.00%(100.00%)100.00%(100.00%)96.74%(95.65%)100.00%(97.83%)100.00%(100.00%)100.00%(97.83%)100.00%(100.00%)-
", + "bbox": [ + 178, + 592, + 820, + 785 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/3e94916444feaab66e43761d4bb0fa8cdf042db86b78a12f565fac2483b0c15e.jpg", + "image_caption": [ + "Figure 12: Untargeted FGS Classifer Attack: Adversarial examples (left) and their reconstructions by the generative model (right) for the first 100 images from the MNIST validation set. Top results are for VAE, while bottom results are for VAE-GAN. Note the difference in quality of the reconstructed adversarial examples. " + ], + "image_footnote": [], + "bbox": [ + 178, + 217, + 818, + 731 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/346f07d112946bcd809d8ce50bc1ed80f0e49bafd28afed6b1e1156ca79886a1.jpg", + "image_caption": [ + "Figure 13: Original images with random noise added (top) and their reconstructions by VAE (bottom left) and VAE-GAN (bottom right). The magnitude of the random noise is the same as for the generated adversarial noise shown in Figure 12. Random noise does not cause the reconstructed images to change in a significant way. " + ], + "image_footnote": [], + "bbox": [ + 181, + 210, + 818, + 731 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/c2b282a6022177d5da012d47a5335869638500c26b71b7d4e5c15cb757a35691.jpg", + "table_caption": [ + "Table 6: $L _ { 2 }$ Optimization LVAE Attack (mean reconstruction target): ASignore−target $( A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean reconstruction image for each target class (over all of the images of that class in the training set) is used as the target reconstruction. Higher values indicate more successful attacks against the generative model. " + ], + "table_footnote": [], + "table_body": "
SourceTarget0Target1Target 2Target3Target4Target5Target 6Target7Target8Target9
0-85.54% (34.94%)100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(75.90%)
100.00%(100.00%) 100.00%(13.25%) 100.00%(92.77%) 100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
100.00%
2(100.00%)(55.26%)-(55.26%)97.37% (88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00%90.65%100.00%100.00%94.39%100.00%85.05%100.00%90.65%
(100.00%)(89.72%)(100.00%)-(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
4100.00%97.27%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(67.27%)(100.00%)(18.18%)-(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
5100.00%96.55%100.00%2.30%100.00%100.00%98.85%100.00%95.40%
(100.00%)(80.46%)(100.00%)(2.30%)(96.55%)-(100.00%)(89.66%)(0.00%)(94.25%)
6100.00%87.36%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)-(98.85%)(0.00%)(96.55%)
7100.00%90.91%100.00%100.00%100.00%100.00%100.00%100.00%100.00%
(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)-(0.00%)(100.00%)
8100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
(100.00%)(71.59%)(100.00%)(35.23%)(97.73%)(92.05%)-
9100.00%95.65%100.00%(62.50%)(100.00%)(96.59%)
(100.00%)(75.00%)(100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00% (100.00%)100.00% (0.00%)-
", + "bbox": [ + 178, + 164, + 820, + 357 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/e635a33c9238167f6cf09dac95a4208fb8e56d3af2bf3bac3de77f62b15dab97.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
SourceTarget 0Target 1Target 2Target 3Target 4Target5Target6Target 7Target 8Target9
0-40.96% (10.84%)65.06%53.01%62.65%36.14%59.04%46.99%13.25%44.58%
1100.00%(65.06%) 100.00%(46.99%)(54.22%)(36.14%)(59.04%)(46.99%)(12.05%)(27.71%)
(100.00%)-(100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00% (100.00%)100.00%
296.49%60.53%95.61%78.07%98.25%94.74%71.05%52.63%(96.80%) 75.44%
(96.49%)(59.65%)-(95.61%)(75.44%)(71.05%)(90.35%)(69.30%)(50.88%)(42.98%)
3100.00% (100.00%)87.85% (66.36%)90.65% (90.65%)-85.98%95.33%79.44%65.42%59.81%70.09%
99.09%67.27%96.36%(73.83%)(95.33%)(53.27%)(64.49%)(46.73%)(58.88%)
4(99.09%)(66.36%)(96.36%)100.00% (81.82%)-100.00%93.64%98.18%97.27%39.09%
100.00%100.00%70.11%(98.18%)(93.64%)(95.45%)(92.73%)(39.09%)
579.31%80.46%-73.56%87.36%55.17%75.86%
(100.00%)(51.72%)(83.91%)(70.11%)(72.41%)(73.56%)(73.56%)(52.87%)(65.52%)
697.70%68.97%96.55%95.40%73.56%87.36%88.51%90.80%91.95%
(97.70%)(50.57%)(96.55%)(71.26%)(73.56%)(77.01%)-(72.41%)(55.17%)(35.63%)
7100.00%83.84%100.00%100.00%93.94%98.99%88.89%100.00%50.51%
(97.98%)(83.84%)(100.00%)(100.00%)(90.91%)(96.97%)(81.82%)-(86.87%)(50.51%)
8100.00%96.59%100.00%98.86%94.32%98.86%98.86%98.86%87.50%
(100.00%)(78.41%)(100.00%)(95.45%)(86.36%)(98.86%)(93.18%)(73.86%)-
9100.00%100.00%100.00%98.91%100.00%100.00%97.83%98.91%97.83%(78.41%)
", + "bbox": [ + 173, + 579, + 826, + 771 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Table 7: $L _ { 2 }$ Optimization Latent Attack (mean latent vector target): $A S _ { i g n o r e - t a r g e t }$ $. A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean latent vector for each target class (over all of the images of that class in the training set) is used as the target latent vector. Higher values indicate more successful attacks against the generative model. ", + "bbox": [ + 173, + 787, + 825, + 858 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/c031cf329f194045d9bc0fc8daee8fba2835175bf606f51dab550f2432558da8.jpg", + "image_caption": [ + "Figure 14: $L _ { 2 }$ Optimization Latent Attack (mean latent vector targets): VAE-GAN reconstructions of adversarial examples with target classes from 1 through 9. Original examples which already belong to the target class are excluded. " + ], + "image_footnote": [], + "bbox": [ + 197, + 98, + 803, + 570 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/a3ae1e4a80bc8ddc5b7e822f48e02f670990f3f69f77b35956859c1fe6ddc3b3.jpg", + "table_caption": [ + "Table 8: $L _ { 2 }$ Optimization $\\mathcal { L } _ { \\mathrm { V A E } }$ Attack (mean reconstruction target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) for all source and target class pairs using adversarial examples generated on the VAE-GAN model. The mean image for each target class (over all of the images of that class in the training set) is used as the target. Higher values indicate more successful attacks against the generative model. " + ], + "table_footnote": [], + "table_body": "
SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target7Target8Target9
0-95.18%(9.64%)100.00%(100.00%)98.80%(93.98%)100.00%(48.19%)91.57%100.00%73.49%100.00%
(89.16%)(89.16%)(43.37%)(87.95%)(25.30%)
1100.00%(100.00%)-100.00%(100.00%)100.00%(100.00%)100.00%(92.80%)100.00%(97.60%)100.00%(98.40%)100.00%(76.00%)100.00%(100.00%)100.00%(90.40%)
298.25%(98.25%)83.33%(48.25%)-100.00%(100.00%)88.60%(43.86%)99.12%(63.16%)74.56%(71.93%)99.12%(63.16%)93.86%(92.98%)99.12%(21.05%)
399.07%(98.13%)57.01%(42.99%)99.07%(99.07%)-82.24%(36.45%)89.72%(88.79%)99.07%(61.68%)57.01%(37.38%)98.13%(92.52%)67.29%(18.69%)
4100.00%(100.00%)100.00%(37.27%)100.00%(100.00%)100.00%(99.09%)-100.00%(80.00%)98.18%(93.64%)100.00%(94.55%)100.00%(99.09%)86.36%(80.00%)
5100.00%(100.00%)97.70%(19.54%)100.00%(98.85%)98.85%(98.85%)85.06%(44.83%)-95.40%(88.51%)93.10%(45.98%)96.55%(96.55%)87.36%(34.48%)
6100.00%(100.00%)96.55%(58.62%)100.00%(98.85%)100.00%(98.85%)100.00%(86.21%)100.00%(97.70%)100.00%(56.32%)100.00%(96.55%)95.40%(43.68%)
7100.00%(100.00%)80.81%(40.40%)100.00%(100.00%)100.00%(98.99%)100.00%(92.93%)100.00%(87.88%)100.00%(62.63%)-100.00%(97.98%)100.00%(88.89%)
8100.00%(100.00%)44.32%(18.18%)100.00%(100.00%)100.00%(100.00%)30.68%(28.41%)78.41%(76.14%)89.77%(81.82%)75.00%(38.64%)-22.73%(15.91%)
9100.00%(100.00%)98.91%(17.39%)100.00%(100.00%)100.00%(100.00%)97.83%(92.39%)100.00%(89.13%)100.00%(92.39%)98.91%(94.57%)100.00%(100.00%)-
", + "bbox": [ + 181, + 640, + 815, + 833 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/d880cf4848602a480ac76dde77ce6dbbbda6712c72a4f811a5263f68e6a4fe56.jpg", + "image_caption": [ + "Figure 15: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): VAE-GAN reconstructions of adversarial examples generated using the latent attack with target classes 0 and 7 using two random targets in latent space per target class. Original examples which already belong to the target class are excluded. The stylistic differences in the reconstructions are clearly visible. " + ], + "image_footnote": [], + "bbox": [ + 232, + 112, + 767, + 529 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/4fe9505d0fc27babca467a8d9e2b5f7b7b6a2adf9a683e553b124e3497cda4ca.jpg", + "image_caption": [ + "Figure 16: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): t-SNE plot of the latent space, with the addition of green circles representing the adversarial examples for target class 0. In this plot, it appears that the adversarial examples cluster around 6 (yellow) and 0 (red). " + ], + "image_footnote": [], + "bbox": [ + 323, + 633, + 676, + 845 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/a89443b04a66f71f1d3175777f81d5a3a8d5bc0b4b50eac21aca864755e7251b.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target 7Target8Target9
0-92.77% (38.55%)100.00%100.00%100.00%100.00%100.00%79.52%97.59% (90.36%)100.00% (62.65%)
(22.89%)
1100.00%-(100.00%) 100.00%(66.27%) 100.00%(34.94%) 100.00%100.00%(100.00%) 100.00%(63.86%) 100.00%100.00%100.00%
(100.00%) 97.37%97.37%(100.00%)(99.20%) 100.00%(90.40%) 98.25%(0.80%) 100.00%(100.00%) 100.00%(100.00%) 97.37%(100.00%) 89.47%(100.00%) 100.00%
2(97.37%) 100.00%(57.02%) 89.72%- 100.00%(87.72%)(42.11%) 62.62%(50.88%) 91.59%(99.12%) 100.00%(89.47%) 95.33%(89.47%) 97.20%(81.58%) 90.65%
3 4(100.00%)(85.05%)(100.00%)-(48.60%)(45.79%)(99.07%)(90.65%)(94.39%)(79.44%)
100.00%95.45%100.00%100.00%100.00%100.00%100.00%100.00%99.09%
5(100.00%)(67.27%)(100.00%)(73.64%)-(30.00%)(100.00%)(99.09%)(99.09%)(99.09%)
100.00%98.85%100.00%73.56%83.91%100.00%90.80%100.00%87.36%
(100.00%)(79.31%)(100.00%)(73.56%)(34.48%)-(100.00%)(87.36%)(100.00%)
100.00%86.21%100.00%(82.76%)
6(100.00%)100.00%95.40%10.34%-100.00%100.00%100.00%
(79.31%)(100.00%)(88.51%)(71.26%)(10.34%)(83.91%)(97.70%)(70.11%)
7100.00% (100.00%)91.92%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
(79.80%)(100.00%)(87.88%)(63.64%)(58.59%)(100.00%)(100.00%)(100.00%)
8100.00%88.64%100.00%100.00%95.45%96.59%100.00%96.59%95.45%
(100.00%)(73.86%)(100.00%)(46.59%)(44.32%)(31.82%)(100.00%)(94.32%)-
9100.00%96.74%100.00%100.00%66.30%100.00%100.00%98.91%100.00%(79.55%)
", + "bbox": [ + 178, + 101, + 820, + 295 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/b61069b8c6c3a985b798cec0d4eb8a682eefa46fcbdb80437e4997e15bf350e1.jpg", + "image_caption": [ + "Table 9: $L _ { 2 }$ Optimization $\\mathcal { L } _ { \\mathrm { V A E } }$ Attack on MNIST (single image target): ASignore−target $( A S _ { t a r g e t }$ in parentheses) for different source and target class pairs using adversarial examples generated on the VAE-GAN model. Higher values indicate more successful attacks against the generative model. ", + "Figure 17: Original Inputs and Reconstructions: The first 100 images from the SVHN validation set (left) reconstructed by VAE-GAN (right). " + ], + "image_footnote": [], + "bbox": [ + 228, + 376, + 771, + 583 + ], + "page_idx": 21 + }, + { + "type": "table", + "img_path": "images/f09aa66d4bbd6e545e41bf493934b53f88a39368c53ba181b7dd7c3be7c08ed6.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
SourceTarget0Target 1Target2Target3Target 4Target5Target6Target7Target8Target9
0-64.29%(40.00%)78.57%(61.43%)92.86%(80.00%)84.29%(57.14%)98.57%(98.57%)94.29%88.57%95.71%95.71%
(38.57%)(54.29%)(11.43%)(25.71%)
176.80%(70.72%)-74.59%(67.40%)93.37%(88.95%)75.69%(65.19%)98.34%(97.79%)86.74%(24.86%)46.96%(36.46%)96.13%(4.97%)96.13%(28.73%)
282.93%(65.85%)57.93%(42.68%)-90.24%(86.59%)53.66%(46.34%)99.39%(98.17%)82.93%(14.02%)71.34%(57.32%)71.34%(6.71%)24.39%(23.17%)
392.17%(64.35%)58.26%(41.74%)83.48%(68.70%)-84.35%(49.57%)96.52%(95.65%)53.91%(23.48%)90.43%(56.52%)93.04%(5.22%)93.91%(33.91%)
474.44%(55.56%)47.78%(43.33%)70.00%(61.11%)86.67%(77.78%)-100.00%(98.89%)93.33%(35.56%)90.00%(36.67%)85.56%(14.44%)94.44%(27.78%)
575.31%(50.62%)59.26%(43.21%)88.89%(58.02%)97.53%(88.89%)72.84%(53.09%)-37.04%(18.52%)80.25%(41.98%)32.10%(6.17%)92.59%(30.86%)
667.44%(47.67%)56.98%(27.91%)84.88%(55.81%)86.05%(79.07%)65.12%(39.53%)94.19%(94.19%)-90.70%(33.72%)58.14%(10.47%)87.21%(22.09%)
787.34%(63.29%)55.70%(48.10%)79.75%(74.68%)92.41%(79.75%)69.62%(41.77%)97.47%(89.87%)93.67%(18.99%)-91.14%(7.59%)97.47%(17.72%)
898.33%(63.33%)78.33%(38.33%)80.00%(63.33%)100.00%(88.33%)93.33%(48.33%)98.33%(96.67%)96.67%(35.00%)96.67%(50.00%)95.00%(31.67%)
987.88%(66.67%)72.73%(43.94%)92.42%(80.30%)93.94%(86.36%)80.30%(51.52%)95.45%(93.94%)98.48%(27.27%)92.42%(62.12%)93.94%(9.09%)-
", + "bbox": [ + 192, + 641, + 805, + 833 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Table 10: $L _ { 2 }$ Optimization Latent Attack on SVHN (single latent vector target): $A S _ { i g n o r e - t a r g e t }$ $. A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. ", + "bbox": [ + 173, + 851, + 825, + 921 + ], + "page_idx": 21 + }, + { + "type": "table", + "img_path": "images/8ef2cc79b91df48893c629eedbc023df922ee61a80b16013fa535d491ff16033.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
SourceTarget 0Target1Target 2Target3Target 4Target5Target6Target7Target8Target9
0-30.00%(12.86%)32.86%(5.71%)34.29%(5.71%)28.57%(0.00%)30.00%30.00%30.00%30.00%
(1.43%)(5.71%)(0.00%)(1.43%)
31.43%(0.00%)
113.26%(1.10%)-7.73%(1.66%)18.78%(4.97%)13.26%(3.31%)12.15%(0.00%)11.60%(0.55%)9.94%(1.10%)10.50%(1.10%)16.02%(0.55%)
223.17%(0.61%)13.41%(3.66%)-17.07%(3.05%)14.63%(1.83%)14.63%(2.44%)15.24%(0.00%)15.24%(1.22%)14.02%(0.61%)15.24%(1.22%)
330.43%(0.87%)26.09%(7.83%)30.43%(2.61%)30.43%(0.00%)29.57%(6.96%)27.83%(0.00%)27.83%
(1.74%)
28.70%(2.61%)33.91%(6.09%)
421.11%(0.00%)15.56%(5.56%)16.67%(2.22%)25.56%(4.44%)-16.67%(1.11%)18.89%(0.00%)16.67%(1.11%)18.89%(2.22%)22.22%(0.00%)
532.10%(0.00%)28.40%(3.70%)27.16%(3.70%)32.10%(8.64%)24.69%(2.47%)-28.40%(6.17%)23.46%(0.00%)27.16%(3.70%)27.16%(0.00%)
627.91%(4.65%)25.58%(4.65%)26.74%(0.00%)33.72%(3.49%)30.23%(2.33%)20.93%(4.65%)31.40%(0.00%)24.42%(3.49%)32.56%(0.00%)
730.38%(0.00%)27.85%(12.66%)26.58%(10.13%)31.65%(5.06%)31.65%(0.00%)30.38%(0.00%)32.91%(0.00%)130.38%(0.00%)34.18%(1.27%)
840.00%(5.00%)35.00%(0.00%)33.33%(3.33%)43.33%(6.67%)40.00%(3.33%)35.00%(1.67%)41.67%(11.67%)38.33%(0.00%)-36.67%(0.00%)
934.85%(6.06%)33.33%(12.12%)33.33%(9.09%)40.91%(4.55%)31.82%(3.03%)31.82%(0.00%)33.33%(0.00%)34.85%(0.00%)31.82%(1.52%)-
", + "bbox": [ + 199, + 103, + 797, + 296 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/759586eec46ac86682146e3355a4586adb1a917a1aba5fd90218eb6cdb9255fe.jpg", + "image_caption": [ + "Table 11: $L _ { 2 }$ Optimization $\\mathcal { L } _ { \\mathrm { V A E } }$ Attack on SVHN (single image target): $A S _ { i g n o r e - t a r g e t }$ $( A S _ { t a r g e t }$ in parentheses) after one reconstruction loop for different source and target class pairs on the VAE-GAN model. The latent representation of a random image from the target class is used to generate the target latent vector. Higher values indicate more successful attacks against the generative model. " + ], + "image_footnote": [], + "bbox": [ + 232, + 395, + 769, + 602 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/e7fd48d1f82a80b1e1f8dd310e2d44350f2c1ff621740102a44e510fd1c370f9.jpg", + "image_caption": [ + "Figure 18: $L _ { 2 }$ Optimization Latent Attack (single latent vector target): Nearest neighbors in latent space for generated adversarial examples (target class 0) on the first 100 images from the MNIST (left) and SVHN (right) validation sets. ", + "Figure 19: Original images in the CelebA dataset (left) and their VAE-GAN reconstructions (right). " + ], + "image_footnote": [], + "bbox": [ + 228, + 676, + 771, + 883 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/6e2c7cc4939491be453d585bdb4764ef951b56408f940c448247cebcf8e2b54f.jpg", + "image_caption": [ + "Figure 20: $L _ { 2 }$ Optimization Latent Attack on CelebA Dataset (single latent vector target): Adversarial examples generated for 100 images from the CelebA dataset (left) and their VAE-GAN reconstructions (right). " + ], + "image_footnote": [], + "bbox": [ + 228, + 167, + 771, + 376 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/d7b2b50274a6a600062ced3fbb727edddb5bf426ed4704f7af548a7a73a2aa0c.jpg", + "image_caption": [ + "Figure 21: $L _ { 2 }$ Optimization LVAE Attack on CelebA Dataset (single image target): Adversarial examples generated for 100 images from the CelebA dataset (left) and their VAE-GAN reconstructions (right). " + ], + "image_footnote": [], + "bbox": [ + 228, + 583, + 771, + 791 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/b7e2167c347255dc983433f61afff19ebb5dfde7ff2ab62c9b14a192565c6ebb.jpg", + "image_caption": [ + "Figure 22: Effect of sampling on adversarial reconstructions. Columns in order: original image, reconstruction of the original image (no sampling, just the mean), reconstruction of the original image (1 sample), reconstruction of the original image (12 samples), reconstruction of the original image (50 samples), adversarial example (latent attack), reconstruction of the adversarial example (no sampling, just the mean), reconstruction of the adversarial example (1 sample), reconstruction of the adversarial example (12 samples), reconstruction of the adversarial example (50 samples). 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Deep learning", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 210, + 469, + 224 + ], + "spans": [ + { + "bbox": [ + 141, + 210, + 469, + 224 + ], + "score": 1.0, + "content": "architectures are known to be vulnerable to adversarial examples, but previous", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 222, + 469, + 235 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 469, + 235 + ], + "score": 1.0, + "content": "work has focused on the application of adversarial examples to classification tasks.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 142, + 234, + 469, + 245 + ], + "spans": [ + { + "bbox": [ + 142, + 234, + 469, + 245 + ], + "score": 1.0, + "content": "Deep generative models have recently become popular due to their ability to model", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 245, + 469, + 256 + ], + "spans": [ + { + "bbox": [ + 142, + 245, + 469, + 256 + ], + "score": 1.0, + "content": "input data distributions and generate realistic examples from those distributions.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 255, + 470, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 268 + ], + "score": 1.0, + "content": "We present three classes of attacks on the VAE and VAE-GAN architectures and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "score": 1.0, + "content": "demonstrate them against networks trained on MNIST, SVHN and CelebA. 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Our third attack moves beyond relying on classification or the standard", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "score": 1.0, + "content": "loss for the gradient and directly optimizes against differences in source and tar-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 343, + 470, + 355 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 355 + ], + "score": 1.0, + "content": "get latent representations. 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Seminal work by Szegedy et al.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 441, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 452 + ], + "score": 1.0, + "content": "(2013) and Goodfellow et al. (2014), as well as much recent work, has shown that adversarial", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 301, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 301, + 465 + ], + "score": 1.0, + "content": "examples are abundant and finding them is easy.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 468, + 505, + 534 + ], + "lines": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "score": 1.0, + "content": "Most previous work focuses on the application of adversarial examples to the task of classification,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 479, + 504, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 504, + 491 + ], + "score": 1.0, + "content": "where the deep network assigns classes to input images. The attack adds small adversarial perturba-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "tions to the original input image. These perturbations cause the network to change its classification", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "of the input, from the correct class to some other incorrect class (possibly chosen by the attacker).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "Critically, the perturbed input must still be recognizable to a human observer as belonging to the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 192, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 192, + 535 + ], + "score": 1.0, + "content": "original input class.2", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 505, + 552 + ], + "score": 1.0, + "content": "Deep generative models, such as Kingma & Welling (2013), learn to generate a variety of outputs,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "score": 1.0, + "content": "ranging from handwritten digits to faces (Kulkarni et al., 2015), realistic scenes (Oord et al., 2016),", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "videos (Kalchbrenner et al., 2016), 3D objects (Dosovitskiy et al., 2016), and audio (van den Oord", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 571, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 587 + ], + "score": 1.0, + "content": "et al., 2016). These models learn an approximation of the input data distribution in different ways,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 583, + 470, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 470, + 598 + ], + "score": 1.0, + "content": "and then sample from this distribution to generate previously unseen but plausible outputs.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 504, + 645 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 504, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 504, + 613 + ], + "score": 1.0, + "content": "To the best of our knowledge, no prior work has explored using adversarial inputs to attack gen-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 612, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 623 + ], + "score": 1.0, + "content": "erative models. There are two main requirements for such work: describing a plausible scenario", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "score": 1.0, + "content": "in which an attacker might want to attack a generative model; and designing and demonstrating an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "attack that succeeds against generative models. We address both of these requirements in this work.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5 + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "One of the most basic applications of generative models is input reconstruction. Given an input im-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 662, + 504, + 675 + ], + "spans": [ + { + "bbox": [ + 106, + 662, + 504, + 675 + ], + "score": 1.0, + "content": "age, the model first encodes it into a lower-dimensional latent representation, and then uses that rep-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 673, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 506, + 685 + ], + "score": 1.0, + "content": "resentation to generate a reconstruction of the original input image. 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(2016), but we are focused on deep networks.", + "type": "text" + } + ] + }, + { + "bbox": [ + 118, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "2 Random noise images and “fooling” images (Nguyen et al., 2014) do not belong to this strict definition of", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 720, + 417, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 417, + 733 + ], + "score": 1.0, + "content": "an adversarial input, although they do highlight other limitations of current classifiers.", + "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" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 80, + 498, + 96 + ], + "lines": [ + { + "bbox": [ + 106, + 80, + 499, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 499, + 99 + ], + "score": 1.0, + "content": "ADVERSARIAL EXAMPLES FOR GENERATIVE MODELS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 112, + 115, + 247, + 138 + ], + "lines": [ + { + "bbox": [ + 111, + 114, + 162, + 128 + ], + "spans": [ + { + "bbox": [ + 111, + 114, + 162, + 128 + ], + "score": 1.0, + "content": "Jernej Kos", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 111, + 125, + 247, + 139 + ], + "spans": [ + { + "bbox": [ + 111, + 125, + 247, + 139 + ], + "score": 1.0, + "content": "National University of Singapore", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5, + "bbox_fs": [ + 111, + 114, + 247, + 139 + ] + }, + { + "type": "text", + "bbox": [ + 264, + 115, + 334, + 137 + ], + "lines": [ + { + "bbox": [ + 263, + 114, + 316, + 127 + ], + "spans": [ + { + "bbox": [ + 263, + 114, + 316, + 127 + ], + "score": 1.0, + "content": "Ian Fischer", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 264, + 126, + 335, + 138 + ], + "spans": [ + { + "bbox": [ + 264, + 126, + 335, + 138 + ], + "score": 1.0, + "content": "Google Research", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5, + "bbox_fs": [ + 263, + 114, + 335, + 138 + ] + }, + { + "type": "text", + "bbox": [ + 352, + 115, + 490, + 138 + ], + "lines": [ + { + "bbox": [ + 352, + 113, + 405, + 128 + ], + "spans": [ + { + "bbox": [ + 352, + 113, + 405, + 128 + ], + "score": 1.0, + "content": "Dawn Song", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 352, + 124, + 491, + 140 + ], + "spans": [ + { + "bbox": [ + 352, + 124, + 491, + 140 + ], + "score": 1.0, + "content": "University of California, Berkeley", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 352, + 113, + 491, + 140 + ] + }, + { + "type": "title", + "bbox": [ + 277, + 167, + 333, + 178 + ], + "lines": [ + { + "bbox": [ + 276, + 166, + 335, + 180 + ], + "spans": [ + { + "bbox": [ + 276, + 166, + 335, + 180 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 143, + 189, + 468, + 365 + ], + "lines": [ + { + "bbox": [ + 142, + 190, + 469, + 202 + ], + "spans": [ + { + "bbox": [ + 142, + 190, + 469, + 202 + ], + "score": 1.0, + "content": "We explore methods of producing adversarial examples on deep generative mod-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 199, + 470, + 214 + ], + "spans": [ + { + "bbox": [ + 141, + 199, + 470, + 214 + ], + "score": 1.0, + "content": "els such as the variational autoencoder (VAE) and the VAE-GAN. Deep learning", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 210, + 469, + 224 + ], + "spans": [ + { + "bbox": [ + 141, + 210, + 469, + 224 + ], + "score": 1.0, + "content": "architectures are known to be vulnerable to adversarial examples, but previous", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 222, + 469, + 235 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 469, + 235 + ], + "score": 1.0, + "content": "work has focused on the application of adversarial examples to classification tasks.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 142, + 234, + 469, + 245 + ], + "spans": [ + { + "bbox": [ + 142, + 234, + 469, + 245 + ], + "score": 1.0, + "content": "Deep generative models have recently become popular due to their ability to model", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 142, + 245, + 469, + 256 + ], + "spans": [ + { + "bbox": [ + 142, + 245, + 469, + 256 + ], + "score": 1.0, + "content": "input data distributions and generate realistic examples from those distributions.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 255, + 470, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 268 + ], + "score": 1.0, + "content": "We present three classes of attacks on the VAE and VAE-GAN architectures and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "score": 1.0, + "content": "demonstrate them against networks trained on MNIST, SVHN and CelebA. Our", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 278, + 469, + 289 + ], + "spans": [ + { + "bbox": [ + 141, + 278, + 469, + 289 + ], + "score": 1.0, + "content": "first attack leverages classification-based adversaries by attaching a classifier to", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 288, + 469, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 288, + 469, + 300 + ], + "score": 1.0, + "content": "the trained encoder of the target generative model, which can then be used to in-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 299, + 470, + 312 + ], + "score": 1.0, + "content": "directly manipulate the latent representation. Our second attack directly uses the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 311, + 469, + 322 + ], + "spans": [ + { + "bbox": [ + 142, + 311, + 469, + 322 + ], + "score": 1.0, + "content": "VAE loss function to generate a target reconstruction image from the adversarial", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 321, + 469, + 333 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 469, + 333 + ], + "score": 1.0, + "content": "example. Our third attack moves beyond relying on classification or the standard", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "score": 1.0, + "content": "loss for the gradient and directly optimizes against differences in source and tar-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 343, + 470, + 355 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 355 + ], + "score": 1.0, + "content": "get latent representations. We also motivate why an attacker might be interested", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 354, + 405, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 405, + 367 + ], + "score": 1.0, + "content": "in deploying such techniques against a target generative network.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 15.5, + "bbox_fs": [ + 141, + 190, + 470, + 367 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 383, + 206, + 396 + ], + "lines": [ + { + "bbox": [ + 105, + 382, + 208, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 208, + 398 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 407, + 504, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 420 + ], + "score": 1.0, + "content": "Adversarial examples have been shown to exist for a variety of deep learning architectures.1 They", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "are small perturbations of the original inputs, often barely visible to a human observer, but carefully", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "crafted to misguide the network into producing incorrect outputs. Seminal work by Szegedy et al.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 441, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 505, + 452 + ], + "score": 1.0, + "content": "(2013) and Goodfellow et al. (2014), as well as much recent work, has shown that adversarial", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 451, + 301, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 301, + 465 + ], + "score": 1.0, + "content": "examples are abundant and finding them is easy.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 406, + 506, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 468, + 505, + 534 + ], + "lines": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "score": 1.0, + "content": "Most previous work focuses on the application of adversarial examples to the task of classification,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 479, + 504, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 504, + 491 + ], + "score": 1.0, + "content": "where the deep network assigns classes to input images. The attack adds small adversarial perturba-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "tions to the original input image. These perturbations cause the network to change its classification", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "of the input, from the correct class to some other incorrect class (possibly chosen by the attacker).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 505, + 525 + ], + "score": 1.0, + "content": "Critically, the perturbed input must still be recognizable to a human observer as belonging to the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 192, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 192, + 535 + ], + "score": 1.0, + "content": "original input class.2", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 468, + 505, + 535 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 540, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 505, + 552 + ], + "score": 1.0, + "content": "Deep generative models, such as Kingma & Welling (2013), learn to generate a variety of outputs,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 505, + 564 + ], + "score": 1.0, + "content": "ranging from handwritten digits to faces (Kulkarni et al., 2015), realistic scenes (Oord et al., 2016),", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 561, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 561, + 505, + 575 + ], + "score": 1.0, + "content": "videos (Kalchbrenner et al., 2016), 3D objects (Dosovitskiy et al., 2016), and audio (van den Oord", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 571, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 587 + ], + "score": 1.0, + "content": "et al., 2016). These models learn an approximation of the input data distribution in different ways,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 583, + 470, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 470, + 598 + ], + "score": 1.0, + "content": "and then sample from this distribution to generate previously unseen but plausible outputs.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 541, + 506, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 504, + 645 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 504, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 504, + 613 + ], + "score": 1.0, + "content": "To the best of our knowledge, no prior work has explored using adversarial inputs to attack gen-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 612, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 623 + ], + "score": 1.0, + "content": "erative models. There are two main requirements for such work: describing a plausible scenario", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 505, + 635 + ], + "score": 1.0, + "content": "in which an attacker might want to attack a generative model; and designing and demonstrating an", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 646 + ], + "score": 1.0, + "content": "attack that succeeds against generative models. We address both of these requirements in this work.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 600, + 505, + 646 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "score": 1.0, + "content": "One of the most basic applications of generative models is input reconstruction. Given an input im-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 662, + 504, + 675 + ], + "spans": [ + { + "bbox": [ + 106, + 662, + 504, + 675 + ], + "score": 1.0, + "content": "age, the model first encodes it into a lower-dimensional latent representation, and then uses that rep-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 673, + 506, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 506, + 685 + ], + "score": 1.0, + "content": "resentation to generate a reconstruction of the original input image. Since the latent representation", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 83, + 504, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 504, + 95 + ], + "score": 1.0, + "content": "usually has much fewer dimensions than the original input, it can be used as a form of compression.", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "The latent representation can also be used to remove some types of noise from inputs, even when the", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "network has not been explicitly trained for denoising, due to the lower dimensionality of the latent", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "score": 1.0, + "content": "representation restricting what information the trained network is able to represent. Many genera-", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "tive models also allow manipulation of the generated output by sampling different latent values or", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "score": 1.0, + "content": "modifying individual dimensions of the latent vectors without needing to pass through the encoding", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 128, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 128, + 163 + ], + "score": 1.0, + "content": "step.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 46, + "bbox_fs": [ + 105, + 650, + 506, + 685 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 159 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 504, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 504, + 95 + ], + "score": 1.0, + "content": "usually has much fewer dimensions than the original input, it can be used as a form of compression.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "The latent representation can also be used to remove some types of noise from inputs, even when the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "network has not been explicitly trained for denoising, due to the lower dimensionality of the latent", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "score": 1.0, + "content": "representation restricting what information the trained network is able to represent. Many genera-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "tive models also allow manipulation of the generated output by sampling different latent values or", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "score": 1.0, + "content": "modifying individual dimensions of the latent vectors without needing to pass through the encoding", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 128, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 128, + 163 + ], + "score": 1.0, + "content": "step.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "These properties of input reconstruction generative networks suggest a variety of different attacks", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "that would be enabled by effective adversaries against generative networks. Any attack that targets", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 199 + ], + "score": 1.0, + "content": "the compression bottleneck of the latent representation can exploit natural security vulnerabilities in", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "score": 1.0, + "content": "applications built to use that latent representation. Specifically, if the person doing the encoding step", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "score": 1.0, + "content": "is separated from the person doing the decoding step, the attacker may be able to cause the encoding", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 234 + ], + "score": 1.0, + "content": "party to believe they have encoded a particular message for the decoding party, but in reality they", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "score": 1.0, + "content": "have encoded a different message of the attacker’s choosing. We explore this idea in more detail as", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 243, + 473, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 243, + 473, + 254 + ], + "score": 1.0, + "content": "it applies to the application of compressing images using a VAE or VAE-GAN architecture.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 107, + 269, + 310, + 281 + ], + "lines": [ + { + "bbox": [ + 104, + 267, + 311, + 284 + ], + "spans": [ + { + "bbox": [ + 104, + 267, + 311, + 284 + ], + "score": 1.0, + "content": "2 RELATED WORK AND BACKGROUND", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 108, + 294, + 505, + 327 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 505, + 307 + ], + "score": 1.0, + "content": "This work focuses on adversaries for variational autoencoders (VAEs, proposed in Kingma &", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "score": 1.0, + "content": "Welling (2013)) and VAE-GANs (VAEs composed with a generative adversarial network, proposed", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 315, + 203, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 203, + 329 + ], + "score": 1.0, + "content": "in Larsen et al. (2015)).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "title", + "bbox": [ + 108, + 340, + 278, + 351 + ], + "lines": [ + { + "bbox": [ + 106, + 340, + 279, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 279, + 352 + ], + "score": 1.0, + "content": "2.1 RELATED WORK ON ADVERSARIES", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 360, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "score": 1.0, + "content": "Many adversarial attacks on classification models have been described in existing literature (Good-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "fellow et al., 2014; Szegedy et al., 2013). These attacks can be untargeted, where the adversary’s", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 394 + ], + "score": 1.0, + "content": "goal is to cause any misclassification, or the least likely misclassification (Goodfellow et al., 2014;", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "Kurakin et al., 2016); or they can be targeted, where the attacker desires a specific misclassification.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "Moosavi-Dezfooli et al. (2016) gives a recent example of a strong targeted adversarial attack. Some", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 415, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 428 + ], + "score": 1.0, + "content": "adversarial attacks allow for a threat model where the adversary does not have access to the target", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "model (Szegedy et al., 2013; Papernot et al., 2016), but commonly it is assumed that the attacker", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "does have that access, in an online or offline setting (Goodfellow et al., 2014; Kurakin et al., 2016).3", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 504, + 520 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 185, + 466 + ], + "score": 1.0, + "content": "Given a classifier", + "type": "text" + }, + { + "bbox": [ + 186, + 454, + 320, + 466 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ) \\ : \\ \\mathbf { x } \\ \\in \\ { \\mathcal { X } } \\ \\to \\ y \\ \\in \\ { \\mathcal { Y } }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 454, + 407, + 466 + ], + "score": 1.0, + "content": "and original inputs", + "type": "text" + }, + { + "bbox": [ + 407, + 455, + 445, + 465 + ], + "score": 0.9, + "content": "\\textbf { x } \\in { \\mathcal { X } }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 454, + 505, + 466 + ], + "score": 1.0, + "content": ", the problem", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "of generating untargeted adversarial examples can be expressed as the following optimization:", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 107, + 477, + 147, + 488 + ], + "score": 0.45, + "content": "\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 477, + 185, + 488 + ], + "score": 0.83, + "content": "L ( \\mathbf { x } , \\mathbf { x } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 476, + 204, + 489 + ], + "score": 1.0, + "content": "s.t.", + "type": "text" + }, + { + "bbox": [ + 205, + 476, + 266, + 488 + ], + "score": 0.92, + "content": "f ( \\mathbf { x } ^ { * } ) \\neq f ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 476, + 299, + 489 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 299, + 476, + 317, + 488 + ], + "score": 0.9, + "content": "L ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "is a chosen distance measure between exam-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 247, + 500 + ], + "score": 1.0, + "content": "ples from the input space (e.g., the", + "type": "text" + }, + { + "bbox": [ + 247, + 488, + 259, + 498 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "norm). Similarly, generating a targeted adversarial attack on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 497, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 104, + 497, + 235, + 512 + ], + "score": 1.0, + "content": "a classifier can be expressed as", + "type": "text" + }, + { + "bbox": [ + 236, + 500, + 275, + 510 + ], + "score": 0.47, + "content": "\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 498, + 313, + 510 + ], + "score": 0.88, + "content": "L ( \\mathbf { x } , \\mathbf { x } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 497, + 332, + 512 + ], + "score": 1.0, + "content": "s.t.", + "type": "text" + }, + { + "bbox": [ + 333, + 498, + 381, + 510 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ^ { * } ) = y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 497, + 413, + 512 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 413, + 498, + 445, + 510 + ], + "score": 0.92, + "content": "y _ { t } \\in \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 497, + 506, + 512 + ], + "score": 1.0, + "content": "is some target", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 508, + 222, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 222, + 522 + ], + "score": 1.0, + "content": "label chosen by the attacker.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "score": 1.0, + "content": "These optimization problems can often be solved with optimizers like L-BFGS or Adam (Kingma", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "& Ba, 2015), as done in Szegedy et al. (2013) and Carlini & Wagner (2016). They can also be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "approximated with single-step gradient-based techniques like fast gradient sign (Goodfellow et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 187, + 573 + ], + "score": 1.0, + "content": "2014), fast gradient", + "type": "text" + }, + { + "bbox": [ + 187, + 560, + 199, + 570 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "(Huang et al., 2015), or fast least likely class (Kurakin et al., 2016); or they", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "can be approximated with iterative variants of those and other gradient-based techniques (Kurakin", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 581, + 283, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 283, + 593 + ], + "score": 1.0, + "content": "et al., 2016; Moosavi-Dezfooli et al., 2016).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 597, + 505, + 653 + ], + "lines": [ + { + "bbox": [ + 106, + 597, + 504, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 504, + 609 + ], + "score": 1.0, + "content": "An interesting variation of this type of attack can be found in Sabour et al. (2015). In that work,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 445, + 621 + ], + "score": 1.0, + "content": "they attack the hidden state of the target network directly by taking an input image", + "type": "text" + }, + { + "bbox": [ + 446, + 610, + 454, + 619 + ], + "score": 0.39, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "and a target", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 133, + 632 + ], + "score": 1.0, + "content": "image", + "type": "text" + }, + { + "bbox": [ + 133, + 621, + 145, + 631 + ], + "score": 0.85, + "content": "\\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 619, + 307, + 632 + ], + "score": 1.0, + "content": "and searching for a perturbed variant of", + "type": "text" + }, + { + "bbox": [ + 307, + 621, + 315, + 630 + ], + "score": 0.36, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 619, + 488, + 632 + ], + "score": 1.0, + "content": "that generates similar hidden state at layer", + "type": "text" + }, + { + "bbox": [ + 488, + 621, + 493, + 630 + ], + "score": 0.39, + "content": "l", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 382, + 643 + ], + "score": 1.0, + "content": "the target network to the hidden state at the same layer generated by", + "type": "text" + }, + { + "bbox": [ + 382, + 632, + 393, + 642 + ], + "score": 0.84, + "content": "\\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 631, + 505, + 643 + ], + "score": 1.0, + "content": ". This approach can also be", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 641, + 379, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 379, + 654 + ], + "score": 1.0, + "content": "applied directly to attacking the latent vector of a generative model.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 108, + 658, + 504, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 658, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 506, + 670 + ], + "score": 1.0, + "content": "A variant of this attack has also been applied to VAE models in the concurrent work of Tabacof", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 669, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 130, + 681 + ], + "score": 1.0, + "content": "et al.", + "type": "text" + }, + { + "bbox": [ + 131, + 669, + 162, + 681 + ], + "score": 0.66, + "content": "( 2 0 1 6 ) ^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 670, + 505, + 681 + ], + "score": 1.0, + "content": ", which uses the KL divergence between the latent representation of the source and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "target images to generate the adversarial example. However in their paper, the authors mention that", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 692, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 505, + 704 + ], + "score": 1.0, + "content": "they tried attacking the output directly and that this only managed to make the reconstructions more", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 46.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 118, + 710, + 414, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 708, + 416, + 723 + ], + "spans": [ + { + "bbox": [ + 118, + 708, + 416, + 723 + ], + "score": 1.0, + "content": "3 See Papernot et al. (2015) for an overview of different adversarial threat models.", + "type": "text" + } + ] + }, + { + "bbox": [ + 118, + 719, + 382, + 734 + ], + "spans": [ + { + "bbox": [ + 118, + 719, + 382, + 734 + ], + "score": 1.0, + "content": "4 This work was made public shortly after we published our early drafts.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 13, + "width": 8 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 159 + ], + "lines": [], + "index": 3, + "bbox_fs": [ + 105, + 83, + 506, + 163 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 165, + 505, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "These properties of input reconstruction generative networks suggest a variety of different attacks", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "that would be enabled by effective adversaries against generative networks. Any attack that targets", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 199 + ], + "score": 1.0, + "content": "the compression bottleneck of the latent representation can exploit natural security vulnerabilities in", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "score": 1.0, + "content": "applications built to use that latent representation. Specifically, if the person doing the encoding step", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 506, + 223 + ], + "score": 1.0, + "content": "is separated from the person doing the decoding step, the attacker may be able to cause the encoding", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 220, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 234 + ], + "score": 1.0, + "content": "party to believe they have encoded a particular message for the decoding party, but in reality they", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 506, + 243 + ], + "score": 1.0, + "content": "have encoded a different message of the attacker’s choosing. We explore this idea in more detail as", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 243, + 473, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 243, + 473, + 254 + ], + "score": 1.0, + "content": "it applies to the application of compressing images using a VAE or VAE-GAN architecture.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 165, + 506, + 254 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 269, + 310, + 281 + ], + "lines": [ + { + "bbox": [ + 104, + 267, + 311, + 284 + ], + "spans": [ + { + "bbox": [ + 104, + 267, + 311, + 284 + ], + "score": 1.0, + "content": "2 RELATED WORK AND BACKGROUND", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 108, + 294, + 505, + 327 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 505, + 307 + ], + "score": 1.0, + "content": "This work focuses on adversaries for variational autoencoders (VAEs, proposed in Kingma &", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "score": 1.0, + "content": "Welling (2013)) and VAE-GANs (VAEs composed with a generative adversarial network, proposed", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 315, + 203, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 203, + 329 + ], + "score": 1.0, + "content": "in Larsen et al. (2015)).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 293, + 505, + 329 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 340, + 278, + 351 + ], + "lines": [ + { + "bbox": [ + 106, + 340, + 279, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 279, + 352 + ], + "score": 1.0, + "content": "2.1 RELATED WORK ON ADVERSARIES", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 360, + 505, + 448 + ], + "lines": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 504, + 372 + ], + "score": 1.0, + "content": "Many adversarial attacks on classification models have been described in existing literature (Good-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 384 + ], + "score": 1.0, + "content": "fellow et al., 2014; Szegedy et al., 2013). These attacks can be untargeted, where the adversary’s", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 383, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 394 + ], + "score": 1.0, + "content": "goal is to cause any misclassification, or the least likely misclassification (Goodfellow et al., 2014;", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 505, + 406 + ], + "score": 1.0, + "content": "Kurakin et al., 2016); or they can be targeted, where the attacker desires a specific misclassification.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 505, + 417 + ], + "score": 1.0, + "content": "Moosavi-Dezfooli et al. (2016) gives a recent example of a strong targeted adversarial attack. Some", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 415, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 428 + ], + "score": 1.0, + "content": "adversarial attacks allow for a threat model where the adversary does not have access to the target", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 506, + 439 + ], + "score": 1.0, + "content": "model (Szegedy et al., 2013; Papernot et al., 2016), but commonly it is assumed that the attacker", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "does have that access, in an online or offline setting (Goodfellow et al., 2014; Kurakin et al., 2016).3", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 361, + 506, + 450 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 504, + 520 + ], + "lines": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 185, + 466 + ], + "score": 1.0, + "content": "Given a classifier", + "type": "text" + }, + { + "bbox": [ + 186, + 454, + 320, + 466 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ) \\ : \\ \\mathbf { x } \\ \\in \\ { \\mathcal { X } } \\ \\to \\ y \\ \\in \\ { \\mathcal { Y } }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 454, + 407, + 466 + ], + "score": 1.0, + "content": "and original inputs", + "type": "text" + }, + { + "bbox": [ + 407, + 455, + 445, + 465 + ], + "score": 0.9, + "content": "\\textbf { x } \\in { \\mathcal { X } }", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 454, + 505, + 466 + ], + "score": 1.0, + "content": ", the problem", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "of generating untargeted adversarial examples can be expressed as the following optimization:", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 107, + 477, + 147, + 488 + ], + "score": 0.45, + "content": "\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 477, + 185, + 488 + ], + "score": 0.83, + "content": "L ( \\mathbf { x } , \\mathbf { x } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 476, + 204, + 489 + ], + "score": 1.0, + "content": "s.t.", + "type": "text" + }, + { + "bbox": [ + 205, + 476, + 266, + 488 + ], + "score": 0.92, + "content": "f ( \\mathbf { x } ^ { * } ) \\neq f ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 476, + 299, + 489 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 299, + 476, + 317, + 488 + ], + "score": 0.9, + "content": "L ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "is a chosen distance measure between exam-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 247, + 500 + ], + "score": 1.0, + "content": "ples from the input space (e.g., the", + "type": "text" + }, + { + "bbox": [ + 247, + 488, + 259, + 498 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "norm). Similarly, generating a targeted adversarial attack on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 497, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 104, + 497, + 235, + 512 + ], + "score": 1.0, + "content": "a classifier can be expressed as", + "type": "text" + }, + { + "bbox": [ + 236, + 500, + 275, + 510 + ], + "score": 0.47, + "content": "\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 498, + 313, + 510 + ], + "score": 0.88, + "content": "L ( \\mathbf { x } , \\mathbf { x } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 497, + 332, + 512 + ], + "score": 1.0, + "content": "s.t.", + "type": "text" + }, + { + "bbox": [ + 333, + 498, + 381, + 510 + ], + "score": 0.91, + "content": "f ( \\mathbf { x } ^ { * } ) = y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 497, + 413, + 512 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 413, + 498, + 445, + 510 + ], + "score": 0.92, + "content": "y _ { t } \\in \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 497, + 506, + 512 + ], + "score": 1.0, + "content": "is some target", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 508, + 222, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 222, + 522 + ], + "score": 1.0, + "content": "label chosen by the attacker.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 454, + 506, + 522 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 539 + ], + "score": 1.0, + "content": "These optimization problems can often be solved with optimizers like L-BFGS or Adam (Kingma", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "& Ba, 2015), as done in Szegedy et al. (2013) and Carlini & Wagner (2016). They can also be", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "approximated with single-step gradient-based techniques like fast gradient sign (Goodfellow et al.,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 187, + 573 + ], + "score": 1.0, + "content": "2014), fast gradient", + "type": "text" + }, + { + "bbox": [ + 187, + 560, + 199, + 570 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "(Huang et al., 2015), or fast least likely class (Kurakin et al., 2016); or they", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "can be approximated with iterative variants of those and other gradient-based techniques (Kurakin", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 581, + 283, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 283, + 593 + ], + "score": 1.0, + "content": "et al., 2016; Moosavi-Dezfooli et al., 2016).", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 525, + 506, + 593 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 597, + 505, + 653 + ], + "lines": [ + { + "bbox": [ + 106, + 597, + 504, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 504, + 609 + ], + "score": 1.0, + "content": "An interesting variation of this type of attack can be found in Sabour et al. (2015). In that work,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 445, + 621 + ], + "score": 1.0, + "content": "they attack the hidden state of the target network directly by taking an input image", + "type": "text" + }, + { + "bbox": [ + 446, + 610, + 454, + 619 + ], + "score": 0.39, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "and a target", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 133, + 632 + ], + "score": 1.0, + "content": "image", + "type": "text" + }, + { + "bbox": [ + 133, + 621, + 145, + 631 + ], + "score": 0.85, + "content": "\\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 619, + 307, + 632 + ], + "score": 1.0, + "content": "and searching for a perturbed variant of", + "type": "text" + }, + { + "bbox": [ + 307, + 621, + 315, + 630 + ], + "score": 0.36, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 619, + 488, + 632 + ], + "score": 1.0, + "content": "that generates similar hidden state at layer", + "type": "text" + }, + { + "bbox": [ + 488, + 621, + 493, + 630 + ], + "score": 0.39, + "content": "l", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 631, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 382, + 643 + ], + "score": 1.0, + "content": "the target network to the hidden state at the same layer generated by", + "type": "text" + }, + { + "bbox": [ + 382, + 632, + 393, + 642 + ], + "score": 0.84, + "content": "\\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 631, + 505, + 643 + ], + "score": 1.0, + "content": ". This approach can also be", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 641, + 379, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 379, + 654 + ], + "score": 1.0, + "content": "applied directly to attacking the latent vector of a generative model.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 597, + 506, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 658, + 504, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 658, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 506, + 670 + ], + "score": 1.0, + "content": "A variant of this attack has also been applied to VAE models in the concurrent work of Tabacof", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 669, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 130, + 681 + ], + "score": 1.0, + "content": "et al.", + "type": "text" + }, + { + "bbox": [ + 131, + 669, + 162, + 681 + ], + "score": 0.66, + "content": "( 2 0 1 6 ) ^ { 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 670, + 505, + 681 + ], + "score": 1.0, + "content": ", which uses the KL divergence between the latent representation of the source and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 681, + 505, + 693 + ], + "score": 1.0, + "content": "target images to generate the adversarial example. However in their paper, the authors mention that", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 692, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 505, + 704 + ], + "score": 1.0, + "content": "they tried attacking the output directly and that this only managed to make the reconstructions more", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 505, + 216 + ], + "score": 1.0, + "content": "blurry. 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In this case,", + "type": "text" + }, + { + "bbox": [ + 440, + 494, + 472, + 506 + ], + "score": 0.92, + "content": "f _ { \\mathrm { e n c } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 492, + 506, + 507 + ], + "score": 1.0, + "content": "outputs", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 505, + 504, + 520 + ], + "spans": [ + { + "bbox": [ + 104, + 505, + 214, + 520 + ], + "score": 1.0, + "content": "the distribution parameters", + "type": "text" + }, + { + "bbox": [ + 214, + 508, + 222, + 519 + ], + "score": 0.82, + "content": "\\pmb { \\mu }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 505, + 239, + 520 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 239, + 506, + 252, + 518 + ], + "score": 0.87, + "content": "\\sigma ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 505, + 443, + 520 + ], + "score": 1.0, + "content": ". That distribution is then sampled by computing", + "type": "text" + }, + { + "bbox": [ + 443, + 505, + 504, + 518 + ], + "score": 0.92, + "content": "{ \\bf z } = \\mu { + } \\varepsilon \\sqrt { \\sigma ^ { 2 } }", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 516, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 133, + 532 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 518, + 185, + 530 + ], + "score": 0.93, + "content": "\\varepsilon \\sim N ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 516, + 483, + 532 + ], + "score": 1.0, + "content": "is the input random sample, which does not depend on any parameters of", + "type": "text" + }, + { + "bbox": [ + 483, + 519, + 501, + 530 + ], + "score": 0.89, + "content": "f _ { \\mathrm { e n c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 516, + 505, + 532 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 529, + 330, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 330, + 541 + ], + "score": 1.0, + "content": "and thus does not impact differentiation of the network.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 104, + 471, + 506, + 541 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 545, + 505, + 590 + ], + "lines": [ + { + "bbox": [ + 105, + 544, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 544, + 369, + 559 + ], + "score": 1.0, + "content": "The VAE-GAN architecture of Larsen et al. (2015) has the same", + "type": "text" + }, + { + "bbox": [ + 369, + 546, + 388, + 558 + ], + "score": 0.91, + "content": "f _ { \\mathrm { e n c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 544, + 406, + 559 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 406, + 546, + 424, + 558 + ], + "score": 0.91, + "content": "f _ { \\mathrm { d e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 544, + 505, + 559 + ], + "score": 1.0, + "content": "pair as in the VAE.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 556, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 219, + 569 + ], + "score": 1.0, + "content": "It also adds a discriminator", + "type": "text" + }, + { + "bbox": [ + 220, + 557, + 240, + 568 + ], + "score": 0.9, + "content": "f _ { \\mathrm { d i s c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 556, + 506, + 569 + ], + "score": 1.0, + "content": "that is used during training, as in standard generative adversarial", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 568, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 338, + 580 + ], + "score": 1.0, + "content": "networks (Goodfellow et al., 2014). The loss function of", + "type": "text" + }, + { + "bbox": [ + 338, + 568, + 356, + 579 + ], + "score": 0.9, + "content": "f _ { \\mathrm { d e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 568, + 506, + 580 + ], + "score": 1.0, + "content": "uses the disciminator loss instead of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 320, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 320, + 591 + ], + "score": 1.0, + "content": "cross-entropy for estimating the reconstruction error.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 544, + 506, + 591 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 606, + 239, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 605, + 240, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 240, + 621 + ], + "score": 1.0, + "content": "3 PROBLEM DEFINITION", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 631, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 106, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "We provide a motivating attack scenario for adversaries against generative models, as well as a", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 641, + 339, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 339, + 656 + ], + "score": 1.0, + "content": "formal definition of an adversary in the generative setting.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 630, + 505, + 656 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 667, + 269, + 678 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 270, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 270, + 680 + ], + "score": 1.0, + "content": "3.1 MOTIVATING ATTACK SCENARIO", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "To motivate the attacks presented below, we describe the attack scenario depicted in Figure 1. In", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "this scenario, there are two parties, the sender and the receiver, who wish to share images with each", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 710, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 721 + ], + "score": 1.0, + "content": "other over a computer network. In order to conserve bandwidth, they share a VAE trained on the", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 721, + 432, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 421, + 734 + ], + "score": 1.0, + "content": "input distribution of interest, which will allow them to send only latent vectors", + "type": "text" + }, + { + "bbox": [ + 421, + 723, + 428, + 730 + ], + "score": 0.38, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 721, + 432, + 734 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 688, + 505, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 152, + 79, + 456, + 218 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 152, + 79, + 456, + 218 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 152, + 79, + 456, + 218 + ], + "spans": [ + { + "bbox": [ + 152, + 79, + 456, + 218 + ], + "score": 0.977, + "type": "image", + "image_path": "95790f396fe0425f68d3a69bac937f2d8f8f4944f38467fef3d6e9335923e8fb.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 152, + 79, + 456, + 125.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 152, + 125.33333333333334, + 456, + 171.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 152, + 171.66666666666669, + 456, + 218.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 232, + 505, + 299 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 231, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 205, + 246 + ], + "score": 1.0, + "content": "Figure 2: Results for the", + "type": "text" + }, + { + "bbox": [ + 206, + 233, + 218, + 244 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 231, + 506, + 246 + ], + "score": 1.0, + "content": "optimization latent attack (see Section 4.3) on the VAE-GAN, targeting", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 243, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 104, + 243, + 506, + 257 + ], + "score": 1.0, + "content": "a specific image from the class 0. Shown are the first 12 non-zero images from the test SVHN data", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "set. The columns are, in order: the original image, the reconstruction of the original image, the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "adversarial example, the predicted class of the adversarial example, the reconstruction of the adver-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "sarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 288, + 499, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 499, + 300 + ], + "score": 1.0, + "content": "reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "text", + "bbox": [ + 107, + 321, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 334 + ], + "score": 1.0, + "content": "The attacker’s goal is to convince the sender to send an image of the attacker’s choosing to the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "receiver, but the attacker has no direct control over the bytes sent between the two parties. However,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 409, + 355 + ], + "score": 1.0, + "content": "the attacker has a copy of the shared VAE. The attacker presents an image", + "type": "text" + }, + { + "bbox": [ + 410, + 344, + 421, + 353 + ], + "score": 0.86, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "to the sender which", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 190, + 366 + ], + "score": 1.0, + "content": "resembles an image", + "type": "text" + }, + { + "bbox": [ + 190, + 356, + 199, + 364 + ], + "score": 0.4, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 354, + 505, + 366 + ], + "score": 1.0, + "content": "that the sender wants to share with the receiver. For example, the sender", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 365, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 377 + ], + "score": 1.0, + "content": "wants to share pictures of kittens with the receiver, so the attacker presents a web page to the sender", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 246, + 389 + ], + "score": 1.0, + "content": "with a picture of a kitten, which is", + "type": "text" + }, + { + "bbox": [ + 247, + 376, + 258, + 386 + ], + "score": 0.86, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 376, + 344, + 389 + ], + "score": 1.0, + "content": ". The sender chooses", + "type": "text" + }, + { + "bbox": [ + 345, + 377, + 357, + 386 + ], + "score": 0.85, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 376, + 471, + 389 + ], + "score": 1.0, + "content": "and sends its corresponding", + "type": "text" + }, + { + "bbox": [ + 472, + 378, + 479, + 386 + ], + "score": 0.54, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "receiver, who reconstructs it. However, because the attacker controlled the chosen image, when the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 366, + 411 + ], + "score": 1.0, + "content": "receiver reconstructs it, instead of getting a faithful reproduction", + "type": "text" + }, + { + "bbox": [ + 366, + 398, + 375, + 408 + ], + "score": 0.47, + "content": "\\hat { \\bf x }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 398, + 386, + 411 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 386, + 399, + 394, + 408 + ], + "score": 0.51, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "(e.g., a kitten), the receiver", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 408, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 305, + 423 + ], + "score": 1.0, + "content": "sees some other image of the attacker’s choosing,", + "type": "text" + }, + { + "bbox": [ + 305, + 409, + 325, + 420 + ], + "score": 0.9, + "content": "\\hat { \\mathbf { x } } _ { \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 408, + 473, + 423 + ], + "score": 1.0, + "content": ", which has a different meaning from", + "type": "text" + }, + { + "bbox": [ + 474, + 411, + 482, + 419 + ], + "score": 0.41, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 408, + 506, + 423 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 421, + 332, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 332, + 432 + ], + "score": 1.0, + "content": "a request to send money to the attacker’s bank account).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 506, + 450 + ], + "score": 1.0, + "content": "There are other attacks of this general form, where the sender and the receiver may be separated", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 447, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "by distance, as in this example, or by time, in the case of storing compressed images to disk for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "later retrieval. In the time-separated attack, the sender and the receiver may be the same person or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "multiple different people. In either case, if they are using the insecure channel of the VAE’s latent", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "space, the messages they share may be under the control of an attacker. For example, an attacker", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "may be able to fool an automatic surveillance system if the system uses this type of compression to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "store the video signal before it is processed by other systems. In this case, the subsequent analysis", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 513, + 475, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 475, + 526 + ], + "score": 1.0, + "content": "of the video signal could be on compromised data showing what the attacker wants to show.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 108, + 530, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "While we do not specifically attack their models, viable compression schemes based on deep neural", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "networks have already been proposed in the literature, showing promising results Toderici et al.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 552, + 164, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 164, + 565 + ], + "score": 1.0, + "content": "(2015; 2016).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28 + }, + { + "type": "title", + "bbox": [ + 108, + 579, + 423, + 590 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 424, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 424, + 593 + ], + "score": 1.0, + "content": "3.2 DEFINING ADVERSARIAL EXAMPLES AGAINST GENERATIVE MODELS", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "score": 1.0, + "content": "We make the following assumptions about generating adversarial examples on a target generative", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 137, + 624 + ], + "score": 1.0, + "content": "model,", + "type": "text" + }, + { + "bbox": [ + 137, + 611, + 244, + 623 + ], + "score": 0.89, + "content": "G _ { \\mathrm { t a r g } } ( \\mathbf { x } ) = f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\mathbf { \\bar { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 611, + 250, + 624 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 250, + 611, + 275, + 623 + ], + "score": 0.87, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 611, + 356, + 624 + ], + "score": 1.0, + "content": "is trained on inputs", + "type": "text" + }, + { + "bbox": [ + 356, + 612, + 366, + 621 + ], + "score": 0.8, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 611, + 505, + 624 + ], + "score": 1.0, + "content": "that can naturally be labeled with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 622, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 240, + 634 + ], + "score": 1.0, + "content": "semantically meaningful classes", + "type": "text" + }, + { + "bbox": [ + 240, + 623, + 249, + 633 + ], + "score": 0.74, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 622, + 505, + 634 + ], + "score": 1.0, + "content": ", although there may be no such labels at training time, or the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 304, + 646 + ], + "score": 1.0, + "content": "labels may not have been used during training.", + "type": "text" + }, + { + "bbox": [ + 304, + 633, + 328, + 645 + ], + "score": 0.91, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "normally succeeds at generating an output", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 166, + 656 + ], + "score": 0.93, + "content": "\\hat { \\mathbf { x } } = G _ { \\mathrm { t a r g } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 643, + 201, + 657 + ], + "score": 1.0, + "content": "in class", + "type": "text" + }, + { + "bbox": [ + 201, + 646, + 209, + 655 + ], + "score": 0.79, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 643, + 333, + 657 + ], + "score": 1.0, + "content": "when presented with an input", + "type": "text" + }, + { + "bbox": [ + 333, + 646, + 342, + 654 + ], + "score": 0.61, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 643, + 388, + 657 + ], + "score": 1.0, + "content": "from class", + "type": "text" + }, + { + "bbox": [ + 388, + 646, + 394, + 655 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 643, + 506, + 657 + ], + "score": 1.0, + "content": ". In other words, whatever", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 359, + 668 + ], + "score": 1.0, + "content": "target output class the attacker is interested in, we assume that", + "type": "text" + }, + { + "bbox": [ + 359, + 655, + 383, + 667 + ], + "score": 0.91, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "successfully captures it in the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "latent representation such that it can generate examples of that class from the decoder. This target", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "output class does not need to be from the most salient classes in the training dataset. For example, on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "models trained on MNIST, the attacker may not care about generating different target digits (which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "are the most salient classes). The attacker may prefer to generate the same input digits in a different", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 426, + 724 + ], + "score": 1.0, + "content": "style (perhaps to aid forgery). We also assume that the attacker has access to", + "type": "text" + }, + { + "bbox": [ + 426, + 710, + 450, + 722 + ], + "score": 0.9, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 709, + 506, + 724 + ], + "score": 1.0, + "content": ". Finally, the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 504, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 391, + 732 + ], + "score": 1.0, + "content": "attacker has access to a set of examples from the same distribution as", + "type": "text" + }, + { + "bbox": [ + 391, + 721, + 401, + 730 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 720, + 504, + 732 + ], + "score": 1.0, + "content": "that have the target label", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 36.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 152, + 79, + 456, + 218 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 152, + 79, + 456, + 218 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 152, + 79, + 456, + 218 + ], + "spans": [ + { + "bbox": [ + 152, + 79, + 456, + 218 + ], + "score": 0.977, + "type": "image", + "image_path": "95790f396fe0425f68d3a69bac937f2d8f8f4944f38467fef3d6e9335923e8fb.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 152, + 79, + 456, + 125.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 152, + 125.33333333333334, + 456, + 171.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 152, + 171.66666666666669, + 456, + 218.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 232, + 505, + 299 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 231, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 205, + 246 + ], + "score": 1.0, + "content": "Figure 2: Results for the", + "type": "text" + }, + { + "bbox": [ + 206, + 233, + 218, + 244 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 231, + 506, + 246 + ], + "score": 1.0, + "content": "optimization latent attack (see Section 4.3) on the VAE-GAN, targeting", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 243, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 104, + 243, + 506, + 257 + ], + "score": 1.0, + "content": "a specific image from the class 0. Shown are the first 12 non-zero images from the test SVHN data", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "set. The columns are, in order: the original image, the reconstruction of the original image, the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "adversarial example, the predicted class of the adversarial example, the reconstruction of the adver-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "sarial example, the predicted class of the reconstructed adversarial example, the reconstruction of the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 288, + 499, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 499, + 300 + ], + "score": 1.0, + "content": "reconstructed adversarial example (see Section 4.5), and the predicted class of that reconstruction.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "text", + "bbox": [ + 107, + 321, + 505, + 431 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 334 + ], + "score": 1.0, + "content": "The attacker’s goal is to convince the sender to send an image of the attacker’s choosing to the", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 331, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 506, + 345 + ], + "score": 1.0, + "content": "receiver, but the attacker has no direct control over the bytes sent between the two parties. However,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 343, + 506, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 409, + 355 + ], + "score": 1.0, + "content": "the attacker has a copy of the shared VAE. The attacker presents an image", + "type": "text" + }, + { + "bbox": [ + 410, + 344, + 421, + 353 + ], + "score": 0.86, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 343, + 506, + 355 + ], + "score": 1.0, + "content": "to the sender which", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 354, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 190, + 366 + ], + "score": 1.0, + "content": "resembles an image", + "type": "text" + }, + { + "bbox": [ + 190, + 356, + 199, + 364 + ], + "score": 0.4, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 354, + 505, + 366 + ], + "score": 1.0, + "content": "that the sender wants to share with the receiver. For example, the sender", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 365, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 377 + ], + "score": 1.0, + "content": "wants to share pictures of kittens with the receiver, so the attacker presents a web page to the sender", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 246, + 389 + ], + "score": 1.0, + "content": "with a picture of a kitten, which is", + "type": "text" + }, + { + "bbox": [ + 247, + 376, + 258, + 386 + ], + "score": 0.86, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 376, + 344, + 389 + ], + "score": 1.0, + "content": ". The sender chooses", + "type": "text" + }, + { + "bbox": [ + 345, + 377, + 357, + 386 + ], + "score": 0.85, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 376, + 471, + 389 + ], + "score": 1.0, + "content": "and sends its corresponding", + "type": "text" + }, + { + "bbox": [ + 472, + 378, + 479, + 386 + ], + "score": 0.54, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "receiver, who reconstructs it. However, because the attacker controlled the chosen image, when the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 366, + 411 + ], + "score": 1.0, + "content": "receiver reconstructs it, instead of getting a faithful reproduction", + "type": "text" + }, + { + "bbox": [ + 366, + 398, + 375, + 408 + ], + "score": 0.47, + "content": "\\hat { \\bf x }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 398, + 386, + 411 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 386, + 399, + 394, + 408 + ], + "score": 0.51, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "(e.g., a kitten), the receiver", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 408, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 305, + 423 + ], + "score": 1.0, + "content": "sees some other image of the attacker’s choosing,", + "type": "text" + }, + { + "bbox": [ + 305, + 409, + 325, + 420 + ], + "score": 0.9, + "content": "\\hat { \\mathbf { x } } _ { \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 408, + 473, + 423 + ], + "score": 1.0, + "content": ", which has a different meaning from", + "type": "text" + }, + { + "bbox": [ + 474, + 411, + 482, + 419 + ], + "score": 0.41, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 408, + 506, + 423 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 421, + 332, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 332, + 432 + ], + "score": 1.0, + "content": "a request to send money to the attacker’s bank account).", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 320, + 506, + 432 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 506, + 450 + ], + "score": 1.0, + "content": "There are other attacks of this general form, where the sender and the receiver may be separated", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 447, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "by distance, as in this example, or by time, in the case of storing compressed images to disk for", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "later retrieval. In the time-separated attack, the sender and the receiver may be the same person or", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 505, + 482 + ], + "score": 1.0, + "content": "multiple different people. In either case, if they are using the insecure channel of the VAE’s latent", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 493 + ], + "score": 1.0, + "content": "space, the messages they share may be under the control of an attacker. For example, an attacker", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "may be able to fool an automatic surveillance system if the system uses this type of compression to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 503, + 505, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 515 + ], + "score": 1.0, + "content": "store the video signal before it is processed by other systems. In this case, the subsequent analysis", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 513, + 475, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 475, + 526 + ], + "score": 1.0, + "content": "of the video signal could be on compromised data showing what the attacker wants to show.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 435, + 506, + 526 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 530, + 505, + 564 + ], + "lines": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "While we do not specifically attack their models, viable compression schemes based on deep neural", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "networks have already been proposed in the literature, showing promising results Toderici et al.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 552, + 164, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 164, + 565 + ], + "score": 1.0, + "content": "(2015; 2016).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 529, + 505, + 565 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 579, + 423, + 590 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 424, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 424, + 593 + ], + "score": 1.0, + "content": "3.2 DEFINING ADVERSARIAL EXAMPLES AGAINST GENERATIVE MODELS", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 600, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "score": 1.0, + "content": "We make the following assumptions about generating adversarial examples on a target generative", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 137, + 624 + ], + "score": 1.0, + "content": "model,", + "type": "text" + }, + { + "bbox": [ + 137, + 611, + 244, + 623 + ], + "score": 0.89, + "content": "G _ { \\mathrm { t a r g } } ( \\mathbf { x } ) = f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\mathbf { \\bar { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 611, + 250, + 624 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 250, + 611, + 275, + 623 + ], + "score": 0.87, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 611, + 356, + 624 + ], + "score": 1.0, + "content": "is trained on inputs", + "type": "text" + }, + { + "bbox": [ + 356, + 612, + 366, + 621 + ], + "score": 0.8, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 611, + 505, + 624 + ], + "score": 1.0, + "content": "that can naturally be labeled with", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 622, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 240, + 634 + ], + "score": 1.0, + "content": "semantically meaningful classes", + "type": "text" + }, + { + "bbox": [ + 240, + 623, + 249, + 633 + ], + "score": 0.74, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 622, + 505, + 634 + ], + "score": 1.0, + "content": ", although there may be no such labels at training time, or the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 632, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 304, + 646 + ], + "score": 1.0, + "content": "labels may not have been used during training.", + "type": "text" + }, + { + "bbox": [ + 304, + 633, + 328, + 645 + ], + "score": 0.91, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 632, + 506, + 646 + ], + "score": 1.0, + "content": "normally succeeds at generating an output", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 166, + 656 + ], + "score": 0.93, + "content": "\\hat { \\mathbf { x } } = G _ { \\mathrm { t a r g } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 643, + 201, + 657 + ], + "score": 1.0, + "content": "in class", + "type": "text" + }, + { + "bbox": [ + 201, + 646, + 209, + 655 + ], + "score": 0.79, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 643, + 333, + 657 + ], + "score": 1.0, + "content": "when presented with an input", + "type": "text" + }, + { + "bbox": [ + 333, + 646, + 342, + 654 + ], + "score": 0.61, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 643, + 388, + 657 + ], + "score": 1.0, + "content": "from class", + "type": "text" + }, + { + "bbox": [ + 388, + 646, + 394, + 655 + ], + "score": 0.75, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 643, + 506, + 657 + ], + "score": 1.0, + "content": ". In other words, whatever", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 359, + 668 + ], + "score": 1.0, + "content": "target output class the attacker is interested in, we assume that", + "type": "text" + }, + { + "bbox": [ + 359, + 655, + 383, + 667 + ], + "score": 0.91, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "successfully captures it in the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "latent representation such that it can generate examples of that class from the decoder. This target", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "output class does not need to be from the most salient classes in the training dataset. For example, on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "models trained on MNIST, the attacker may not care about generating different target digits (which", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "are the most salient classes). The attacker may prefer to generate the same input digits in a different", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 426, + 724 + ], + "score": 1.0, + "content": "style (perhaps to aid forgery). We also assume that the attacker has access to", + "type": "text" + }, + { + "bbox": [ + 426, + 710, + 450, + 722 + ], + "score": 0.9, + "content": "G _ { \\mathrm { t a r g } }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 709, + 506, + 724 + ], + "score": 1.0, + "content": ". Finally, the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 504, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 391, + 732 + ], + "score": 1.0, + "content": "attacker has access to a set of examples from the same distribution as", + "type": "text" + }, + { + "bbox": [ + 391, + 721, + 401, + 730 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 720, + 504, + 732 + ], + "score": 1.0, + "content": "that have the target label", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 255, + 116, + 265 + ], + "score": 0.81, + "content": "y _ { t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 117, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "the attacker wants to generate. This does not mean that the attacker needs access to the labeled", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "score": 1.0, + "content": "training dataset (which may not exist), or to an appropriate labeled dataset with large numbers of", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 275, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 238, + 288 + ], + "score": 1.0, + "content": "examples labeled for each class", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 238, + 276, + 267, + 286 + ], + "score": 0.91, + "content": "y \\in \\mathcal { V }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 268, + 275, + 505, + 288 + ], + "score": 1.0, + "content": "(which may be hard or expensive to collect). 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The path", + "type": "text" + }, + { + "bbox": [ + 240, + 209, + 376, + 221 + ], + "score": 0.91, + "content": "{ \\bf x } f _ { \\mathrm { e n c } } { \\bf z } f _ { \\mathrm { c l a s s } } \\hat { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "is used to generate adversarial", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 219, + 332, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 156, + 234 + ], + "score": 1.0, + "content": "examples in", + "type": "text" + }, + { + "bbox": [ + 156, + 222, + 163, + 230 + ], + "score": 0.37, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 219, + 310, + 234 + ], + "score": 1.0, + "content": ", which can then be reconstructed by", + "type": "text" + }, + { + "bbox": [ + 310, + 221, + 328, + 232 + ], + "score": 0.87, + "content": "f _ { \\mathrm { d e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 219, + 332, + 234 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 253, + 505, + 308 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 106, + 255, + 116, + 265 + ], + "score": 0.81, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "the attacker wants to generate. 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The attacks", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 505, + 299 + ], + "score": 1.0, + "content": "described here may be successful with only a small amount of data labeled for a single target class", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 296, + 152, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 152, + 309 + ], + "score": 1.0, + "content": "of interest.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 107, + 314, + 505, + 369 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 327 + ], + "score": 1.0, + "content": "One way to generate such adversaries is by solving the optimization problem", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 324, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 147, + 337 + ], + "score": 0.71, + "content": "\\mathrm { a r g m i n } _ { \\mathbf { x } ^ { * } }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 325, + 185, + 337 + ], + "score": 0.86, + "content": "L ( \\mathbf { x } , \\mathbf { x } ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 325, + 332, + 337 + ], + "score": 0.4, + "content": "\\begin{array} { r c l } { s . t . \\ \\mathrm { O R A C L E } ( G _ { \\mathrm { t a r g } } ( \\mathbf { x } ^ { * } ) ) } & { = } & { y _ { t } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 324, + 506, + 339 + ], + "score": 1.0, + "content": ", where ORACLE reliably discriminates", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 335, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 208, + 349 + ], + "score": 1.0, + "content": "between inputs of class", + "type": "text" + }, + { + "bbox": [ + 209, + 338, + 218, + 347 + ], + "score": 0.81, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 335, + 505, + 349 + ], + "score": 1.0, + "content": "and inputs of other classes. In practice, a classifier trained by the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 346, + 506, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 359 + ], + "score": 1.0, + "content": "attacker may server as ORACLE. Other types of adversaries from Section 2.1 can also be used to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 358, + 459, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 459, + 370 + ], + "score": 1.0, + "content": "approximate this optimization in natural ways, some of which we describe in Section 4.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 430 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "If the attacker only needs to generate one successful attack, the problem of determining if an attack", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 329, + 398 + ], + "score": 1.0, + "content": "is successful can be solved by manually reviewing the", + "type": "text" + }, + { + "bbox": [ + 329, + 386, + 341, + 396 + ], + "score": 0.86, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 385, + 360, + 398 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 360, + 386, + 381, + 397 + ], + "score": 0.91, + "content": "\\hat { \\mathbf { x } } _ { \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "pairs and choosing whichever", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "score": 1.0, + "content": "the attacker considers best. However, if the attacker wants to generate many successful attacks, an", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 408, + 504, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 504, + 419 + ], + "score": 1.0, + "content": "automated method of evaluating the success of an attack is necessary. We show in Section 4.5 how", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 419, + 492, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 438, + 432 + ], + "score": 1.0, + "content": "to measure the effectiveness of an attack automatically using a classifier trained on", + "type": "text" + }, + { + "bbox": [ + 438, + 419, + 488, + 431 + ], + "score": 0.93, + "content": "\\mathbf { z } = f _ { \\mathrm { e n c } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 419, + 492, + 432 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + }, + { + "type": "title", + "bbox": [ + 108, + 448, + 251, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 447, + 252, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 252, + 462 + ], + "score": 1.0, + "content": "4 ATTACK METHODOLOGY", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 473, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "The attacker would like to construct an adversarially-perturbed input to influence the latent repre-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 485, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 506, + 497 + ], + "score": 1.0, + "content": "sentation in a way that will cause the reconstruction process to reconstruct an output for a different", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 508 + ], + "score": 1.0, + "content": "class. 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All three methods are technically applicable to any generative architecture that relies on a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 222, + 552 + ], + "score": 1.0, + "content": "learned latent representation", + "type": "text" + }, + { + "bbox": [ + 222, + 541, + 228, + 549 + ], + "score": 0.33, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 540, + 505, + 552 + ], + "score": 1.0, + "content": ". 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This approach allows us to apply all of the existing attacks", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "on classifiers in the literature. 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We propose three approaches to attacking generative models: a classifier-based attack, where", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 307, + 519 + ], + "score": 1.0, + "content": "we train a new classifier on top of the latent space", + "type": "text" + }, + { + "bbox": [ + 307, + 509, + 314, + 517 + ], + "score": 0.37, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "and use that classifier to find adversarial exam-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 262, + 530 + ], + "score": 1.0, + "content": "ples in the latent space; an attack using", + "type": "text" + }, + { + "bbox": [ + 262, + 518, + 286, + 529 + ], + "score": 0.84, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "to target the output directly; and an attack on the latent", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 529, + 506, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 133, + 542 + ], + "score": 1.0, + "content": "space,", + "type": "text" + }, + { + "bbox": [ + 134, + 531, + 140, + 538 + ], + "score": 0.34, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 529, + 506, + 542 + ], + "score": 1.0, + "content": ". All three methods are technically applicable to any generative architecture that relies on a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 540, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 222, + 552 + ], + "score": 1.0, + "content": "learned latent representation", + "type": "text" + }, + { + "bbox": [ + 222, + 541, + 228, + 549 + ], + "score": 0.33, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 540, + 505, + 552 + ], + "score": 1.0, + "content": ". Without loss of generality, we focus on the VAE-GAN architecture.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 474, + 506, + 552 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 566, + 218, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 565, + 219, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 219, + 578 + ], + "score": 1.0, + "content": "4.1 CLASSIFIER ATTACK", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 586, + 505, + 653 + ], + "lines": [ + { + "bbox": [ + 105, + 586, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 197, + 600 + ], + "score": 1.0, + "content": "By adding a classifier", + "type": "text" + }, + { + "bbox": [ + 197, + 587, + 219, + 599 + ], + "score": 0.91, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 586, + 505, + 600 + ], + "score": 1.0, + "content": "to the pre-trained generative model5, we can turn the problem of gen-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 597, + 504, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 504, + 610 + ], + "score": 1.0, + "content": "erating adversaries for generative models back into the previously solved problem of generating", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 608, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 505, + 622 + ], + "score": 1.0, + "content": "adversarial examples for classifiers. This approach allows us to apply all of the existing attacks", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 632 + ], + "score": 1.0, + "content": "on classifiers in the literature. However, as discussed below, using this classifier tends to produce", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 631, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 505, + 642 + ], + "score": 1.0, + "content": "lower-quality reconstructions from the adversarial examples than the other two attacks due to the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 642, + 223, + 654 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 223, + 654 + ], + "score": 1.0, + "content": "inaccuracies of the classifier.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 586, + 505, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 667, + 504, + 700 + ], + "lines": [ + { + "bbox": [ + 106, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 439, + 680 + ], + "score": 1.0, + "content": "Step 1. 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This attack is similar to the work of Sabour et al. 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(2013) and Carlini", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 673, + 504, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 504, + 686 + ], + "score": 1.0, + "content": "& Wagner (2016), poses the adversarial generation problem as the following optimization problem:", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5, + "bbox_fs": [ + 106, + 662, + 505, + 686 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 695, + 375, + 708 + ], + "lines": [ + { + "bbox": [ + 236, + 695, + 375, + 708 + ], + "spans": [ + { + "bbox": [ + 236, + 695, + 375, + 708 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\operatorname * { a r g m i n } _ { \\mathbf { x } ^ { * } } \\lambda L ( \\mathbf { x } , \\mathbf { x } ^ { * } ) + \\mathcal { L } ( \\mathbf { x } ^ { * } , y _ { t } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "6c8928ca69c1c41e129ae5c782abe01ecdca90a5b38d80e8b631c57ad4555295.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 236, + 695, + 375, + 708 + ], + "spans": [], + "index": 42 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 150, + 722 + ], + "score": 1.0, + "content": "As above,", + "type": "text" + }, + { + "bbox": [ + 150, + 709, + 169, + 721 + ], + "score": 0.91, + "content": "L ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 708, + 281, + 722 + ], + "score": 1.0, + "content": "is a distance measure, and", + "type": "text" + }, + { + "bbox": [ + 281, + 710, + 290, + 720 + ], + "score": 0.83, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 708, + 331, + 722 + ], + "score": 1.0, + "content": "is one of", + "type": "text" + }, + { + "bbox": [ + 331, + 710, + 369, + 721 + ], + "score": 0.64, + "content": "\\mathcal { L } _ { \\mathrm { c l a s s i f i e r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 708, + 374, + 722 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 374, + 710, + 398, + 721 + ], + "score": 0.8, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 708, + 415, + 722 + ], + "score": 1.0, + "content": ", or", + "type": "text" + }, + { + "bbox": [ + 415, + 710, + 443, + 721 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { l a t e n t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 708, + 506, + 722 + ], + "score": 1.0, + "content": ". The constant", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 720, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 107, + 721, + 114, + 730 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 720, + 333, + 734 + ], + "score": 1.0, + "content": "is used to balance the two loss contributions. For the", + "type": "text" + }, + { + "bbox": [ + 334, + 721, + 358, + 732 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 359, + 720, + 506, + 734 + ], + "score": 1.0, + "content": "attack, the optimizer must do a full", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 43.5, + "bbox_fs": [ + 105, + 708, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "reconstruction at each step of the optimizer. The other two attacks do not need to do reconstructions", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "while the optimizer is running, so they generate adversarial examples much more quickly, as shown", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 151, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 151, + 115 + ], + "score": 1.0, + "content": "in Table 1.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "title", + "bbox": [ + 108, + 129, + 291, + 140 + ], + "lines": [ + { + "bbox": [ + 106, + 128, + 292, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 292, + 141 + ], + "score": 1.0, + "content": "4.5 MEASURING ATTACK EFFECTIVENESS", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 149, + 505, + 183 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "To generate a large number of adversarial examples automatically against a generative model, the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 435, + 174 + ], + "score": 1.0, + "content": "attacker needs a way to judge the quality of the adversarial examples. We leverage", + "type": "text" + }, + { + "bbox": [ + 435, + 161, + 458, + 172 + ], + "score": 0.9, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 159, + 505, + 174 + ], + "score": 1.0, + "content": "to estimate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 171, + 283, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 283, + 183 + ], + "score": 1.0, + "content": "whether a particular attack was successful.6", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 194, + 504, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 195, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 208 + ], + "score": 1.0, + "content": "Reconstruction feedback loop. The architecture is the same as shown in Figure 3. 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The predicted label", + "type": "text" + }, + { + "bbox": [ + 399, + 284, + 407, + 295 + ], + "score": 0.85, + "content": "\\hat { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 284, + 505, + 296 + ], + "score": 1.0, + "content": "after the reconstruction", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 301, + 307 + ], + "score": 1.0, + "content": "feedback loop is compared with the attack target", + "type": "text" + }, + { + "bbox": [ + 301, + 296, + 311, + 306 + ], + "score": 0.85, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "to determine if the adversarial example success-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 305, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 384, + 319 + ], + "score": 1.0, + "content": "fully reconstructed to the target class. If the precision and recall of", + "type": "text" + }, + { + "bbox": [ + 384, + 306, + 407, + 317 + ], + "score": 0.91, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 305, + 506, + 319 + ], + "score": 1.0, + "content": "are sufficiently high on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 116, + 328 + ], + "score": 0.45, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 316, + 120, + 329 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 120, + 317, + 143, + 328 + ], + "score": 0.71, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "can be used to filter out most of the failed adversarial examples while keeping most of the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 328, + 153, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 153, + 340 + ], + "score": 1.0, + "content": "good ones.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 504, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "We derive two metrics from classifier predictions after one reconstruction feedback loop. The first", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 354, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 104, + 354, + 144, + 370 + ], + "score": 1.0, + "content": "metric is", + "type": "text" + }, + { + "bbox": [ + 144, + 356, + 211, + 367 + ], + "score": 0.84, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 354, + 506, + 370 + ], + "score": 1.0, + "content": ", the attack success rate ignoring targeting, i.e., without requiring the out-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 352, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 352, + 379 + ], + "score": 1.0, + "content": "put class of the adversarial example to match the target class:", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 381, + 374, + 415 + ], + "lines": [ + { + "bbox": [ + 237, + 381, + 374, + 415 + ], + "spans": [ + { + "bbox": [ + 237, + 381, + 374, + 415 + ], + "score": 0.95, + "content": "A S _ { i g n o r e - t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } \\ne y ^ { i } }", + "type": "interline_equation", + "image_path": "dad06e4716783a0c906fc7de46614805f37b8552538921338af7027bd40c1b86.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 237, + 381, + 374, + 398.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 237, + 398.0, + 374, + 415.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 107, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 107, + 420, + 117, + 429 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 419, + 352, + 432 + ], + "score": 1.0, + "content": "is the total number of reconstructed adversarial examples;", + "type": "text" + }, + { + "bbox": [ + 352, + 419, + 379, + 432 + ], + "score": 0.92, + "content": "\\mathbf { 1 } _ { \\hat { y } ^ { i } \\neq y ^ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 419, + 422, + 432 + ], + "score": 1.0, + "content": "is 1 when", + "type": "text" + }, + { + "bbox": [ + 422, + 419, + 432, + 431 + ], + "score": 0.88, + "content": "\\hat { y } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 419, + 505, + 432 + ], + "score": 1.0, + "content": ", the classification", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 504, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 235, + 444 + ], + "score": 1.0, + "content": "of the reconstruction for image", + "type": "text" + }, + { + "bbox": [ + 236, + 433, + 240, + 442 + ], + "score": 0.7, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 432, + 307, + 444 + ], + "score": 1.0, + "content": ", does not equal", + "type": "text" + }, + { + "bbox": [ + 307, + 431, + 316, + 443 + ], + "score": 0.88, + "content": "y ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 432, + 504, + 444 + ], + "score": 1.0, + "content": ", the ground truth classification of the original", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 293, + 457 + ], + "score": 1.0, + "content": "image, and 0 otherwise. The second metric is", + "type": "text" + }, + { + "bbox": [ + 293, + 443, + 330, + 455 + ], + "score": 0.9, + "content": "A S _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 442, + 506, + 457 + ], + "score": 1.0, + "content": ", the attack success rate including targeting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "(i.e., requiring the output class of the adversarial example to match the target class), which we define", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 159, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 159, + 478 + ], + "score": 1.0, + "content": "similarly as:", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "interline_equation", + "bbox": [ + 250, + 474, + 361, + 508 + ], + "lines": [ + { + "bbox": [ + 250, + 474, + 361, + 508 + ], + "spans": [ + { + "bbox": [ + 250, + 474, + 361, + 508 + ], + "score": 0.95, + "content": "A S _ { t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } = y _ { t } ^ { i } } .", + "type": "interline_equation", + "image_path": "fd387a3f9bc3c2e002f815172ddad829522690ca3e56fabf024ac76e2cf7c570.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 250, + 474, + 361, + 491.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 250, + 491.0, + 361, + 508.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 451, + 523 + ], + "score": 1.0, + "content": "Both metrics are expected to be higher for more successful attacks. Note that", + "type": "text" + }, + { + "bbox": [ + 452, + 509, + 505, + 522 + ], + "score": 0.87, + "content": "A S _ { t a r g e t } \\ \\le", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 173, + 533 + ], + "score": 0.83, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 520, + 506, + 534 + ], + "score": 1.0, + "content": ". When computing these metrics, we exclude input examples that have the same", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 531, + 255, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 255, + 543 + ], + "score": 1.0, + "content": "ground truth class as the target class.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "title", + "bbox": [ + 108, + 558, + 193, + 570 + ], + "lines": [ + { + "bbox": [ + 104, + 556, + 195, + 574 + ], + "spans": [ + { + "bbox": [ + 104, + 556, + 195, + 574 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "score": 1.0, + "content": "We evaluate the three attacks on MNIST (LeCun et al., 1998), SVHN (Netzer et al., 2011) and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "CelebA (Liu et al., 2015), using the standard training and validation set splits. The VAE and VAE-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 603, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 619 + ], + "score": 1.0, + "content": "GAN architectures are implemented in TensorFlow (Abadi & et al., 2015). We optimized using", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 615, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 506, + 628 + ], + "score": 1.0, + "content": "Adam with learning rate 0.001 and other parameters set to default values for both the generative", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 506, + 639 + ], + "score": 1.0, + "content": "model and the classifier. For the VAE, we use two architectures: a simple architecture with a single", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 638, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 505, + 649 + ], + "score": 1.0, + "content": "fully-connected hidden layer with 512 units and ReLU activation function; and a convolutional ar-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 661 + ], + "score": 1.0, + "content": "chitecture taken from the original VAE-GAN paper Larsen et al. (2015) (but trained with only the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 671 + ], + "score": 1.0, + "content": "VAE loss). We use the same architecture trained with the additional GAN loss for the VAE-GAN", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 669, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 505, + 684 + ], + "score": 1.0, + "content": "model, as described in that work. 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However, the network itself is identical, so we don’t distinguish between the two uses in the notation.", + "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" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "reconstruction at each step of the optimizer. The other two attacks do not need to do reconstructions", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "while the optimizer is running, so they generate adversarial examples much more quickly, as shown", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 151, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 151, + 115 + ], + "score": 1.0, + "content": "in Table 1.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1, + "bbox_fs": [ + 105, + 82, + 505, + 115 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 129, + 291, + 140 + ], + "lines": [ + { + "bbox": [ + 106, + 128, + 292, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 292, + 141 + ], + "score": 1.0, + "content": "4.5 MEASURING ATTACK EFFECTIVENESS", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 149, + 505, + 183 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 505, + 162 + ], + "score": 1.0, + "content": "To generate a large number of adversarial examples automatically against a generative model, the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 159, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 435, + 174 + ], + "score": 1.0, + "content": "attacker needs a way to judge the quality of the adversarial examples. We leverage", + "type": "text" + }, + { + "bbox": [ + 435, + 161, + 458, + 172 + ], + "score": 0.9, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 159, + 505, + 174 + ], + "score": 1.0, + "content": "to estimate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 171, + 283, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 283, + 183 + ], + "score": 1.0, + "content": "whether a particular attack was successful.6", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5, + "bbox_fs": [ + 105, + 149, + 505, + 183 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 194, + 504, + 217 + ], + "lines": [ + { + "bbox": [ + 106, + 195, + 505, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 208 + ], + "score": 1.0, + "content": "Reconstruction feedback loop. The architecture is the same as shown in Figure 3. We use the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 205, + 437, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 363, + 220 + ], + "score": 1.0, + "content": "generative model to reconstruct the attempted adversarial inputs", + "type": "text" + }, + { + "bbox": [ + 364, + 206, + 375, + 216 + ], + "score": 0.87, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 205, + 437, + 220 + ], + "score": 1.0, + "content": "by computing:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 195, + 505, + 220 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 260, + 220, + 351, + 234 + ], + "lines": [ + { + "bbox": [ + 260, + 220, + 351, + 234 + ], + "spans": [ + { + "bbox": [ + 260, + 220, + 351, + 234 + ], + "score": 0.91, + "content": "\\hat { \\mathbf { x } } ^ { * } = f _ { \\mathrm { d e c } } ( f _ { \\mathrm { e n c } } ( \\mathbf { x } ^ { * } ) ) .", + "type": "interline_equation", + "image_path": "d3514dc41f73c7680790cb447f763a974e204349c0b6acdafebe8e81b6e40565.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 260, + 220, + 351, + 234 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 237, + 235, + 249 + ], + "lines": [ + { + "bbox": [ + 106, + 236, + 235, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 132, + 250 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + }, + { + "bbox": [ + 132, + 237, + 155, + 249 + ], + "score": 0.92, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 236, + 235, + 250 + ], + "score": 1.0, + "content": "is used to compute:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 106, + 236, + 235, + 250 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 261, + 247, + 349, + 261 + ], + "lines": [ + { + "bbox": [ + 261, + 247, + 349, + 261 + ], + "spans": [ + { + "bbox": [ + 261, + 247, + 349, + 261 + ], + "score": 0.91, + "content": "\\hat { y } = f _ { \\mathrm { c l a s s } } ( f _ { \\mathrm { e n c } } ( \\hat { \\mathbf { x } } ^ { * } ) ) .", + "type": "interline_equation", + "image_path": "02c5d1b3d5b8043b0dc80e8f1ba8ab4e690b3fdc0949209f74082d730880d4c7.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 261, + 247, + 349, + 261 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 262, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 232, + 274 + ], + "score": 1.0, + "content": "The input adversarial examples", + "type": "text" + }, + { + "bbox": [ + 232, + 263, + 244, + 272 + ], + "score": 0.87, + "content": "\\mathbf { x } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "are not classified directly, but are first fed to the generative model", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 456, + 285 + ], + "score": 1.0, + "content": "for reconstruction. This reconstruction loop improves the accuracy of the classifier by", + "type": "text" + }, + { + "bbox": [ + 456, + 272, + 476, + 284 + ], + "score": 0.88, + "content": "6 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "on av-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 284, + 505, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 399, + 296 + ], + "score": 1.0, + "content": "erage against the adversarial attacks we examined. The predicted label", + "type": "text" + }, + { + "bbox": [ + 399, + 284, + 407, + 295 + ], + "score": 0.85, + "content": "\\hat { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 284, + 505, + 296 + ], + "score": 1.0, + "content": "after the reconstruction", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 295, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 301, + 307 + ], + "score": 1.0, + "content": "feedback loop is compared with the attack target", + "type": "text" + }, + { + "bbox": [ + 301, + 296, + 311, + 306 + ], + "score": 0.85, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 295, + 505, + 307 + ], + "score": 1.0, + "content": "to determine if the adversarial example success-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 305, + 506, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 384, + 319 + ], + "score": 1.0, + "content": "fully reconstructed to the target class. If the precision and recall of", + "type": "text" + }, + { + "bbox": [ + 384, + 306, + 407, + 317 + ], + "score": 0.91, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 305, + 506, + 319 + ], + "score": 1.0, + "content": "are sufficiently high on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 116, + 328 + ], + "score": 0.45, + "content": "y _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 316, + 120, + 329 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 120, + 317, + 143, + 328 + ], + "score": 0.71, + "content": "f _ { \\mathrm { c l a s s } }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "can be used to filter out most of the failed adversarial examples while keeping most of the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 328, + 153, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 153, + 340 + ], + "score": 1.0, + "content": "good ones.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 261, + 506, + 340 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 504, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "We derive two metrics from classifier predictions after one reconstruction feedback loop. The first", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 354, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 104, + 354, + 144, + 370 + ], + "score": 1.0, + "content": "metric is", + "type": "text" + }, + { + "bbox": [ + 144, + 356, + 211, + 367 + ], + "score": 0.84, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 354, + 506, + 370 + ], + "score": 1.0, + "content": ", the attack success rate ignoring targeting, i.e., without requiring the out-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 367, + 352, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 352, + 379 + ], + "score": 1.0, + "content": "put class of the adversarial example to match the target class:", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 344, + 506, + 379 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 381, + 374, + 415 + ], + "lines": [ + { + "bbox": [ + 237, + 381, + 374, + 415 + ], + "spans": [ + { + "bbox": [ + 237, + 381, + 374, + 415 + ], + "score": 0.95, + "content": "A S _ { i g n o r e - t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } \\ne y ^ { i } }", + "type": "interline_equation", + "image_path": "dad06e4716783a0c906fc7de46614805f37b8552538921338af7027bd40c1b86.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 237, + 381, + 374, + 398.0 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 237, + 398.0, + 374, + 415.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 107, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 107, + 420, + 117, + 429 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 419, + 352, + 432 + ], + "score": 1.0, + "content": "is the total number of reconstructed adversarial examples;", + "type": "text" + }, + { + "bbox": [ + 352, + 419, + 379, + 432 + ], + "score": 0.92, + "content": "\\mathbf { 1 } _ { \\hat { y } ^ { i } \\neq y ^ { i } }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 419, + 422, + 432 + ], + "score": 1.0, + "content": "is 1 when", + "type": "text" + }, + { + "bbox": [ + 422, + 419, + 432, + 431 + ], + "score": 0.88, + "content": "\\hat { y } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 419, + 505, + 432 + ], + "score": 1.0, + "content": ", the classification", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 504, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 235, + 444 + ], + "score": 1.0, + "content": "of the reconstruction for image", + "type": "text" + }, + { + "bbox": [ + 236, + 433, + 240, + 442 + ], + "score": 0.7, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 432, + 307, + 444 + ], + "score": 1.0, + "content": ", does not equal", + "type": "text" + }, + { + "bbox": [ + 307, + 431, + 316, + 443 + ], + "score": 0.88, + "content": "y ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 432, + 504, + 444 + ], + "score": 1.0, + "content": ", the ground truth classification of the original", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 442, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 293, + 457 + ], + "score": 1.0, + "content": "image, and 0 otherwise. The second metric is", + "type": "text" + }, + { + "bbox": [ + 293, + 443, + 330, + 455 + ], + "score": 0.9, + "content": "A S _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 442, + 506, + 457 + ], + "score": 1.0, + "content": ", the attack success rate including targeting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "(i.e., requiring the output class of the adversarial example to match the target class), which we define", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 159, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 159, + 478 + ], + "score": 1.0, + "content": "similarly as:", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 419, + 506, + 478 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 250, + 474, + 361, + 508 + ], + "lines": [ + { + "bbox": [ + 250, + 474, + 361, + 508 + ], + "spans": [ + { + "bbox": [ + 250, + 474, + 361, + 508 + ], + "score": 0.95, + "content": "A S _ { t a r g e t } = \\frac { 1 } { N } \\sum _ { i = 1 } ^ { N } \\mathbf { 1 } _ { \\hat { y } ^ { i } = y _ { t } ^ { i } } .", + "type": "interline_equation", + "image_path": "fd387a3f9bc3c2e002f815172ddad829522690ca3e56fabf024ac76e2cf7c570.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 250, + 474, + 361, + 491.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 250, + 491.0, + 361, + 508.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 509, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 451, + 523 + ], + "score": 1.0, + "content": "Both metrics are expected to be higher for more successful attacks. Note that", + "type": "text" + }, + { + "bbox": [ + 452, + 509, + 505, + 522 + ], + "score": 0.87, + "content": "A S _ { t a r g e t } \\ \\le", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 520, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 107, + 520, + 173, + 533 + ], + "score": 0.83, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 520, + 506, + 534 + ], + "score": 1.0, + "content": ". When computing these metrics, we exclude input examples that have the same", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 531, + 255, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 255, + 543 + ], + "score": 1.0, + "content": "ground truth class as the target class.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 506, + 506, + 543 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 558, + 193, + 570 + ], + "lines": [ + { + "bbox": [ + 104, + 556, + 195, + 574 + ], + "spans": [ + { + "bbox": [ + 104, + 556, + 195, + 574 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 505, + 594 + ], + "score": 1.0, + "content": "We evaluate the three attacks on MNIST (LeCun et al., 1998), SVHN (Netzer et al., 2011) and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "CelebA (Liu et al., 2015), using the standard training and validation set splits. 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Shown are the first 12 non-zero images from the test MNIST data set. The columns", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "are, in order: the original image, the reconstruction of the original image, the adversarial example,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 226, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 237 + ], + "score": 1.0, + "content": "the predicted class of the adversarial example, the reconstruction of the adversarial example, the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 248, + 443, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 443, + 259 + ], + "score": 1.0, + "content": "adversarial example (see Section 4.5), and the predicted class of that reconstruction.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 279, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "In this section we only show results where no sampling from latent space has been performed.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 234, + 303 + ], + "score": 1.0, + "content": "Instead we use the mean vector", + "type": "text" + }, + { + "bbox": [ + 235, + 292, + 243, + 302 + ], + "score": 0.82, + "content": "\\pmb { \\mu }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "as the latent representation z. As sampling can have an effect on", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "score": 1.0, + "content": "the resulting reconstructions, we evaluated it separately. We show the results with different number", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "of samples in Figure 22 in the Appendix. On most examples, the visible change is small and in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 324, + 251, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 251, + 334 + ], + "score": 1.0, + "content": "general the attack is still successful.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "title", + "bbox": [ + 107, + 347, + 165, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 167, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 167, + 361 + ], + "score": 1.0, + "content": "5.1 MNIST", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 368, + 505, + 434 + ], + "lines": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "Both VAE and VAE-GAN by themselves reconstruct the original inputs well as show in Figure 9,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "although the quality from the VAE-GAN is noticeably better. As a control, we also generate random", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "noise of the same magnitude as used for the adversarial examples (see Figure 13), to show that ran-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "dom noise does not cause the reconstructed noisy images to change in any significant way. Although", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 412, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 424 + ], + "score": 1.0, + "content": "we ran experiments on both VAEs and VAE-GANs, we only show results for the VAE-GAN as it", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 423, + 410, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 410, + 435 + ], + "score": 1.0, + "content": "generates much higher quality reconstructions than the corresponding VAE.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 108, + 447, + 226, + 458 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 227, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 227, + 459 + ], + "score": 1.0, + "content": "5.1.1 CLASSIFIER ATTACK", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 504, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "We use a simple classifier architecture to help generate attacks on the VAE and VAE-GAN models.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "The classifier consists of two fully-connected hidden layers with 512 units each, using the ReLU", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 488, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 506, + 500 + ], + "score": 1.0, + "content": "activation function. The output layer is a 10 dimensional softmax. The input to the classifier is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "the 50 dimensional latent representation produced by the VAE/VAE-GAN encoder. The classifier", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 510, + 415, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 142, + 523 + ], + "score": 1.0, + "content": "achieves", + "type": "text" + }, + { + "bbox": [ + 143, + 510, + 175, + 520 + ], + "score": 0.88, + "content": "9 8 . 0 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 510, + 415, + 523 + ], + "score": 1.0, + "content": "accuracy on the validation set after training for 100 epochs.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 527, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 106, + 526, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 540 + ], + "score": 1.0, + "content": "To see if there are differences between classes, we generate targeted adversarial examples for each", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "score": 1.0, + "content": "MNIST class and present the results per-class. For the targeted attacks we used the optimization", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "method with lambda 0.001, where Adam-based optimization was performed for 1000 epochs with", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 239, + 573 + ], + "score": 1.0, + "content": "a learning rate of 0.1. The mean", + "type": "text" + }, + { + "bbox": [ + 239, + 560, + 252, + 570 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "norm of the difference between original images and generated", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 457, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 457, + 582 + ], + "score": 1.0, + "content": "adversarial examples using the classifier attack is 3.36, while the mean RMSD is 0.120.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 587, + 505, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "Numerical results in Table 2 show that the targeted classifier attack successfully fools the classifier.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 244, + 611 + ], + "score": 1.0, + "content": "Classifier accuracy is reduced to", + "type": "text" + }, + { + "bbox": [ + 244, + 598, + 259, + 609 + ], + "score": 0.88, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 598, + 506, + 611 + ], + "score": 1.0, + "content": ", while the matching rate (the ratio between the number of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 450, + 622 + ], + "score": 1.0, + "content": "predictions matching the target class and the number of incorrectly classified images) is", + "type": "text" + }, + { + "bbox": [ + 451, + 609, + 475, + 620 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 609, + 506, + 622 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 621, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 632 + ], + "score": 1.0, + "content": "means that all incorrect predictions match the target class. However, what we are interested in (as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 631, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 506, + 643 + ], + "score": 1.0, + "content": "per the attack definition from Section 3.2) is how the generative model reconstructs the adversarial", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "examples. If we look at the images generated by the VAE-GAN for class 0, shown in Figure 4, the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "score": 1.0, + "content": "targeted attack is successful on some reconstructed images (e.g. one, four, five, six and nine are", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 664, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 375, + 676 + ], + "score": 1.0, + "content": "reconstructed as zeroes). But even when the classifier accuracy is", + "type": "text" + }, + { + "bbox": [ + 375, + 664, + 390, + 675 + ], + "score": 0.88, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 665, + 477, + 676 + ], + "score": 1.0, + "content": "and matching rate is", + "type": "text" + }, + { + "bbox": [ + 477, + 664, + 501, + 675 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 665, + 505, + 676 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 687 + ], + "score": 1.0, + "content": "an incorrect classification does not always result in a reconstruction to the target class, which shows", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 685, + 477, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 477, + 699 + ], + "score": 1.0, + "content": "that the classifier is fooled by an adversarial example more easily than the generative model.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Reconstruction feedback loop. The reconstruction feedback loop described in Section 4.5 can", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "be used to measure how well a targeted attack succeeds in making the generative model change the", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46.5 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + 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Shown are the first 12 non-zero images from the test MNIST data set. The columns", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "are, in order: the original image, the reconstruction of the original image, the adversarial example,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 226, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 237 + ], + "score": 1.0, + "content": "the predicted class of the adversarial example, the reconstruction of the adversarial example, the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "predicted class of the reconstructed adversarial example, the reconstruction of the reconstructed", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 248, + 443, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 443, + 259 + ], + "score": 1.0, + "content": "adversarial example (see Section 4.5), and the predicted class of that reconstruction.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 107, + 279, + 505, + 334 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "In this section we only show results where no sampling from latent space has been performed.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 234, + 303 + ], + "score": 1.0, + "content": "Instead we use the mean vector", + "type": "text" + }, + { + "bbox": [ + 235, + 292, + 243, + 302 + ], + "score": 0.82, + "content": "\\pmb { \\mu }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "as the latent representation z. As sampling can have an effect on", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 314 + ], + "score": 1.0, + "content": "the resulting reconstructions, we evaluated it separately. We show the results with different number", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "of samples in Figure 22 in the Appendix. On most examples, the visible change is small and in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 324, + 251, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 251, + 334 + ], + "score": 1.0, + "content": "general the attack is still successful.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 279, + 505, + 334 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 347, + 165, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 167, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 167, + 361 + ], + "score": 1.0, + "content": "5.1 MNIST", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 368, + 505, + 434 + ], + "lines": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 505, + 381 + ], + "score": 1.0, + "content": "Both VAE and VAE-GAN by themselves reconstruct the original inputs well as show in Figure 9,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "although the quality from the VAE-GAN is noticeably better. As a control, we also generate random", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "noise of the same magnitude as used for the adversarial examples (see Figure 13), to show that ran-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "dom noise does not cause the reconstructed noisy images to change in any significant way. Although", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 412, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 424 + ], + "score": 1.0, + "content": "we ran experiments on both VAEs and VAE-GANs, we only show results for the VAE-GAN as it", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 423, + 410, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 410, + 435 + ], + "score": 1.0, + "content": "generates much higher quality reconstructions than the corresponding VAE.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 368, + 506, + 435 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 447, + 226, + 458 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 227, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 227, + 459 + ], + "score": 1.0, + "content": "5.1.1 CLASSIFIER ATTACK", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 466, + 504, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "We use a simple classifier architecture to help generate attacks on the VAE and VAE-GAN models.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "The classifier consists of two fully-connected hidden layers with 512 units each, using the ReLU", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 488, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 506, + 500 + ], + "score": 1.0, + "content": "activation function. The output layer is a 10 dimensional softmax. The input to the classifier is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "the 50 dimensional latent representation produced by the VAE/VAE-GAN encoder. The classifier", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 510, + 415, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 142, + 523 + ], + "score": 1.0, + "content": "achieves", + "type": "text" + }, + { + "bbox": [ + 143, + 510, + 175, + 520 + ], + "score": 0.88, + "content": "9 8 . 0 5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 510, + 415, + 523 + ], + "score": 1.0, + "content": "accuracy on the validation set after training for 100 epochs.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 465, + 506, + 523 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 527, + 505, + 582 + ], + "lines": [ + { + "bbox": [ + 106, + 526, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 505, + 540 + ], + "score": 1.0, + "content": "To see if there are differences between classes, we generate targeted adversarial examples for each", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 550 + ], + "score": 1.0, + "content": "MNIST class and present the results per-class. For the targeted attacks we used the optimization", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "method with lambda 0.001, where Adam-based optimization was performed for 1000 epochs with", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 239, + 573 + ], + "score": 1.0, + "content": "a learning rate of 0.1. The mean", + "type": "text" + }, + { + "bbox": [ + 239, + 560, + 252, + 570 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 558, + 505, + 573 + ], + "score": 1.0, + "content": "norm of the difference between original images and generated", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 457, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 457, + 582 + ], + "score": 1.0, + "content": "adversarial examples using the classifier attack is 3.36, while the mean RMSD is 0.120.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 526, + 505, + 582 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 587, + 505, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "Numerical results in Table 2 show that the targeted classifier attack successfully fools the classifier.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 506, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 244, + 611 + ], + "score": 1.0, + "content": "Classifier accuracy is reduced to", + "type": "text" + }, + { + "bbox": [ + 244, + 598, + 259, + 609 + ], + "score": 0.88, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 598, + 506, + 611 + ], + "score": 1.0, + "content": ", while the matching rate (the ratio between the number of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 450, + 622 + ], + "score": 1.0, + "content": "predictions matching the target class and the number of incorrectly classified images) is", + "type": "text" + }, + { + "bbox": [ + 451, + 609, + 475, + 620 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 609, + 506, + 622 + ], + "score": 1.0, + "content": ", which", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 621, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 632 + ], + "score": 1.0, + "content": "means that all incorrect predictions match the target class. However, what we are interested in (as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 631, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 506, + 643 + ], + "score": 1.0, + "content": "per the attack definition from Section 3.2) is how the generative model reconstructs the adversarial", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 505, + 655 + ], + "score": 1.0, + "content": "examples. If we look at the images generated by the VAE-GAN for class 0, shown in Figure 4, the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 506, + 667 + ], + "score": 1.0, + "content": "targeted attack is successful on some reconstructed images (e.g. one, four, five, six and nine are", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 664, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 375, + 676 + ], + "score": 1.0, + "content": "reconstructed as zeroes). But even when the classifier accuracy is", + "type": "text" + }, + { + "bbox": [ + 375, + 664, + 390, + 675 + ], + "score": 0.88, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 665, + 477, + 676 + ], + "score": 1.0, + "content": "and matching rate is", + "type": "text" + }, + { + "bbox": [ + 477, + 664, + 501, + 675 + ], + "score": 0.89, + "content": "1 0 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 665, + 505, + 676 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 505, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 687 + ], + "score": 1.0, + "content": "an incorrect classification does not always result in a reconstruction to the target class, which shows", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 685, + 477, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 477, + 699 + ], + "score": 1.0, + "content": "that the classifier is fooled by an adversarial example more easily than the generative model.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 586, + 506, + 699 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Reconstruction feedback loop. The reconstruction feedback loop described in Section 4.5 can", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "be used to measure how well a targeted attack succeeds in making the generative model change the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 330, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 104, + 330, + 324, + 346 + ], + "score": 1.0, + "content": "reconstructed classes. Table 4 in the Appendix shows", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 325, + 331, + 392, + 343 + ], + "score": 0.9, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 392, + 330, + 410, + 346 + ], + "score": 1.0, + "content": "and", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 411, + 331, + 448, + 343 + ], + "score": 0.92, + "content": "A S _ { t a r g e t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 448, + 330, + 506, + 346 + ], + "score": 1.0, + "content": "for all source", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "score": 1.0, + "content": "and target class pairs. A higher value signifies a more successful attack for that pair of classes. It", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "is interesting to observe that attacking some source/target pairs is much easier than others (e.g. pair", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 363, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 107, + 363, + 129, + 375 + ], + "score": 0.9, + "content": "( 4 , 0 )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 130, + 363, + 146, + 377 + ], + "score": 1.0, + "content": "vs.", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 146, + 364, + 170, + 375 + ], + "score": 0.86, + "content": "( 0 , 8 ) )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 171, + 363, + 506, + 377 + ], + "score": 1.0, + "content": "and that the results are not symmetric over source/target pairs. Also, some pairs do", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 374, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 136, + 389 + ], + "score": 1.0, + "content": "well in", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 137, + 376, + 203, + 387 + ], + "score": 0.89, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 204, + 374, + 273, + 389 + ], + "score": 1.0, + "content": ", but do poorly in", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 273, + 375, + 311, + 387 + ], + "score": 0.92, + "content": "A S _ { t a r g e t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 311, + 374, + 506, + 389 + ], + "score": 1.0, + "content": "(e.g., all source digits when targeting 4). As can", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "be seen in Figure 11, the classifier adversarial examples targeting 4 consistently fail to reconstruct", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 398, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 505, + 408 + ], + "score": 1.0, + "content": "into something easily recognizable as a 4. Most of the reconstructions look like 5, but the adversarial", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 407, + 353, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 353, + 419 + ], + "score": 1.0, + "content": "example reconstructions of source 5s instead look like 0 or 3.", + "type": "text", + "cross_page": true + } + ], + "index": 18 + } + ], + "index": 46.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 116, + 79, + 495, + 205 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 116, + 79, + 495, + 205 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 79, + 495, + 205 + ], + "spans": [ + { + "bbox": [ + 116, + 79, + 495, + 205 + ], + "score": 0.955, + "type": "image", + "image_path": "5fed9e5cfa266ca49cbd260956209106f34a47bffc83216642943b6f194e7712.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 116, + 79, + 495, + 121.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 116, + 121.0, + 495, + 163.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 116, + 163.0, + 495, + 205.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 219, + 505, + 308 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 221, + 505, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 505, + 232 + ], + "score": 1.0, + "content": "Figure 5: Left: representative adversarial examples with a target class of 0 on the first 100 non-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 231, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 413, + 244 + ], + "score": 1.0, + "content": "zero images from the MNIST validation set. These were produced using the", + "type": "text" + }, + { + "bbox": [ + 414, + 232, + 426, + 243 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 231, + 506, + 244 + ], + "score": 1.0, + "content": "optimization latent", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 242, + 505, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 505, + 255 + ], + "score": 1.0, + "content": "attack (Section 4.3). Middle: VAE-GAN reconstructions from adversarial examples produced using", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 122, + 266 + ], + "score": 1.0, + "content": "the", + "type": "text" + }, + { + "bbox": [ + 122, + 253, + 135, + 264 + ], + "score": 0.87, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "optimization classifier attack on the same set of 100 validation images (those adversaries", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 505, + 276 + ], + "score": 1.0, + "content": "are not shown, but are qualitatively similiar, see Section 4.1). Right: VAE-GAN reconstructions", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 276, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 505, + 287 + ], + "score": 1.0, + "content": "from the adversarial examples in the left column. Many of the classifier adversarial examples fail to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 287, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 506, + 298 + ], + "score": 1.0, + "content": "reconstruct as zeros, whereas almost every adversarial example from the latent attack reconstructs", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 299, + 139, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 139, + 308 + ], + "score": 1.0, + "content": "as zero.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + } + ], + "index": 3.75 + }, + { + "type": "text", + "bbox": [ + 107, + 330, + 505, + 419 + ], + "lines": [ + { + "bbox": [ + 104, + 330, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 104, + 330, + 324, + 346 + ], + "score": 1.0, + "content": "reconstructed classes. Table 4 in the Appendix shows", + "type": "text" + }, + { + "bbox": [ + 325, + 331, + 392, + 343 + ], + "score": 0.9, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 330, + 410, + 346 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 331, + 448, + 343 + ], + "score": 0.92, + "content": "A S _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 330, + 506, + 346 + ], + "score": 1.0, + "content": "for all source", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 506, + 354 + ], + "score": 1.0, + "content": "and target class pairs. A higher value signifies a more successful attack for that pair of classes. It", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 366 + ], + "score": 1.0, + "content": "is interesting to observe that attacking some source/target pairs is much easier than others (e.g. pair", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 363, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 107, + 363, + 129, + 375 + ], + "score": 0.9, + "content": "( 4 , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 363, + 146, + 377 + ], + "score": 1.0, + "content": "vs.", + "type": "text" + }, + { + "bbox": [ + 146, + 364, + 170, + 375 + ], + "score": 0.86, + "content": "( 0 , 8 ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 363, + 506, + 377 + ], + "score": 1.0, + "content": "and that the results are not symmetric over source/target pairs. Also, some pairs do", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 374, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 136, + 389 + ], + "score": 1.0, + "content": "well in", + "type": "text" + }, + { + "bbox": [ + 137, + 376, + 203, + 387 + ], + "score": 0.89, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 374, + 273, + 389 + ], + "score": 1.0, + "content": ", but do poorly in", + "type": "text" + }, + { + "bbox": [ + 273, + 375, + 311, + 387 + ], + "score": 0.92, + "content": "A S _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 374, + 506, + 389 + ], + "score": 1.0, + "content": "(e.g., all source digits when targeting 4). As can", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "be seen in Figure 11, the classifier adversarial examples targeting 4 consistently fail to reconstruct", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 398, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 505, + 408 + ], + "score": 1.0, + "content": "into something easily recognizable as a 4. 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Approximately 85 out of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 268, + 307 + ], + "score": 1.0, + "content": "100 images are convincing zeros for the", + "type": "text" + }, + { + "bbox": [ + 269, + 294, + 281, + 305 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "latent attack, whereas only about 5 out of 100 could be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 305, + 272, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 217, + 317 + ], + "score": 1.0, + "content": "mistaken for zeros with the", + "type": "text" + }, + { + "bbox": [ + 218, + 305, + 242, + 316 + ], + "score": 0.89, + "content": "{ \\mathcal { L } } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 305, + 272, + 317 + ], + "score": 1.0, + "content": "attack.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 413 + ], + "lines": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "Additionally, we also experimented with targeting latent representations of specific images from the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 347, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 360 + ], + "score": 1.0, + "content": "training set instead of taking the mean, as described in Section 4.3. We show the numerical results", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "in Table 3 and the generated reconstructions in Figure 15 (in the Appendix). It is also interesting", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 218, + 382 + ], + "score": 1.0, + "content": "to compare the results with", + "type": "text" + }, + { + "bbox": [ + 218, + 370, + 243, + 380 + ], + "score": 0.88, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 370, + 464, + 382 + ], + "score": 1.0, + "content": ", by choosing the same image as the target. Results for", + "type": "text" + }, + { + "bbox": [ + 465, + 370, + 489, + 381 + ], + "score": 0.86, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "the same target images as in Table 3 are shown in Table 6 in the Appendix. The results are identical", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "score": 1.0, + "content": "between the two attacks, which is expected as the target image is the same – only the loss function", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 402, + 223, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 223, + 414 + ], + "score": 1.0, + "content": "differs between the methods.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 107, + 427, + 160, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 425, + 162, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 162, + 441 + ], + "score": 1.0, + "content": "5.2 SVHN", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "The SVHN dataset consists of cropped street number images and is much less clean than MNIST.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "Due to the way the images have been processed, each image may contain more than one digit; the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "target digit is roughly in the center. VAE-GAN produces high-quality reconstructions of the original", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 482, + 297, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 297, + 493 + ], + "score": 1.0, + "content": "images as shown in Figure 17 in the Appendix.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 504, + 520 + ], + "lines": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 230, + 511 + ], + "score": 1.0, + "content": "For the classifier attack, we set", + "type": "text" + }, + { + "bbox": [ + 231, + 497, + 271, + 509 + ], + "score": 0.91, + "content": "\\lambda = 1 0 ^ { - 5 }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "after testing a range of values, although we were unable to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 388, + 522 + ], + "score": 1.0, + "content": "find an effective value for this attack against SVHN. 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The eval-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "uation metrics are less strong on SVHN than on MNIST, but it is still straightforward for an attacker", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 549, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 505, + 560 + ], + "score": 1.0, + "content": "to find a successful attack for almost all source/target pairs. Figure 2 supports this evaluation. Visual", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "inspection shows that 11 out of the 12 adversarial examples reconstructed as 0, the target digit. It", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "is worth noting that 2 out of the 12 adversarial examples look like zeros (rows 1 and 11), and two", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 580, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 506, + 594 + ], + "score": 1.0, + "content": "others look like both the original digit and zero, depending on whether the viewer focuses on the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 323, + 604 + ], + "score": 1.0, + "content": "light or dark areas of the image (rows 4 and 7). 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VAE-GAN reconstructions of original images after training are shown in", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 693, + 216, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 216, + 704 + ], + "score": 1.0, + "content": "Figure 19 in the Appendix.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 108, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 404, + 722 + ], + "score": 1.0, + "content": "Since faces don’t have natural classes, we only evaluated the latent and", + "type": "text" + }, + { + "bbox": [ + 405, + 710, + 429, + 721 + ], + "score": 0.83, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "attacks. 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Figure 20 shows adversarial examples generated", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 301, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 140, + 80, + 471, + 244 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 140, + 80, + 471, + 244 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 140, + 80, + 471, + 244 + ], + "spans": [ + { + "bbox": [ + 140, + 80, + 471, + 244 + ], + "score": 0.977, + "type": "image", + "image_path": "4602c37a132f43a39fd6332ac6510c46318bc65a43dc32c3816101224afd48cf.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 140, + 80, + 471, + 134.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 140, + 134.66666666666666, + 471, + 189.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 140, + 189.33333333333331, + 471, + 243.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 261, + 505, + 316 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 451, + 274 + ], + "score": 1.0, + "content": "Figure 6: Left: VAE-GAN reconstructions of adversarial examples generated using the", + "type": "text" + }, + { + "bbox": [ + 451, + 262, + 463, + 272 + ], + "score": 0.89, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 260, + 505, + 274 + ], + "score": 1.0, + "content": "optimiza-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 106, + 272, + 124, + 285 + ], + "score": 1.0, + "content": "tion", + "type": "text" + }, + { + "bbox": [ + 125, + 272, + 150, + 283 + ], + "score": 0.84, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "attack (single image target). Right: VAE-GAN reconstructions of adversarial examples", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 282, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 189, + 296 + ], + "score": 1.0, + "content": "generated using the", + "type": "text" + }, + { + "bbox": [ + 189, + 283, + 201, + 294 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 282, + 506, + 296 + ], + "score": 1.0, + "content": "optimization latent attack (single image target). Approximately 85 out of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 294, + 505, + 307 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 268, + 307 + ], + "score": 1.0, + "content": "100 images are convincing zeros for the", + "type": "text" + }, + { + "bbox": [ + 269, + 294, + 281, + 305 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 294, + 505, + 307 + ], + "score": 1.0, + "content": "latent attack, whereas only about 5 out of 100 could be", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 305, + 272, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 217, + 317 + ], + "score": 1.0, + "content": "mistaken for zeros with the", + "type": "text" + }, + { + "bbox": [ + 218, + 305, + 242, + 316 + ], + "score": 0.89, + "content": "{ \\mathcal { L } } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 305, + 272, + 317 + ], + "score": 1.0, + "content": "attack.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 413 + ], + "lines": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 505, + 349 + ], + "score": 1.0, + "content": "Additionally, we also experimented with targeting latent representations of specific images from the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 347, + 505, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 360 + ], + "score": 1.0, + "content": "training set instead of taking the mean, as described in Section 4.3. We show the numerical results", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "in Table 3 and the generated reconstructions in Figure 15 (in the Appendix). It is also interesting", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 370, + 505, + 382 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 218, + 382 + ], + "score": 1.0, + "content": "to compare the results with", + "type": "text" + }, + { + "bbox": [ + 218, + 370, + 243, + 380 + ], + "score": 0.88, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 370, + 464, + 382 + ], + "score": 1.0, + "content": ", by choosing the same image as the target. Results for", + "type": "text" + }, + { + "bbox": [ + 465, + 370, + 489, + 381 + ], + "score": 0.86, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 370, + 505, + 382 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "the same target images as in Table 3 are shown in Table 6 in the Appendix. The results are identical", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 505, + 404 + ], + "score": 1.0, + "content": "between the two attacks, which is expected as the target image is the same – only the loss function", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 402, + 223, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 223, + 414 + ], + "score": 1.0, + "content": "differs between the methods.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 336, + 505, + 414 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 427, + 160, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 425, + 162, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 162, + 441 + ], + "score": 1.0, + "content": "5.2 SVHN", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "The SVHN dataset consists of cropped street number images and is much less clean than MNIST.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 472 + ], + "score": 1.0, + "content": "Due to the way the images have been processed, each image may contain more than one digit; the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 483 + ], + "score": 1.0, + "content": "target digit is roughly in the center. 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For the latent and", + "type": "text" + }, + { + "bbox": [ + 388, + 510, + 412, + 520 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 509, + 471, + 522 + ], + "score": 1.0, + "content": "attacks we set", + "type": "text" + }, + { + "bbox": [ + 471, + 509, + 501, + 519 + ], + "score": 0.89, + "content": "\\lambda = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 509, + 505, + 522 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 496, + 506, + 522 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 525, + 505, + 625 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 192, + 541 + ], + "score": 1.0, + "content": "In Table 10 we show", + "type": "text" + }, + { + "bbox": [ + 192, + 526, + 259, + 538 + ], + "score": 0.9, + "content": "A S _ { i g n o r e - t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 525, + 277, + 541 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 277, + 526, + 314, + 538 + ], + "score": 0.92, + "content": "A S _ { t a r g e t }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 525, + 344, + 541 + ], + "score": 1.0, + "content": "for the", + "type": "text" + }, + { + "bbox": [ + 344, + 527, + 357, + 537 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 525, + 506, + 541 + ], + "score": 1.0, + "content": "optimization latent attack. 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It", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "is worth noting that 2 out of the 12 adversarial examples look like zeros (rows 1 and 11), and two", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 580, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 506, + 594 + ], + "score": 1.0, + "content": "others look like both the original digit and zero, depending on whether the viewer focuses on the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 323, + 604 + ], + "score": 1.0, + "content": "light or dark areas of the image (rows 4 and 7). The", + "type": "text" + }, + { + "bbox": [ + 323, + 592, + 336, + 603 + ], + "score": 0.88, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "optimization latent attack achieves much", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 195, + 615 + ], + "score": 1.0, + "content": "better results than the", + "type": "text" + }, + { + "bbox": [ + 195, + 603, + 221, + 614 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "attack (see Table 11 and Figure 6) on SVHN, while both attacks work", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 614, + 205, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 205, + 625 + ], + "score": 1.0, + "content": "equally well on MNIST.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 525, + 506, + 625 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 639, + 167, + 650 + ], + "lines": [ + { + "bbox": [ + 105, + 637, + 169, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 169, + 652 + ], + "score": 1.0, + "content": "5.3 CELEBA", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 108, + 659, + 504, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 505, + 672 + ], + "score": 1.0, + "content": "The CelebA dataset consists of more than 200,000 cropped faces of celebrities, each annotated", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 669, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 432, + 684 + ], + "score": 1.0, + "content": "with 40 different attributes. For our experiments, we further scale the images to", + "type": "text" + }, + { + "bbox": [ + 432, + 671, + 459, + 681 + ], + "score": 0.57, + "content": "6 4 \\mathrm { x } 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 669, + 506, + 684 + ], + "score": 1.0, + "content": "and ignore", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "score": 1.0, + "content": "the attribute annotations. 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We tried", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "lambdas ranging from 0.1 to 0.75 for both attacks. Figure 20 shows adversarial examples generated", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 106, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 125, + 81, + 486, + 119 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 125, + 81, + 486, + 119 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 125, + 81, + 486, + 119 + ], + "spans": [ + { + "bbox": [ + 125, + 81, + 486, + 119 + ], + "score": 0.972, + "html": "
MethodMNISTMean L2 Mean RMSD Time to attackSVHNMean L2 Mean RMSD Time to attack
L2 Optimization Classifier Attack3.360.1202771.770.032274
L2 OptimizationLvAE Attack3.680.1317342.360.043895
L2 Optimization Latent Attack2.960.1052362.800.051242
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Time to attack is the mean number of seconds it takes", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "to generate 1000 adversarial examples using the given attack method (with the same number of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 165, + 266, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 266, + 177 + ], + "score": 1.0, + "content": "optimization iterations for each attack).", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 505, + 252 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 308, + 210 + ], + "score": 1.0, + "content": "using the latent attack and a lambda value of 0.5 (", + "type": "text" + }, + { + "bbox": [ + 308, + 198, + 320, + 208 + ], + "score": 0.85, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 196, + 505, + 210 + ], + "score": 1.0, + "content": "norm between original images and generated", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 208, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 505, + 220 + ], + "score": 1.0, + "content": "adversarial examples 9.78, RMSD 0.088) and the corresponding VAE-GAN reconstructions. 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Full results are in the Appendix.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 110, + 390, + 320, + 401 + ], + "lines": [ + { + "bbox": [ + 107, + 390, + 321, + 402 + ], + "spans": [ + { + "bbox": [ + 107, + 390, + 321, + 402 + ], + "score": 1.0, + "content": "5.4 SUMMARY OF DIFFERENT ATTACK METHODS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 411, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "Table 1 shows a comparison of the mean distances between original images and generated adver-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "sarial examples for the three different attack methods. 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These models are also vulnerable to adversaries that convince them to turn inputs into", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "surprisingly different outputs. We have also motivated why an attacker might want to attack gen-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 611, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 625 + ], + "score": 1.0, + "content": "erative models. Our work adds further support to the hypothesis that adversarial examples are a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "general phenomenon for current neural network architectures, given our successful application of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "adversarial attacks to popular generative models. In this work, we are helping to lay the foundations", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "for understanding how to build more robust networks. Future work will explore defense and robusti-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "fication in greater depth as well as attacks on generative models trained using natural image datasets", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 667, + 243, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 243, + 680 + ], + "score": 1.0, + "content": "such as CIFAR-10 and ImageNet.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 108, + 691, + 200, + 701 + ], + "lines": [ + { + "bbox": [ + 107, + 692, + 200, + 702 + ], + "spans": [ + { + "bbox": [ + 107, + 692, + 200, + 702 + ], + "score": 1.0, + "content": "ACKNOWLEDGMENTS", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 108, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "This material is in part based upon work supported by the National Science Foundation under Grant", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "No. TWC-1409915. Any opinions, findings, and conclusions or recommendations expressed in this", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + } + ], + "page_idx": 10, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2017", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 765 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 125, + 81, + 486, + 119 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 125, + 81, + 486, + 119 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 125, + 81, + 486, + 119 + ], + "spans": [ + { + "bbox": [ + 125, + 81, + 486, + 119 + ], + "score": 0.972, + "html": "
MethodMNISTMean L2 Mean RMSD Time to attackSVHNMean L2 Mean RMSD Time to attack
L2 Optimization Classifier Attack3.360.1202771.770.032274
L2 OptimizationLvAE Attack3.680.1317342.360.043895
L2 Optimization Latent Attack2.960.1052362.800.051242
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Time to attack is the mean number of seconds it takes", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "to generate 1000 adversarial examples using the given attack method (with the same number of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 165, + 266, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 266, + 177 + ], + "score": 1.0, + "content": "optimization iterations for each attack).", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 132, + 506, + 177 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 196, + 505, + 252 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 505, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 308, + 210 + ], + "score": 1.0, + "content": "using the latent attack and a lambda value of 0.5 (", + "type": "text" + }, + { + "bbox": [ + 308, + 198, + 320, + 208 + ], + "score": 0.85, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 196, + 505, + 210 + ], + "score": 1.0, + "content": "norm between original images and generated", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 208, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 505, + 220 + ], + "score": 1.0, + "content": "adversarial examples 9.78, RMSD 0.088) and the corresponding VAE-GAN reconstructions. Most", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 217, + 504, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 479, + 233 + ], + "score": 1.0, + "content": "of the reconstructions reflect the target image very well. We get even better results with the", + "type": "text" + }, + { + "bbox": [ + 479, + 219, + 504, + 230 + ], + "score": 0.59, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 230, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 259, + 243 + ], + "score": 1.0, + "content": "attack, using a lambda value of 0.75", + "type": "text" + }, + { + "bbox": [ + 260, + 230, + 272, + 241 + ], + "score": 0.82, + "content": "L _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 230, + 505, + 243 + ], + "score": 1.0, + "content": "norm between original images and generated adversarial", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 240, + 321, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 321, + 254 + ], + "score": 1.0, + "content": "examples 8.98, RMSD 0.081) as shown in Figure 21.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 196, + 505, + 254 + ] + }, + { + "type": "image", + "bbox": [ + 178, + 262, + 430, + 324 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 178, + 262, + 430, + 324 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 178, + 262, + 430, + 324 + ], + "spans": [ + { + "bbox": [ + 178, + 262, + 430, + 324 + ], + "score": 0.969, + "type": "image", + "image_path": "91bf0bb0e19b276b4c0e21c5e5c29d30a4001afc28de297cc7a71f818cacd608.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 178, + 262, + 430, + 282.6666666666667 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 178, + 282.6666666666667, + 430, + 303.33333333333337 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 178, + 303.33333333333337, + 430, + 324.00000000000006 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 108, + 338, + 503, + 371 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 337, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 337, + 505, + 350 + ], + "score": 1.0, + "content": "Figure 7: Summary of different attacks on CelebA dataset: reconstructions of original images (top),", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 348, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 348, + 452, + 361 + ], + "score": 1.0, + "content": "reconstructions of adversarial examples generated using the latent attack (middle) and", + "type": "text" + }, + { + "bbox": [ + 453, + 349, + 477, + 360 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 348, + 505, + 361 + ], + "score": 1.0, + "content": "attack", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 360, + 453, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 453, + 372 + ], + "score": 1.0, + "content": "(bottom). Target reconstruction is shown on the right. Full results are in the Appendix.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 110, + 390, + 320, + 401 + ], + "lines": [ + { + "bbox": [ + 107, + 390, + 321, + 402 + ], + "spans": [ + { + "bbox": [ + 107, + 390, + 321, + 402 + ], + "score": 1.0, + "content": "5.4 SUMMARY OF DIFFERENT ATTACK METHODS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 411, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "Table 1 shows a comparison of the mean distances between original images and generated adver-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "sarial examples for the three different attack methods. The larger the distance between the original", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "image and the adversarial perturbation, the more noticeable the perturbation will tend to be, and the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 442, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 506, + 457 + ], + "score": 1.0, + "content": "more likely a human observer will no longer recognize the original input, so effective attacks keep", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "these distances small while still achieving their goal. The latent attack consistently gives the best", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 466, + 390, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 390, + 478 + ], + "score": 1.0, + "content": "results in our experiments, and the classifier attack performs the worst.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 410, + 506, + 478 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 482, + 504, + 538 + ], + "lines": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 506, + 495 + ], + "score": 1.0, + "content": "We also measure the time it takes to generate 1000 adversarial examples using the given attack", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 492, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 159, + 507 + ], + "score": 1.0, + "content": "method. The", + "type": "text" + }, + { + "bbox": [ + 160, + 494, + 185, + 505 + ], + "score": 0.85, + "content": "\\mathcal { L } _ { \\mathrm { V A E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 492, + 506, + 507 + ], + "score": 1.0, + "content": "attack is by far the slowest of the three, due to the fact that it requires computing", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 517 + ], + "score": 1.0, + "content": "full reconstructions at each step of the optimizer when generating the adversarial examples. The", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "other two attacks do not need to run the reconstruction step during optimization of the adversarial", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 526, + 149, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 149, + 540 + ], + "score": 1.0, + "content": "examples.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 482, + 506, + 540 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 554, + 195, + 566 + ], + "lines": [ + { + "bbox": [ + 104, + 551, + 197, + 569 + ], + "spans": [ + { + "bbox": [ + 104, + 551, + 197, + 569 + ], + "score": 1.0, + "content": "6 CONCLUSION", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 579, + 505, + 678 + ], + "lines": [ + { + "bbox": [ + 106, + 579, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 579, + 505, + 592 + ], + "score": 1.0, + "content": "We explored generating adversarial examples against generative models such as VAEs and VAE-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 602 + ], + "score": 1.0, + "content": "GANs. These models are also vulnerable to adversaries that convince them to turn inputs into", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "surprisingly different outputs. We have also motivated why an attacker might want to attack gen-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 611, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 625 + ], + "score": 1.0, + "content": "erative models. Our work adds further support to the hypothesis that adversarial examples are a", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "general phenomenon for current neural network architectures, given our successful application of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 647 + ], + "score": 1.0, + "content": "adversarial attacks to popular generative models. In this work, we are helping to lay the foundations", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "for understanding how to build more robust networks. Future work will explore defense and robusti-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "fication in greater depth as well as attacks on generative models trained using natural image datasets", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 667, + 243, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 243, + 680 + ], + "score": 1.0, + "content": "such as CIFAR-10 and ImageNet.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 579, + 506, + 680 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 691, + 200, + 701 + ], + "lines": [ + { + "bbox": [ + 107, + 692, + 200, + 702 + ], + "spans": [ + { + "bbox": [ + 107, + 692, + 200, + 702 + ], + "score": 1.0, + "content": "ACKNOWLEDGMENTS", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 108, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "This material is in part based upon work supported by the National Science Foundation under Grant", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "No. TWC-1409915. Any opinions, findings, and conclusions or recommendations expressed in this", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "material are those of the author(s) and do not necessarily reflect the views of the National Science", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 157, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 157, + 106 + ], + "score": 1.0, + "content": "Foundation.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 107, + 122, + 176, + 134 + ], + "lines": [ + { + "bbox": [ + 106, + 123, + 176, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 176, + 135 + ], + "score": 1.0, + "content": "REFERENCES", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 141, + 503, + 174 + ], + "lines": [ + { + "bbox": [ + 105, + 139, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 505, + 155 + ], + "score": 1.0, + "content": "Mart´ın Abadi and Ashish Agarwal et al. 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Wavenet: A generative model for", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 115, + 402, + 498, + 416 + ], + "spans": [ + { + "bbox": [ + 115, + 402, + 498, + 416 + ], + "score": 1.0, + "content": "raw audio. CoRR, abs/1609.03499, 2016. URL http://arxiv.org/abs/1609.03499.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 12 + }, + { + "type": "title", + "bbox": [ + 108, + 434, + 182, + 446 + ], + "lines": [ + { + "bbox": [ + 106, + 432, + 184, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 184, + 449 + ], + "score": 1.0, + "content": "A APPENDIX", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 109, + 459, + 316, + 470 + ], + "lines": [ + { + "bbox": [ + 107, + 458, + 318, + 471 + ], + "spans": [ + { + "bbox": [ + 107, + 458, + 318, + 471 + ], + "score": 1.0, + "content": "A.1 MEAN LATENT VECTOR TARGETED ATTACK", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 478, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 480, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 505, + 491 + ], + "score": 1.0, + "content": "A variant of the single latent vector targeted attack described in Section 4.3, that was not explored in", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 490, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 506, + 502 + ], + "score": 1.0, + "content": "previous work to our knowledge is to take the mean latent vector of many target images and use that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 501, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 144, + 513 + ], + "score": 1.0, + "content": "vector as", + "type": "text" + }, + { + "bbox": [ + 145, + 503, + 155, + 512 + ], + "score": 0.84, + "content": "\\mathbf { x } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 501, + 505, + 513 + ], + "score": 1.0, + "content": ". 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Target0123456789
Classifieraccuracy1.98%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%
Matching rate95.06%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%99.89%
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SourceTarget 0Target1Target2Target3Target 4Target5Target6Target7Target8Target9
0-85.54%100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(92.77%)
100.00%(34.94%)(100.00%) 100.00%(13.25%) 100.00%(75.90%)100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
97.37%
2(100.00%)(55.26%)-100.00% (55.26%)(88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00% (100.00%)90.65% (89.72%)100.00% (100.00%)-100.00%94.39%100.00%85.05%100.00%90.65%
4100.00%97.27%100.00%100.00%(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
(100.00%)-100.00%100.00%100.00%100.00%100.00%
5100.00%(67.27%)(100.00%)(18.18%)(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
(100.00%)96.55%100.00%2.30%100.00%-100.00%98.85%100.00%95.40%
6(80.46%)(100.00%)(2.30%)(96.55%)(100.00%)(89.66%)(0.00%)(94.25%)
100.00%87.36%100.00%100.00%100.00%100.00%-100.00%100.00%100.00%
7(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)(98.85%)(0.00%)(96.55%)
100.00%90.91%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
8(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)(0.00%)(100.00%)
100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
9(100.00%)(71.59%)(100.00%)(35.23%)(97.73%)(62.50%)(100.00%)(92.05%)-(96.59%)
100.00% (100.00%)95.65% (75.00%)100.00% (100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00%100.00%
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SourceTarget 0Target 1Target2Target3Target 4Target5Target 6Target7Target8Target9
040.96%(1.20%)6.02%(4.82%)10.84%(7.23%)75.90%(0.00%)6.02%(3.61%)28.92%
(28.92%)
37.35%(20.48%)6.02%(1.20%)10.84%(3.61%)
199.20%(77.60%)-7.20%(5.60%)1.60%(1.60%)85.60%(0.00%)8.00%(5.60%)28.80%
(28.00%)
8.80%(7.20%)
(7.20%)
3.20%(1.60%)69.60%(0.80%)
285.96%(80.70%)3.51%(2.63%)-29.82%(23.68%)78.95%(0.00%)72.81%%72.81%35.09%41.23%68.42%
(20.18%)(46.49%)(8.77%)(12.28%)(2.63%)
393.46%(83.18%)26.17%(12.15%)27.10%(16.82%)-67.29%(0.00%)66.36%(62.62%)87.85%(22.43%)50.47%(27.10%)23.36%(8.41%)33.64%(8.41%)
4100.00%(82.73%)70.00%(48.18%)28.18%(10.91%)84.55%(17.27%)-66.36%(31.82%)95.45%(71.82%)62.73%(37.27%)20.91%(0.91%)51.82%(44.55%)
593.10%(89.66%)21.84%(1.15%)68.97%(11.49%)28.74%(18.39%)3.45%(0.00%)-20.69%(19.54%)80.46%(41.38%)22.99%(2.30%)44.83%(12.64%)
629.89%(28.74%)44.83%(1.15%)24.14%(3.45%)59.77%(11.49%)77.01%(0.00%)10.34%(8.05%)-62.07%(8.05%)8.05%(0.00%)75.86%(4.60%)
779.80%(65.66%)77.78%(26.26%)
(8.08%)(4.04%)
100.00%(0.00%)56.57%(23.23%)97.98%(17.17%)-38.38%(1.01%)17.17%(10.10%)
894.32%(84.09%)96.59%(18.18%)60.23%(42.05%)57.95%(43.18%)100.00%(0.00%)93.18%(80.68%)100.00%(57.95%)100.00%(34.09%)-87.50%(26.14%)
998.91%(79.35%)97.83%(33.70%)26.09%(1.09%)17.39%(2.17%)100.00%(0.00%)22.83%(21.74%)100.00%(30.43%)47.83%(43.48%)31.52%(4.35%)-
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Target0123456789
Classifieraccuracy1.98%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%
Matching rate95.06%100.00%100.00%100.00%100.00%100.00%100.00%100.00%100.00%99.89%
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SourceTarget 0Target1Target2Target3Target 4Target5Target6Target7Target8Target9
0-85.54%100.00%100.00%75.90%96.39%100.00%96.39%0.00%100.00%
(92.77%)
100.00%(34.94%)(100.00%) 100.00%(13.25%) 100.00%(75.90%)100.00%(100.00%) 100.00%(91.57%) 100.00%(0.00%) 100.00%(83.13%) 100.00%
100.00%
1(100.00%) 100.00%- 97.37%(100.00%)(0.00%)(93.60%)(100.00%)(100.00%)(100.00%)(0.00%)(98.40%)
97.37%
2(100.00%)(55.26%)-100.00% (55.26%)(88.60%)95.61% (74.56%)100.00% (100.00%)99.12% (94.74%)100.00% (0.00%)100.00% (92.98%)
3100.00% (100.00%)90.65% (89.72%)100.00% (100.00%)-100.00%94.39%100.00%85.05%100.00%90.65%
4100.00%97.27%100.00%100.00%(91.59%)(94.39%)(100.00%)(84.11%)(0.00%)(88.79%)
(100.00%)-100.00%100.00%100.00%100.00%100.00%
5100.00%(67.27%)(100.00%)(18.18%)(100.00%)(100.00%)(100.00%)(0.00%)(100.00%)
(100.00%)96.55%100.00%2.30%100.00%-100.00%98.85%100.00%95.40%
6(80.46%)(100.00%)(2.30%)(96.55%)(100.00%)(89.66%)(0.00%)(94.25%)
100.00%87.36%100.00%100.00%100.00%100.00%-100.00%100.00%100.00%
7(100.00%)(80.46%)(100.00%)(11.49%)(97.70%)(100.00%)(98.85%)(0.00%)(96.55%)
100.00%90.91%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
8(100.00%)(82.83%)(100.00%)(16.16%)(79.80%)(98.99%)(100.00%)(0.00%)(100.00%)
100.00%89.77%100.00%100.00%100.00%89.77%100.00%98.86%98.86%
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100.00% (100.00%)95.65% (75.00%)100.00% (100.00%)100.00% (18.48%)100.00% (97.83%)100.00% (95.65%)100.00% (100.00%)100.00%100.00%
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SourceTarget 0Target1Target 2Target 3Target 4Target5Target 6Target7Target8Target9
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SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target 7Target8Target9
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SourceTarget0Target 1Target2Target3Target 4Target5Target6Target7Target8Target9
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392.17%(64.35%)58.26%(41.74%)83.48%(68.70%)-84.35%(49.57%)96.52%(95.65%)53.91%(23.48%)90.43%(56.52%)93.04%(5.22%)93.91%(33.91%)
474.44%(55.56%)47.78%(43.33%)70.00%(61.11%)86.67%(77.78%)-100.00%(98.89%)93.33%(35.56%)90.00%(36.67%)85.56%(14.44%)94.44%(27.78%)
575.31%(50.62%)59.26%(43.21%)88.89%(58.02%)97.53%(88.89%)72.84%(53.09%)-37.04%(18.52%)80.25%(41.98%)32.10%(6.17%)92.59%(30.86%)
667.44%(47.67%)56.98%(27.91%)84.88%(55.81%)86.05%(79.07%)65.12%(39.53%)94.19%(94.19%)-90.70%(33.72%)58.14%(10.47%)87.21%(22.09%)
787.34%(63.29%)55.70%(48.10%)79.75%(74.68%)92.41%(79.75%)69.62%(41.77%)97.47%(89.87%)93.67%(18.99%)-91.14%(7.59%)97.47%(17.72%)
898.33%(63.33%)78.33%(38.33%)80.00%(63.33%)100.00%(88.33%)93.33%(48.33%)98.33%(96.67%)96.67%(35.00%)96.67%(50.00%)95.00%(31.67%)
987.88%(66.67%)72.73%(43.94%)92.42%(80.30%)93.94%(86.36%)80.30%(51.52%)95.45%(93.94%)98.48%(27.27%)92.42%(62.12%)93.94%(9.09%)-
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SourceTarget 0Target1Target 2Target3Target 4Target5Target 6Target 7Target8Target9
0-92.77% (38.55%)100.00%100.00%100.00%100.00%100.00%79.52%97.59% (90.36%)100.00% (62.65%)
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1100.00%-(100.00%) 100.00%(66.27%) 100.00%(34.94%) 100.00%100.00%(100.00%) 100.00%(63.86%) 100.00%100.00%100.00%
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3 4(100.00%)(85.05%)(100.00%)-(48.60%)(45.79%)(99.07%)(90.65%)(94.39%)(79.44%)
100.00%95.45%100.00%100.00%100.00%100.00%100.00%100.00%99.09%
5(100.00%)(67.27%)(100.00%)(73.64%)-(30.00%)(100.00%)(99.09%)(99.09%)(99.09%)
100.00%98.85%100.00%73.56%83.91%100.00%90.80%100.00%87.36%
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100.00%86.21%100.00%(82.76%)
6(100.00%)100.00%95.40%10.34%-100.00%100.00%100.00%
(79.31%)(100.00%)(88.51%)(71.26%)(10.34%)(83.91%)(97.70%)(70.11%)
7100.00% (100.00%)91.92%100.00%100.00%100.00%100.00%100.00%-100.00%100.00%
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8100.00%88.64%100.00%100.00%95.45%96.59%100.00%96.59%95.45%
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9100.00%96.74%100.00%100.00%66.30%100.00%100.00%98.91%100.00%(79.55%)
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SourceTarget0Target 1Target2Target3Target 4Target5Target6Target7Target8Target9
0-64.29%(40.00%)78.57%(61.43%)92.86%(80.00%)84.29%(57.14%)98.57%(98.57%)94.29%88.57%95.71%95.71%
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176.80%(70.72%)-74.59%(67.40%)93.37%(88.95%)75.69%(65.19%)98.34%(97.79%)86.74%(24.86%)46.96%(36.46%)96.13%(4.97%)96.13%(28.73%)
282.93%(65.85%)57.93%(42.68%)-90.24%(86.59%)53.66%(46.34%)99.39%(98.17%)82.93%(14.02%)71.34%(57.32%)71.34%(6.71%)24.39%(23.17%)
392.17%(64.35%)58.26%(41.74%)83.48%(68.70%)-84.35%(49.57%)96.52%(95.65%)53.91%(23.48%)90.43%(56.52%)93.04%(5.22%)93.91%(33.91%)
474.44%(55.56%)47.78%(43.33%)70.00%(61.11%)86.67%(77.78%)-100.00%(98.89%)93.33%(35.56%)90.00%(36.67%)85.56%(14.44%)94.44%(27.78%)
575.31%(50.62%)59.26%(43.21%)88.89%(58.02%)97.53%(88.89%)72.84%(53.09%)-37.04%(18.52%)80.25%(41.98%)32.10%(6.17%)92.59%(30.86%)
667.44%(47.67%)56.98%(27.91%)84.88%(55.81%)86.05%(79.07%)65.12%(39.53%)94.19%(94.19%)-90.70%(33.72%)58.14%(10.47%)87.21%(22.09%)
787.34%(63.29%)55.70%(48.10%)79.75%(74.68%)92.41%(79.75%)69.62%(41.77%)97.47%(89.87%)93.67%(18.99%)-91.14%(7.59%)97.47%(17.72%)
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MethodMNISTMean L2 Mean RMSD Time to attackSVHNMean L2 Mean RMSD Time to attack
L2 Optimization Classifier Attack3.360.1202771.770.032274
L2 OptimizationLvAE Attack3.680.1317342.360.043895
L2 Optimization Latent Attack2.960.1052362.800.051242
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Classifieraccuracy1.98%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%0.00%
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+ 186 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Xin Jiang Huawei Noah’s Ark Lab Jiang.Xin@huawei.com ", + "bbox": [ + 183, + 208, + 382, + 250 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Hao Yang Huawei Technologies Co., Ltd. yanghao30@huawei.com ", + "bbox": [ + 405, + 208, + 611, + 250 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Qun Liu ", + "text_level": 1, + "bbox": [ + 635, + 209, + 697, + 222 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Huawei Noah’s Ark Lab qun.liu@huawei.com ", + "bbox": [ + 637, + 223, + 813, + 250 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jakob Grue Simonsen University of Copenhagen simonsen@di.ku.dk ", + "bbox": [ + 183, + 272, + 356, + 313 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 351, + 544, + 366 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Various Position Embeddings (PEs) have been proposed in Transformer based architectures (e.g. BERT) to model word order. These are empirically-driven and perform well, but no formal framework exists to systematically study them. To address this, we present three properties of PEs that capture word distance in vector space: translation invariance, monotonicity, and symmetry. These properties formally capture the behaviour of PEs and allow us to reinterpret sinusoidal PEs in a principled way. Moreover, we propose a new probing test (called ‘identical word probing’) and mathematical indicators to quantitatively detect the general attention patterns with respect to the above properties. An empirical evaluation of seven PEs (and their combinations) for classification (GLUE) and span prediction (SQuAD) shows that: (1) both classification and span prediction benefit from translation invariance and local monotonicity, while symmetry slightly decreases performance; (2) The fully-learnable absolute PE performs better in classification, while relative PEs perform better in span prediction. We contribute the first formal and quantitative analysis of desiderata for PEs, and a principled discussion about their correlation to the performance of typical downstream tasks. ", + "bbox": [ + 233, + 383, + 764, + 604 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 636, + 336, + 651 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Position embeddings (PEs) are crucial in Transformer-based architectures for capturing word order; without them, the representation is bag-of-words. Fully learnable absolute position embeddings (APEs) were first proposed by Gehring et al. (2017) to capture word position in Convolutional Seq2seq architectures. Sinusoidal functions were also used with Transformers to parameterize PEs in a fixed ad hoc way (Vaswani et al., 2017). Recently, Shaw et al. (2018) used relative position embedding (RPEs) with Transformers for machine translation. More recently, in Transformer pretrained language models, BERT (Devlin et al., 2018; Liu et al., 2019) and GPT (Radford et al., 2018) used fully learnable PEs. Yang et al. (2019) modified RPEs and used them in the XLNet pre-trained language model. To our knowledge, the fundamental differences between the various PEs have not been studied in a principled way. ", + "bbox": [ + 174, + 667, + 825, + 808 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We posit that the aim of PEs is to capture the sequential nature of positions in vector space, or technically, to bridge the distances in $\\mathbb { N }$ (for positions) and $\\mathbb { R } ^ { D }$ (for position vectors). We therefore propose three expected properties for PEs: monotonicity, translation invariance, and symmetry 1. Using these properties, we formally reinterpret existing PEs and show the limitations of sinusoidal ", + "bbox": [ + 174, + 814, + 825, + 869 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "PEs (Vaswani et al., 2017): they cannot adaptively meet the monotonicity property – thus we propose learnable sinusoidal PEs. ", + "bbox": [ + 173, + 103, + 821, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We benchmark $1 3 ~ \\mathrm { P E s }$ (including APEs, RPEs, and their combinations) in GLUE and SQuAD, in a total of 11 individual tasks. Several indicators are devised to quantitatively measure translation invariance, monotonicity, and symmetry, which can be further used to calculate their statistical correlations with empirical performance in downstream tasks. We empirically find that both text classification tasks (in GLUE) and span prediction tasks (SQuAD V1.0 and V 2.0) can benefit from monotonicity (in nearby offset) and translation invariance (in particular without considering special tokens like [CLS]), but symmetry decreases performance since it can not deal with directions between query vectors and key vectors when calculating attentions. Plus, models with unbalanced attention regarding directions (generally attending more to preceding tokens than to succeeding tokens) slightly correlate with better performance (especially for span prediction tasks). ", + "bbox": [ + 174, + 138, + 825, + 279 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Experiments also show that the fully-learnable APE performs better in classification, while RPEs perform better in span prediction tasks. This is explained by our proposed properties as follows: RPEs perform better in span prediction tasks since they meet better translation invariance, monotonicity , and asymmetry; the fully-learnable APE which does not strictly have the translation invariance and monotonicity properties during parameterizations (as it also performed worse in measuring translation invariance and local monotonicity than other APEs and all RPEs) still performs well because it can flexibly deal with special tokens (especially, unshiftable [CLS]). ", + "bbox": [ + 174, + 285, + 823, + 382 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Regarding the newly-proposed learnable sinusoidal PEs, the learnable sinusoidal APE satisfies the three properties to a greater extent than other APE variants, and the learnable sinusoidal RPE exhibits better direction awareness than other PE variants. Experiments show that BERT with sinusoidal APEs slightly outperforms the fully-learnable APE in span prediction, but underperforms in classification tasks. Both for APEs and RPEs, learning frequencies in sinusoidal PEs appears to be beneficial. Lastly, sinusoidal PEs can be generalized to treat longer documents because they completely satisfy the translation invariance property, while the fully-learnable APE does not. ", + "bbox": [ + 174, + 388, + 823, + 487 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The contributions of this paper are summarised below: 1) We propose three principled properties for PEs that are either formally examined or empirically evaluated by quantitative indicators in a novel Identical Word Probing test; 2) We benchmark 13 PEs (including APEs, RPEs and their combinations) in GLUE, SQuAD V1.1 and SQuAD V2.0, in a total of 11 individual tasks; 3) we experimentally evaluate how the performance in individual tasks benefits from the above properties; 4) We propose two new PEs to extend sinusoidal PEs to learnable versions for APEs/RPEs. ", + "bbox": [ + 174, + 493, + 825, + 577 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 PROPERTIES OF POSITION EMBEDDINGS", + "text_level": 1, + "bbox": [ + 176, + 598, + 540, + 614 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Gehring et al. (2017); Vaswani et al. (2017) use absolute word positions as additional features in neural networks. Positions $x \\in \\mathbb { N }$ are distributively represented as an embedding of $x$ as an element $\\vec { x } \\in \\mathbb R ^ { D }$ in some Euclidean space. By standard methods in representation learning, similarity between embedded objects $\\vec { x }$ and $\\vec { y }$ is typically expressed by an inner product $\\langle \\vec { x } , \\vec { y } \\rangle$ , for instance the dot product gives rise to the usual cosine similarity between $\\vec { x }$ and $\\vec { y }$ . Generally, if words appear close to each other in a text (i.e., their positions are nearby), they are more likely to determine the (local) semantics together, than if they occurred far apart. Hence, positional proximity of words $x$ and $y$ should result in proximity of their embedded representations $\\vec { x }$ and $\\vec { y }$ . One common way of formalizing this is that an embedding should preserve the order of distances among positions 2. We denote $\\phi ( \\cdot , \\cdot )$ as a function to calculate closeness/proximity between embedded positions, and any inner product can be a special case of $\\phi ( \\cdot , \\cdot )$ with good properties. We can express preservation of the order of distances as: For every $x , y , z \\in \\mathbb { N }$ , ", + "bbox": [ + 173, + 631, + 825, + 797 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/5b173369faa13e66e0d59bd2473baa66f471b0c16058f3363a09ae0af5e44d91.jpg", + "text": "$$\n| x - y | > | x - z | \\Longrightarrow \\phi ( \\vec { x } , \\vec { y } ) < \\phi ( \\vec { x } , \\vec { z } )\n$$", + "text_format": "latex", + "bbox": [ + 374, + 805, + 624, + 820 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Note that on the underlying space, the property in Eq. (1) has been studied for almost 60 years (Shepard, 1962), in both algorithmics (Bilu & Linial, 2005; Badoiu et al., 2008; Maehara, 2013), and machine learning (Terada $\\&$ Luxburg, 2014; Jain et al., 2016) under the name ordinal embedding. As we are interested in the simple case of positions from N, Eq. (1) reduces to the following property: ", + "bbox": [ + 174, + 829, + 825, + 886 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Property 1. Monotonicity: The proximity of embedded positions decreases when positions are further apart: ", + "bbox": [ + 171, + 103, + 823, + 131 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/86044c9774b1396483714d1503508c68bec7b760c9c356f722a28cc535983ec5.jpg", + "text": "$$\n\\forall x , m , n \\in \\mathbb { N } : m > n \\Longleftrightarrow \\phi ( { \\vec { x } } , { \\overrightarrow { x + m } } ) < \\phi ( { \\vec { x } } , { \\overrightarrow { x + n } } )\n$$", + "text_format": "latex", + "bbox": [ + 325, + 128, + 671, + 147 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A priori, a position embedding might treat every element $\\mathbb { N }$ individually. However, considering pairs of positions based on their relative proximity (rather than the absolute value of the positions), can lead to simplified and efficient position embeddings (Wang et al., 2020). Such embeddings satisfy translation invariance: ", + "bbox": [ + 174, + 148, + 825, + 205 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Property 2. Translation invariance: The proximity of embedded positions are translation invariant: ", + "bbox": [ + 171, + 210, + 826, + 239 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/804bf2967c83f2e8585c6edbcd0c66fdf5f1c7f1831aac9105b16a5ec3ee684f.jpg", + "text": "$$\n\\forall x _ { 1 } , \\dots , x _ { n } , m \\in \\mathbb { N } : \\phi ( { \\overrightarrow { x } } _ { 1 } , { \\overrightarrow { x _ { 1 } + m } } ) = \\phi ( { \\overrightarrow { x } } _ { 2 } , { \\overrightarrow { x _ { 2 } + m } } ) = \\cdots = \\phi ( { \\overrightarrow { x } } _ { n } , { \\overrightarrow { x _ { n } + m } } )\n$$", + "text_format": "latex", + "bbox": [ + 253, + 239, + 743, + 258 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "since the inner product is symmetric, we also consider whether $\\phi ( \\cdot , \\cdot )$ is symmetric: ", + "bbox": [ + 230, + 262, + 777, + 276 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Property 3. Symmetry: The proximity of embedded positions is symmetric, ", + "bbox": [ + 179, + 282, + 697, + 297 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/f4d431c803db44832d01b7db443c1e291d4f8eabceb00f5e0719041ac7979531.jpg", + "text": "$$\n\\forall x , y \\in \\mathbb { N } : \\phi ( { \\vec { x } } , { \\vec { y } } ) = \\phi ( { \\vec { y } } , { \\vec { x } } )\n$$", + "text_format": "latex", + "bbox": [ + 405, + 303, + 591, + 319 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "There is no generally accepted standard set of properties for position embeddings; based on prior work as described above, we posit that the above properties are important, and now examine several existing PEs in relation to these properties, either formally (in Sec. 3) or empirically (in Sec. 4). ", + "bbox": [ + 173, + 343, + 825, + 386 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 UNDERSTANDING PES VIA THE PROPERTIES", + "text_level": 1, + "bbox": [ + 174, + 405, + 573, + 421 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "PEs come in two variants: absolute PEs (APEs) where single positions are mapped to elements of the representation space, and relative PEs (RPEs) where the difference between positions (i.e., $x - y$ for $x , y \\in \\mathbb { N } ,$ ) is mapped to elements of the embedding space. For Transformer-based architectures, the difference between APEs and RPEs manifests itself in the attention mechanism, in particular how the matrices of query, key, and value weights $W ^ { Q }$ , $W ^ { K }$ , and $W ^ { V }$ are used to calculate attention in each attention head. Consider two positions $x , y \\in \\mathbb { N }$ , let $\\mathrm { W E } _ { x }$ be the word embedding of the word at position $x$ , and let $P _ { x }$ and $P _ { x - y }$ be the embeddings of the position $x$ and relative position $x - y$ , respectively. The query-key-value vector for the word at position $x$ is typically calculated as below for APEs and $\\mathrm { R P E s } ^ { 3 }$ respectively: ", + "bbox": [ + 173, + 434, + 826, + 561 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0f118c96ffb7ad9c87b5a9563933359c8d92cf289209b07f19d3a73bbf5aff25.jpg", + "text": "$$\n\\mathbf { A P E : } \\left[ \\begin{array} { l } { Q _ { x } } \\\\ { K _ { x } } \\\\ { V _ { x } } \\end{array} \\right] = \\left( \\mathbf { W E } _ { x } + P _ { x } \\right) \\odot \\left[ \\begin{array} { l } { W ^ { Q } } \\\\ { W ^ { K } } \\\\ { W ^ { V } } \\end{array} \\right] \\quad ; \\quad \\mathbf { R P E : } \\left[ \\begin{array} { l } { Q _ { x } } \\\\ { K _ { x } } \\\\ { V _ { x } } \\end{array} \\right] = \\mathbf { W E } _ { x } \\odot \\left[ \\begin{array} { l } { W ^ { Q } } \\\\ { W ^ { K } } \\\\ { W ^ { V } } \\end{array} \\right] + \\left[ \\begin{array} { l } { \\mathbf { 0 } } \\\\ { P _ { x - y } } \\\\ { P _ { x - y } } \\end{array} \\right]\n$$", + "text_format": "latex", + "bbox": [ + 220, + 563, + 771, + 609 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Observe that while the APEs calculation is linear in $( W ^ { Q } , W ^ { K } , W ^ { V } )$ with the word and position embeddings merged into the coefficient, the RPEs calculation is affine, with the relative position embedding $P _ { x - y }$ acting as an offset independent of the word embedding $\\mathrm { W E } _ { x }$ . ", + "bbox": [ + 174, + 613, + 821, + 656 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In Transformers, the resulting representation is a sum of value vectors with weights depending on√ $A = Q K ^ { T }$ , that is, Attention $( \\dot { Q } , K , V ) = \\operatorname { s o f t m a x } ( Q K ^ { T } / \\sqrt { d _ { k } } ) V$ . In the rest of the paper, we examine PEs in the above architecture with respect to the properties introduced in Section 2. In particular, we study four well-known variants of PEs: (1) the fully learnable APE (Gehring et al., 2017), (2) the fixed sinusoidal APE (Vaswani et al., 2017), (3) the fully learnable RPE (Shaw et al., 2018), and (4) the fixed sinusoidal RPE (Wei et al., 2019). ", + "bbox": [ + 173, + 661, + 825, + 746 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 UNDERSTANDING SINUSOIDAL PES", + "text_level": 1, + "bbox": [ + 176, + 762, + 462, + 776 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "With a sinusoidal parameterization in PEs, we may use a specific proximity, i.e., an efficient inner product like a dot product, to check if the sinusoidal form of PEs meets the above properties. The dot product between any two position vectors is ", + "bbox": [ + 174, + 787, + 825, + 830 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/0f053cd82c64850d6f7bb1750e0169901c259e64a81bf1dc3c9d3624d29f769a.jpg", + "text": "$$\nA _ { x , y } = \\langle { \\vec { x } } , { \\vec { y } } \\rangle = \\sin ( { [ \\begin{array} { l } { \\sin ( \\omega _ { 1 } x ) } \\\\ { \\cos ( \\omega _ { 1 } x ) } \\\\ { \\cdots } \\\\ { \\sin ( \\omega _ { \\frac { D } { 2 } } x ) } \\\\ { \\cos ( \\omega _ { \\frac { D } { 2 } } x ) } \\end{array} ] } ) [ { \\begin{array} { l } { \\sin ( \\omega _ { 1 } y ) } \\\\ { \\cos ( \\omega _ { 1 } y ) } \\\\ { \\cdots } \\\\ { \\sin ( \\omega _ { \\frac { D } { 2 } } y ) } \\\\ { \\cos ( \\omega _ { \\frac { D } { 2 } } y ) } \\end{array} } ] ) = \\sin ( { [ \\begin{array} { l } { \\sin ( \\omega _ { 1 } x ) \\sin ( \\omega _ { 1 } y ) } \\\\ { \\cos ( \\omega _ { 1 } x ) \\cos ( \\omega _ { 1 } y ) } \\\\ { \\cdots } \\\\ { \\sin ( \\omega _ { \\frac { D } { 2 } } x ) \\sin ( \\omega _ { \\frac { D } { 2 } } y ) } \\\\ { \\cos ( \\omega _ { \\frac { D } { 2 } } x ) \\cos ( \\omega _ { \\frac { D } { 2 } } y ) } \\end{array} ] } ) = \\sum _ { i = 0 } ^ { \\frac { D } { 2 } } \\cos ( \\omega _ { i } ( x - y ) )\n$$", + "text_format": "latex", + "bbox": [ + 181, + 833, + 803, + 896 + ], + "page_idx": 2 + }, + { + "type": "table", + "img_path": "images/b53451afdbba8de997174e74341d7dfbe0e5eae0efcf90759163fef26481681d.jpg", + "table_caption": [ + "Table 1: Overview of PEs. $P _ { x }$ or $P ( x )$ is the $x$ -th absolute/relative position vector (the latter is parameterized by sinusoidal functions). The newly-proposed PEs in this paper are in bold. " + ], + "table_footnote": [], + "table_body": "
PEsformulationparameter scale
fully learnable APE (Gehring et al.,2017)PxERDL×D
fixed sinusoidal APE (Vaswani et al.,2017)P(x)=[..,sin(wix),cos(wix),..]T; Wi=(1/10000)2i/D0
learnable sinusoidal APEP(x)=[...,sin(wix),cos(ωx)...]T;D
fully learnable RPEWiER PxERDL×D
(Shaw et al.,2018) fixed sinusoidal RPEP(x)=[.,sin(wix),cos(wix),T;0
(Wei et al.,2019) learnable sinusoidal RPEWi=(1/10000)2i/D P(x)=[...,sin(ωix),cos(wx),...]; WiERL
", + "bbox": [ + 282, + 106, + 715, + 253 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Note that sinusoidal PEs satisfy both Property 2 (translation invariance) because the inner product is only associated with its position difference $x - y$ , and Property 3 (symmetry), because the dot product itself is symmetric: $\\langle \\vec { x } , \\vec { y } \\rangle = \\langle \\vec { y } , \\vec { x } \\rangle$ . Note also that checking Property 1 is equivalent to checking monotonicity oits first order derivative $\\begin{array} { r } { \\psi ( m ) = \\sum _ { i = 1 } ^ { D / 2 } \\cos ( \\omega _ { i } m ) } \\end{array}$ $\\psi ( m )$ is monotone on intervals wherehange sign, and these intervals $\\begin{array} { r } { \\psi ^ { \\prime } ( m ) = \\sum _ { i = 1 } ^ { D / 2 } - \\omega _ { i } \\sin ( \\omega _ { i } m ) } \\end{array}$ \ndepend on the choice of $\\omega _ { i }$ . With fixed frequencies $\\omega _ { i } = ( 1 / 1 0 0 0 0 ) ^ { 2 i / D }$ , it is monotonous when $m$ is roughly between 0 and 50, indicating that it can only strictly perceive a maximum distance of 50 and it is insensitive to faraway distances (e.g. longer than 50). ", + "bbox": [ + 173, + 281, + 825, + 404 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Although sinusoidal PEs with fixed frequencies (i.e., $\\omega _ { i } = ( 1 / 1 0 0 0 0 ) ^ { 2 i / D } )$ are common in APEs and RPEs, we argue that learning these frequencies is useful because it can adaptively adjust intervals of monotonicity (they do not have to be 0-50 as in the fixed sinusoidal APE) 4. With trainable frequencies, we can adaptively allocate a number of frequencies in a data-driven way. App. A.2 explains the expressive power of sinusoidal PEs with trainable frequencies from the perspective of the Fourier series. Extending existing fixed sinusoidal PEs to a learnable version with learnable frequencies gives two variants: a learnable sinusoidal APE and a learnable sinusoidal RPE. ", + "bbox": [ + 174, + 410, + 825, + 508 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 UNDERSTANDING RPES ", + "text_level": 1, + "bbox": [ + 176, + 526, + 382, + 541 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "RPEs ignore the absolute position of words and directly encode their relative distance. The RPEs expression adheres to the translation invariance property during parameterization, since relative distance with the same offset will be embedded as the same embedding, namely, $P _ { x _ { 1 } - y _ { 1 } } = P _ { x _ { 2 } - y _ { 2 } }$ if $x _ { 1 } - y _ { 1 } = x _ { 2 } - y _ { 2 }$ . Plus, RPEs that separately embed forward and backward relative embeddings, i.e., $P _ { i - j } \\neq P _ { j - i }$ , do not meet symmetry during parameterization. ", + "bbox": [ + 173, + 553, + 825, + 625 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Sinusoidal RPEs can also embed neighboring relative position in close vectors with a local monotonicity, similarly to sinusoidal APEs. Note that the dot products between two sinusoidal relative position vectors with the same offset, without distinguishing positive negative relative position vectors, should be identical 5. This makes it hardly perceive of the border between preceding and succeeding relative position vectors. ", + "bbox": [ + 174, + 630, + 825, + 700 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 EXAMINING PE PROPERTIES IN PRE-TRAINED LANGUAGE MODEL", + "text_level": 1, + "bbox": [ + 174, + 723, + 746, + 738 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We train BERT with six basic PEs as in Tab. 1 and their combination variants, and conduct a probing test to check to which degree they satisfy the properties. ", + "bbox": [ + 171, + 755, + 823, + 784 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Pre-training The pre-trained “BERT-base-uncased” checkpoint (Devlin et al., 2018) is used to train by replacing the original absolute PE module with a new PE variant (including APEs and RPEs). We train the new models with a sequence length of 128 for 5 epochs and then 512 for another 2 epochs. The training is the same as in the original BERT, i.e., BooksCorpus and Wikipedia (16G raw documents) with whole word masking. To be fair, the BERT with the original fully-learnable ", + "bbox": [ + 173, + 800, + 825, + 871 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/30f1c450bd4b79e222786aa554bae24eb1aa15ffc26cb223cfab23b47e4800e1.jpg", + "image_caption": [ + "Figure 1: Dot products between absolute position vectors 6(top row) and relative position vectors (bottom row). Darker means the two position vectors are closer. " + ], + "image_footnote": [], + "bbox": [ + 174, + 79, + 821, + 382 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "APE is also further trained in the same way. All models have about 110M parameters corresponding to a typical base setting, with minor differences solely depending on the parameterization in Tab. 1. ", + "bbox": [ + 173, + 429, + 823, + 458 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 DOT PRODUCT BETWEEN POSITION VECTORS ", + "text_level": 1, + "bbox": [ + 174, + 476, + 527, + 489 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "APEs We calculate dot products between two arbitrary position vectors for APEs and RPEs (see Fig. 1). For APEs, neighboring position vectors are generally closer compared to faraway ones. This trend is clearer in the learnable sinusoidal APE, which imposes a strict sinusoidal regularization for PEs. Note that additionally adopting RPEs does not affect too much PE patterns, as can be seen by comparing Fig. 1(a) and 1(b), or Fig. 1(c) and 1(d). ", + "bbox": [ + 173, + 501, + 825, + 570 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "RPEs In the fully-learnable RPE setting, the vertical and horizontal bright bands in 1(e) and 1(f) show that the relative position vectors for small offsets (e.g., $\\{ P _ { - 5 } , \\cdot \\cdot \\cdot , P _ { 0 } , \\cdot \\cdot \\cdot P _ { 5 } \\}$ ) are notably different to other relative position vectors; it indicates that the relative position vectors with small offsets are more distinguishable than faraway relative position vectors. The four dark corners in 1(e) and 1(f) means that relative position vectors with longer offset than 20, i.e., from -64 to -20 and from 20 to 64, are very close, showing that the fully-learnable RPE does not significantly distinguish far-distant RPEs. This suggests that truncating RPEs into a fixed distance (e.g. 64 in (Shaw et al., 2018)), is reasonable. This effect is further explained in App. D. ", + "bbox": [ + 173, + 585, + 825, + 698 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 IDENTICAL WORD PROBING ", + "text_level": 1, + "bbox": [ + 176, + 715, + 405, + 728 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In APEs, the attention matrix $( A = \\operatorname { s o f t m a x } ( Q K ^ { T } ) )$ is related to individual words and their positions, an element of (inactivated) $A$ in the first layer is given by: ", + "bbox": [ + 169, + 739, + 821, + 770 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/72f8b51657978e667d0519f2173fd7d615065093efddfb1c98cdad8d0e5a2583.jpg", + "text": "$$\n\\begin{array} { r l } & { a _ { i j } = ( w _ { i } + p _ { i } ) W ^ { Q , 1 } ( ( w _ { j } + p _ { j } ) W ^ { K , 1 } ) ^ { T } } \\\\ & { \\quad = \\underbrace { w _ { i } W ^ { Q , 1 } ( W ^ { K , 1 } ) ^ { T } w _ { j } ^ { T } } _ { \\mathrm { w o r d - w o r d ~ c o r e s p o n d e n c e } } + \\underbrace { w _ { i } W ^ { Q , 1 } ( W ^ { K , 1 } ) ^ { T } p _ { j } ^ { T } } _ { \\mathrm { w o r d - p o i n i m ~ c o r r e s p o n d e n c e } } + \\underbrace { p _ { i } W ^ { Q , 1 } ( W ^ { K , 1 } ) ^ { T } w _ { j } ^ { T } } _ { \\mathrm { w o r d - p o i n i m ~ c o r r e s p o n d e n c e } } + \\underbrace { p _ { i } W ^ { Q , 1 } ( W ^ { K , 1 } ) ^ { T } p _ { j } ^ { T } } _ { \\mathrm { p o s i t i o n - p o s i t i o n ~ c o r r e s p o n d e n c e } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 184, + 773, + 790, + 833 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Identical word probing for PEs To study the effect of only PEs in $A$ without considering individual words, we use identical word probing: feed many repeated identical words (can be arbitrary, ", + "bbox": [ + 173, + 845, + 821, + 875 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/747fdde3ec02dea5b0654be29c91d4531195ea03942c0651b42adbabea11b8b6.jpg", + "image_caption": [ + "Figure 2: Identical word probing. Darker in the $i$ -th row and $j$ -th column means that the $i$ -th words generally attend more on the $j$ -th words. " + ], + "image_footnote": [], + "bbox": [ + 176, + 78, + 821, + 369 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "denoted as $\\bar { w }$ ) as a sentence to BERT to check the attention values $\\bar { A } ^ { ( 1 ) }$ , with each element ", + "bbox": [ + 171, + 405, + 769, + 420 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/e9995aba1be098039ea7e5a220b11bc27987167da58202a256ab11da5e1ac565.jpg", + "text": "$$\n\\bar { a } _ { i j } ^ { 1 } ( \\bar { w } ) = ( \\bar { w } + p _ { i } ) { W } ^ { Q , 1 } ( ( \\bar { w } + p _ { j } ) { W } ^ { K , 1 } ) ^ { T }\n$$", + "text_format": "latex", + "bbox": [ + 364, + 421, + 633, + 440 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As we take an average of $\\bar { A } ^ { ( 1 ) }$ over many randomly-selected words $\\bar { w }$ , the general patterns of $\\bar { A } ^ { ( 1 ) }$ will not be affected by any particular word. Namely, $\\bar { A } ^ { ( 1 ) }$ is word-free and only related to learned PEs. Thus, $\\bar { A } ^ { ( 1 ) }$ can be treated as a general attention bias and can also implicitly convey positionwise proximity in Transformers. Note that the probing test could also be applied to RPEs. ", + "bbox": [ + 174, + 450, + 825, + 511 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2.1 QUALITATIVE ANALYSIS ", + "text_level": 1, + "bbox": [ + 174, + 525, + 397, + 539 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Fig. 2 shows the average attention weights among all heads in the first layer. BERT without $P E$ nearly treats all words uniformly (bag-of-words). Almost all APEs and RPEs have a clear pattern of translation invariance, local monotonicity in a neighboring window, and symmetry. Note that this is nontrivial since no specific constraints or priors were imposed on fully-learnable APEs/RPEs 7. ", + "bbox": [ + 173, + 549, + 825, + 604 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "BERT with APEs does not show any direction awareness since Fig. 2(b) and 2(c) are nearly symmetrical. As seen from Fig. 2(f,h), BERT with learnable sinusoidal $R P E$ generally attends more on forward tokens than backward tokens, which cannot be clearly found in fully-learnable RPE and fixed sinusoidal RPE. Interestingly, the white bands along the diagonal in Fig. 2 (d, f, g) suggest that some words generally do not attend to themselves, as previously observed in (Clark et al., 2019) 8 . ", + "bbox": [ + 173, + 611, + 825, + 683 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2.2 QUANTITATIVE ANALYSIS ", + "text_level": 1, + "bbox": [ + 176, + 696, + 406, + 710 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Using the activated attention values $\\bar { A } ^ { ( 1 ) }$ in Eq. $8 ^ { 9 }$ we adopt three quantitative indicators to measure to which extent BERT models with individual PEs satisfy the three properties and their derivative indicators (see App. B for details of calculating these indicators) in Tab. 2. Basically, all APEs and RPEs satisfy monotonicity in small offsets and translation invariance compared to BERT without $P E$ ; All PEs nearly satisfy symmetry except for the learnable sinusoidal RPE and its combinations. ", + "bbox": [ + 174, + 719, + 825, + 790 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "APEs and RPEs The learnable sinusoidal APE better satisfies all three properties than fully learnable APE and fixed sinusoidal APE; this is due to its sinusoidal parameterization and flexible frequencies. RPEs satisfy translation invariance to a higher degree than APEs, because they directly ", + "bbox": [ + 176, + 804, + 821, + 847 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 2: Quantitative measurement of the properties (monotonicity, translation invariance, symmetry, and direction balance 10). For these property indicators, the smaller the number, the better the property is met. 0 denotes that the property is ideally satisfied. Direction balance denotes the ratio between the sum of attention values for forward attending and backward attending. 1 means it is fully-balanced in directions. We have indicated the numbers that most closely correspond to satisfaction properties and direction balance for each group in bold. ", + "bbox": [ + 174, + 75, + 823, + 160 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/9811d60faab6bac1a300b5f26278564c1facba4a79c7d13f19aa46f9e0905c55.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
PEsmonotonicitytranslation invariancesymmetrydirection balance
all offsetsfirst 20 offsetsw/[CLS]w/o[CLS]
BERT without PE0.54300.13930.94970.99390.00051.0136
BERT-style APE0.24610.02080.50300.01430.00121.1940
fixed sin. APE0.19370.01900.25520.21430.00101.0266
learnable sin. APE0.19360.02370.06530.03780.00041.0281
fully-learnable RPE0.15760.00480.11780.00070.00071.1930
fixed sin. RPE0.12730.00540.09240.00200.00071.1565
learnable sin. RPE0.31570.00570.13970.00380.00141.3223
BERT-style APE + fully-learnable RPE0.19930.00710.26010.00590.00091.1971
BERT-style APE + fixed sin. RPE0.15790.01430.13760.00720.00071.1302
BERT-style APE+ learnable sin. RPE0.23640.01580.23340.00880.00141.3804
learnablesin.APE + fully-learnable RPE0.12480.00650.04870.02380.00071.1196
learnable sin. APE + fixed sin. RPE0.07460.00400.02430.01680.00071.0773
learnable sin. APE + learnable sin. RPE0.17960.00520.03990.02520.00271.6722
", + "bbox": [ + 217, + 167, + 777, + 318 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "satisfy translation invariance during parameterization. In the last column, direction balance values of all PEs except for the fixed sin. APE are larger than one, which indicates that BERT models with all PEs generally attend more to preceding tokens than succeeding tokens, and this phenomenon appears to be stronger in learnable sinusoidal RPEs than others. ", + "bbox": [ + 176, + 332, + 823, + 387 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The fully learnable APE and [CLS] Fully learnable APE generally performs worse in translation invariance (see the 4-th column) as it has to deal with the unshiftable [CLS] which is always in the first position. Without considering [CLS] and [SEP] (see the 5-th column), the fully learnable $A P E$ satisfies translation invariance better than other APEs, showing that the fully learnable $A P E$ can flexibly deal with both special tokens and normal positions. The fully learnable APE also could handle the mismatch between special tokens and normal positions in the monotonicity property. ", + "bbox": [ + 174, + 402, + 825, + 486 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 PES IN DOWNSTREAM TASKS ", + "text_level": 1, + "bbox": [ + 176, + 506, + 450, + 522 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We empirically compare the performance of PEs in classification and span prediction tasks. ", + "bbox": [ + 173, + 537, + 769, + 553 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Fine-tuning The fine-tuning on GLUE and SQuAD is the same as in the Huggingface website as per Wolf et al. (2019), see App. E for details. We report the average values of five runs per dataset. For classification, we use the GLUE (Wang et al., 2018) benchmark, which includes datasets for both single document classification and sentence pair classification. For span prediction, we use the SQuAD V1.1 and V2.0 datasets consisting of $1 0 0 \\mathrm { k }$ crowdsourced question/answer pairs (Rajpurkar et al., 2016). Given a question and a passage from Wikipedia containing the answer, the task is to predict the answer text span in the passage. In V2.0, it is possible that no short answer exists in the passage since it additionally has 50,000 unanswerable questions written adversarially by crowdworkers (Rajpurkar et al., 2018). ", + "bbox": [ + 173, + 568, + 825, + 693 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 EXPERIMENTAL RESULTS FOR DOWNSTREAM TASKS ", + "text_level": 1, + "bbox": [ + 174, + 710, + 575, + 724 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "GLUE Tab. 3 shows that the fully-learnable APE (a.k.a, BERT-style APE) performs well in GLUE. No PE variants, especially BERT with solely APEs or RPEs, notably outperform the fullylearnable APE. BRRT models with a combination of an APE and an RPE do not always boost the performance of the model with solely the APE or RPE. ", + "bbox": [ + 174, + 736, + 825, + 791 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "SQuAD Tab. 4 shows that nearly all BERT models with RPEs significantly outperform the fully learnable APE. The learnable sinusoidal APE is slightly better than the fully learnable $A P E$ in most cases. Both the best-performed models in SQuAD V1.1 and V2.0 adopt the fully-learnable RPE. ", + "bbox": [ + 174, + 808, + 825, + 849 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/83e1ec66d79b3eceb7652a460115fa2756cf2aeed9cd4747f5934d0a8f2eda35.jpg", + "table_caption": [ + "Table 3: Experiments on GLUE. The evaluation metrics are following the official GLUE benchmark (Wang et al., 2018). The best performance of each task is bold. " + ], + "table_footnote": [], + "table_body": "
PEssingle sentence
CoLASST-2MNLIMRPCQNLIQQPsentence pair RTESTS-BWNLI
accaccaccF1accF1accspear. cor.accmean ± std
BERT without PE39.086.580.186.283.786.563.087.433.876.6 ± 0.41
fullylearnable (BERT-style) APE60.293.084.889.488.787.865.188.637.582.2±0.30
fixed sin. APE57.192.684.389.088.187.558.486.945.180.5±0.71
learnable sin. APE56.092.884.888.788.587.759.187.040.880.6±0.29
fully-learnable RPE58.992.684.990.588.988.160.888.650.481.7±0.31
fixed sin. RPE60.492.284.889.588.888.062.988.145.181.8±0.53
learnable sin. RPE60.392.685.290.389.188.163.588.349.982.2±0.40
fully learnable APE + fully-learnable RPE59.892.885.189.688.687.862.588.351.581.8±0.17
fully learnable APE + fixed sin. RPE59.292.484.889.988.887.961.088.348.281.5±0.20
fully learnable APE+ learnable sin. RPE61.192.885.290.589.587.965.188.249.682.5±0.44
learnable sin. APE + fully-learnable RPE57.292.784.888.988.587.858.688.051.380.8±0.44
learnable sin. APE + fixed sin. RPE57.692.684.588.888.687.663.187.448.781.3±0.43
learnable sin. APE + learnable sin. RPE57.792.785.089.688.787.862.387.550.181.4±0.33
", + "bbox": [ + 173, + 113, + 836, + 270 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/6daa8e8b502d210c7bf3d626e3ff5ba2fb015f9edc6440f696bf3deb9c5960d4.jpg", + "table_caption": [ + "Table 4: Performance (average and standard deviation in 5 runs) on dev of SQuAD V1.1 and V2.0. † indicates stat. significance over fully learnable APEs using a two-sided test with $p$ -value 0.05. " + ], + "table_footnote": [], + "table_body": "
PEsSQuAD V1.1SQuAD V2.0
F1EMF1EM
BERT without PE36.47 ± 0.1924.24 ± 0.3350.48 ± 0.1249.30 ± 0.14
fully learnable (BERT-style) APE89.44±0.0881.92 ± 0.1176.43±0.6373.07±0.63
fixed sin. APE89.45 ± 0.0781.93 ± 0.1176.12 ± 0.4872.75± 0.55
learmable sin. APE89.65† ±0.1182.24† ± 0.1777.24 ± 0.4373.93 ± 0.44
fully-learnable RPE90.50† ±0.0883.38 † ± 0.1179.85† ± 0.2776.68† ± 0.49
fixed sin. RPE90.30† ± 0.0783.24†±0.0878.76† ±0.2975.38† ±0.28
learnable sin. RPE90.45† ± 0.1183.49 †± 0.1479.40† ± 0.3776.14† ±0.33
fully learnable APE + fully-learnable RPE90.57†±0.0483.45±0.1080.31±0.1076.94†±0.20
fully learnable APE + fixed sin. RPE90.24† ± 0.1783.06†±0.2178.74† ±0.5075.40† ± 0.52
fully learnable APE+ learnable sin. RPE89.56 ± 0.2882.26†±0.3077.82† ±0.4274.51† ±0.39
learnable sin. APE + fully-learnable RPE90.72† ±0.1383.68†±0.2780.24†±0.3576.98†±0.34
learnable sin. APE+ fixed sin. RPE90.36† ±0.0883.25†±0.1078.81† ± 0.3375.71† ± 0.28
learnable sin. APE + learnable sin. RPE90.49† ± 0.1483.59†±0.1479.93† ±0.3476.69† ± 0.39
", + "bbox": [ + 240, + 318, + 756, + 479 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "As demonstrated in Tab. 2, the fully learnable APE can flexibly deal with [CLS] and translation invariance in normal positions, thus it performs well in classification tasks (GLUE) which heavily relies on the unshiftable [CLS] token for inference. Span prediction tasks which do not infer from [CLS] can benefit from strict translation invariance during parameterization (e.g., sinusoidal APEs and RPEs), see Tab. 5 in Sec. 6.1 for the correlations between performance of SQuAD and the translation invariance property. Removing PEs (BERT without PE) dramatically decreases performance in SQuAD V1.1 and V2.0, and slightly harms performance on GLUE, showing that PEs are more important in SQuAD than GLUE. ", + "bbox": [ + 174, + 506, + 825, + 617 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Learnable sinusoidal PEs The sinusoidal APEs outperform fully-learnable APE in span prediction but underperform it in classification tasks. The learnable sinusoidal APE/RPE outperforms fixed sinusoidal APE/RPE in GLUE and SQuADs, showing the expressive power of flexible frequencies. ", + "bbox": [ + 174, + 635, + 823, + 676 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Complementarity of APEs and RPEs In SQuAD, jointly adopting APEs and RPEs can slightly boost performance in some cases. For instance, BERT with learnable sinusoidal $A P E + A P E + f u l l y$ $R P E$ achieves the best EM score in both SQuADs. However, this complementary effect is relatively weaker in GLUE, where the fully-learnable APE performs strongly. ", + "bbox": [ + 174, + 693, + 823, + 750 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 DISCUSSIONS ON PES ", + "text_level": 1, + "bbox": [ + 176, + 771, + 390, + 787 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": ".1 HOW DO THE PROPERTIES CORRELATE TO INDIVIDUAL TASKS?", + "text_level": 1, + "bbox": [ + 183, + 804, + 647, + 818 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We conduct a correlation analysis between the properties and the performance on individual tasks 11, as shown in Tab. 5. The results show that violating monotonicity in relatively-small offsets (e.g., 20) and translation invariance is harmful since it is negatively correlated to the performance on ", + "bbox": [ + 178, + 830, + 823, + 872 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/fa661e04df0fce7b20cf8647389ab213f27dd5c74af05772a9bad6ad33000ea2.jpg", + "table_caption": [ + "Table 5: Pearson correlations between the properties and evaluated tasks, evaluating on BERT models with 13 position embeddings. The positive (negative) numbers denote to which degree the performance of the task positively (negatively) correlate(s) to violating the property. This shows that violating local monotonicity and translation invariance is harmful, while violating symmetry (and direction-balance) is beneficial. Best correlation values are in bold for each row. " + ], + "table_footnote": [], + "table_body": "
PropertiesCoLASST-2MNLIQQPGLUESQuAD V1.1SQuAD V2.0
monotonicityall offsets0.440.430.560.320.48-0.31-0.27
first 20 offsets-0.180.44-0.24-0.42-0.21-0.91-0.86
translation invariancew/[CLS]/[SEP]0.480.520.04-0.070.42-0.63-0.57
w/o[CLS]/[SEP]-0.470.01-0.69-0.68-0.61-0.51-0.58
symmetry0.170.240.400.090.310.150.16
direction balance0.320.160.630.350.480.320.37
", + "bbox": [ + 214, + 157, + 782, + 236 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "GLUE and SQuAD. However, violating symmetry (and direction-balance) is slightly beneficial. This shows that many tasks require BERT models to distinguish preceding and succeeding tokens, especially to attend more on preceding tokens. See Fig. 5b in App. C, the correlations between the direction balance indicators and the performance of downstream tasks will be much higher when only considering a few neighboring tokens for calculating the indicator. ", + "bbox": [ + 174, + 255, + 825, + 324 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6.2 MORE DISCUSSIONS ON THE PROPOSED PROPERTIES ", + "text_level": 1, + "bbox": [ + 174, + 348, + 578, + 361 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Monotonicity Monotonicity holds locally in a small neighboring window (usually in 5-20 offsets) for all PE variants, see Fig.2. This shows that BERT models generally are not sensitive to longerdistance attendance patterns, also evidenced by the fact that performance in downstream tasks correlates more highly with monotonicity in middle-distance offsets (e.g., 20 in the second row of Tab. 5) than longer offsets (see App. C). To check monotonicity guided by learned frequencies of learnable sinusoidal APEs in individual tasks, see App. A.3 ", + "bbox": [ + 174, + 375, + 825, + 459 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Translation invariance In BERT, we argue that absolute positions of words are uninformative since (1) absolute positions of the second segment depend on the length of the first sentence; (2) words are randomly truncated in the beginning or end if a sentence exceeds the expected maximum length, which may shift absolute positions of all tokens with an unexpected offset (Devlin et al., 2018). That is, absolute positions of words in pre-trained language models are arbitrarily replaceable, and thus adopting translation invariance is generally reasonable. Models with strict Translation invariance (all RPEs and sinusoidal APEs) naturally make PEs generalize to longer documents than the documents used in the pre-training phase, see App. F for some empirical evidence. ", + "bbox": [ + 174, + 479, + 825, + 592 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Symmetry APEs (especially sinusoidal APEs) express symmetry patterns without distinguishing the direction as shown in Fig 2. As seen from Eq. 7, it is nontrivial to model directions in two linearly-transformed query vectors and key vectors. This limits its performance in direction-sensitive downstream tasks. RPEs could behave better on direction perception, since forward and backward relative embeddings are separately embedded (see Tab. 1); Especially, learnable sinusoidal RPE or combination variants including it have more unbalanced attending patterns (see the last column in Tab. 2), as shown in Fig. 2 (f) and (h), ", + "bbox": [ + 174, + 612, + 825, + 710 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 736, + 318, + 752 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To theoretically and empirically understand position embeddings (PEs), we have defined three properties (translation invariance, monotonicity, and symmetry) inspired by distance mappings between the original domain of positions in $\\mathbb { N }$ and their PEs in $\\dot { \\mathbb { R } } ^ { D }$ . A probing test has been proposed to quantitatively examine these properties using appropriate mathematical indicators. Our probing test has shown that these PEs nearly satisfy most properties even when they are fully-learnable without constraints. Experimental results have shown that violating local monotonicity and translation invariance decreases performance in downstream tasks (classification and span prediction tasks), and that violating symmetry benefits downstream tasks because of direction awareness. We also find that the fully-learnable absolute PE in general results in better performance for classification, and that relative PEs result in better performance for span prediction tasks, which can be explained by the connections between their properties and task characteristics. ", + "bbox": [ + 174, + 770, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 104, + 326, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "The work is supported by the Quantum Access and Retrieval Theory (QUARTZ) project, which has received funding from the European Union‘s Horizon 2020 research and innovation programme under the Marie Skłodowska-Curie grant agreement No. 721321. ", + "bbox": [ + 176, + 127, + 823, + 170 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 191, + 285, + 207 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "George B Arfken and Hans J Weber. Mathematical methods for physicists, 1999. ", + "bbox": [ + 174, + 214, + 702, + 229 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Mihai Badoiu, Erik D. Demaine, MohammadTaghi Hajiaghayi, Anastasios Sidiropoulos, and Morteza Zadimoghaddam. 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", + "bbox": [ + 174, + 159, + 823, + 188 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/0b3a5940412c876da733b7aeffffb2a457d72135726ac2f10aa0987f3ae53eed.jpg", + "image_caption": [ + "(1/10000)2i/D. ", + "Figure 3: $\\phi ( m )$ in (b) is a sum of many cosine functions of individual frequencies with increasing $m$ , which determines the closeness between arbitrary two $m$ -distance position vectors. As shown in (a), each frequency could play different roles: 1) the extremely small frequencies have few effects on the overall word representation $( \\mathrm { W E } _ { x } + P _ { x } )$ in Eq. 5 since it makes such position embedding being almost identical with increasing positions; 2) some smaller frequencies can be beneficial to guarantee Property 1 if $\\omega _ { i } < \\frac { \\pi } { L }$ ; 3) some bigger frequencies would promote the locally attending mechanism since such cos functions in Eq. 6 drop dramatically in the beginning if 4) Some big frequencies which $\\omega _ { i } > \\Pi$ would be smooth factors for the overall pattern since it would be randomly impose a bias to all positions. " + ], + "image_footnote": [], + "bbox": [ + 173, + 205, + 812, + 439 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.2 EXPRESSIVE POWER OF LEARNABLE SINUSOIDAL PES", + "text_level": 1, + "bbox": [ + 174, + 604, + 633, + 621 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "In Transformers, linear transformation is commonly-used, for example query, key, and value transformations on word representations. Let $\\mathbf { \\nabla } _ { \\mathbf { r } _ { i } }$ be the word representation paramertezied by the sum of word embeddings and position embeddings (like the learnable sinusoidal APEs). Then, each element in $\\mathbf { \\nabla } _ { \\mathbf { r } _ { i } }$ ", + "bbox": [ + 173, + 631, + 825, + 686 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/c62c6cff4368840276c5fcbc325a297110c68924acc3a7be9ef12960aa0ff856.jpg", + "text": "$$\nr _ { i , k } ( t ) = e _ { i , k } + p _ { k } ( t ) = \\left\\{ \\begin{array} { l l } { e _ { i , k } + \\sin ( \\omega _ { \\frac { k } { 2 } } t ) , } & { \\mathrm { ~ i f ~ } k \\mathrm { ~ i s ~ e v e n } } \\\\ { e _ { i , k } + \\cos ( \\omega _ { \\frac { k - 1 } { 2 } } t ) , } & { \\mathrm { ~ i f ~ } k \\mathrm { ~ i s ~ o d d } } \\end{array} \\right.\n$$", + "text_format": "latex", + "bbox": [ + 303, + 684, + 674, + 724 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "After a linear transformation parameterized by $\\textbf { \\em w }$ (e.g., the key transformation $W ^ { K }$ in the first Transformer layer), $\\mathbf { \\nabla } _ { \\mathbf { r } _ { i } }$ is linearly transformed as $h _ { i } ( t ) = w r _ { i }$ ${ \\bf \\mathit { h } } _ { i } ( t )$ can be one of query/key/value vectors $Q _ { x } , K _ { x } , V _ { x }$ in $t$ -th position) with each element ", + "bbox": [ + 174, + 733, + 825, + 776 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/84a869052bc36cfcccdf90b3afc6bc2107dddd09d0718b35f08fb7627161a606.jpg", + "text": "$$\nh _ { i , k } ( t ) = \\sum _ { k = 1 } ^ { D } w _ { j , k } e _ { i , k } + \\sum _ { k = 1 } ^ { D / 2 } \\left( w _ { j , 2 k } \\sin ( \\omega _ { 2 k } t ) + w _ { j , 2 k + 1 } \\cos ( \\omega _ { 2 k + 1 } t ) \\right)\n$$", + "text_format": "latex", + "bbox": [ + 282, + 780, + 715, + 821 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The RHS is a typical Fourier series with a base term $\\sum w _ { j , k } e _ { i , k }$ and Fourier coefficients $\\{ w _ { j , 2 k } , w _ { j , 2 k + 1 } \\}$ . It is customarily assumed in physics and signal processing (Arfken & Weber, 1999) that the RHS in Eq. 10 with infinite $D$ and appropriate frequencies could approximate any continuous function on a given interval. ", + "bbox": [ + 174, + 832, + 825, + 888 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "As using an infinite $D$ is not practical, dynamic allocation of a limited number of frequencies in a data-driven way could be beneficial for general approximation. The predefined frequencies $\\omega _ { i } =$ ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 11 + }, + { + "type": "image", + "img_path": "images/7334700f599f79b8e986ef4d19738410785967f0cba1303a156678f6ccb2028b.jpg", + "image_caption": [ + "(a) The learned frequencies of pre-trained BERT and (b) Dot products between two absolute positions with fine-tuned BERT in different downstream tasks. The increasing offset, indicates neighboring APES are empredefined frequencies in (Vaswani et al., 2017) (i.e., bedded together. $_ x$ axe refers to offset between posi$\\bar { \\omega } _ { i } = ( 1 / 1 0 0 0 0 ) ^ { 2 i / D } ~ \\cdot$ ) is denoted as ‘default’ tions. " + ], + "image_footnote": [], + "bbox": [ + 181, + 103, + 815, + 281 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Figure 4: The learned frequencies in learnable sinusoidal $A P E$ in the pre-trained language model and downstream tasks ", + "bbox": [ + 173, + 354, + 823, + 382 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "$( 1 / 1 0 0 0 0 ) ^ { 2 i / D }$ in the Transformer (Vaswani et al., 2017) can be considered as a special case when it enumerates various frequencies ranging from $1 / 1 0 0 0 0$ to 1 under a specific distribution. ", + "bbox": [ + 174, + 410, + 823, + 439 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A.3 LEARNED FREQUENCIES OF LEARNABLE SINUSOIDAL APE", + "text_level": 1, + "bbox": [ + 174, + 455, + 627, + 470 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "The learned frequencies are shown in Fig. 4a. Observe that the learned frequencies are generally smaller than the pre-defined ones from (Vaswani et al., 2017) (i.e., $\\omega _ { i } = \\bar { ( 1 / 1 0 0 0 0 ) ^ { 2 i / D } } )$ . The learned frequencies are close to the learned one since we use $\\omega _ { i } = ( 1 / 1 0 0 0 0 ) ^ { 2 i / D }$ as initialization. ", + "bbox": [ + 174, + 482, + 825, + 527 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "As shown in Fig. 4b, the patterns of dot products between positions for learnable frequencies are quite different to the predefined ones (denoted as ‘default’ in the figure); indeed, the former appears more predisposed to deeming remote positions similar. Moreover, fine-tuned models for span prediction tasks (including SQuAD and SQuAD2) satisfy strict monotonicity in larger windows than for classification tasks. Observe also that the patterns in pre-training language models seem more similar to those in classification tasks than span prediction tasks. ", + "bbox": [ + 174, + 534, + 825, + 618 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B QUANTITATIVELY MEASURING THE PROPERTIES. ", + "text_level": 1, + "bbox": [ + 174, + 640, + 612, + 655 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "To quantitatively measure the primary properties we treat in this paper, we propose multiple criteria, described below. ", + "bbox": [ + 176, + 670, + 821, + 699 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Assume a position-wise attention matrix $\\bar { A } ^ { ( 1 ) }$ (denoted as $A$ since there is no risk for confusion), in which each element is the (softmax) activated attention value from the $i$ -th query token to $j$ -th key token (all elements are positive). ", + "bbox": [ + 174, + 704, + 825, + 748 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Average In-group Variance (AIV) for translation invariance Let $l$ be an offset between two positions; we denote by $\\tau ( l )$ the set of $l$ -offset attention values $\\{ A _ { i , j } , j - i = l \\}$ ; for example, $\\tau ( 1 ) = \\{ A _ { 1 , 2 } , A _ { 2 , 3 } , \\cdot \\cdot \\cdot , A _ { L - 1 , L } \\}$ . Translation invariance requires that all elements in each group $\\tau ( l )$ should be identical, the smaller variance each $\\tau ( l )$ has, it is closer to translation invariance. The Average In-group Variance (AIV) is defined as a weighted average over in-group variances of all $\\{ \\tau ( l ) \\} _ { - L + 1 } ^ { L - 1 }$ , namely: ", + "bbox": [ + 173, + 763, + 825, + 849 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/b5d104eff27064c44404fa8c8e3a6b3ab1fa7a7eb2d1fc13fc547a7d3776b15d.jpg", + "text": "$$\n\\operatorname { A I V } ( A ) = { \\frac { \\sum _ { l = - L + 1 } ^ { L - 1 } \\operatorname { v a r } \\left( \\tau ( l ) \\right) \\cdot | \\tau ( l ) | } { \\sum _ { l = - L + 1 } ^ { L - 1 } | \\tau ( l ) | } }\n$$", + "text_format": "latex", + "bbox": [ + 367, + 849, + 630, + 892 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "where $| \\cdot |$ is the number of elements in the set. For normalization, this metric is further divided by the overall variance (i.e., $\\operatorname { v a r } ( A ) )$ ). ", + "bbox": [ + 174, + 895, + 820, + 924 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Ordered Pair Ratio (OPR) for monotonicity For a word in $i$ -th position, based on the increasing distance to the $i$ -th position, there a forward attention sequence $S _ { i , + } = \\{ A _ { i , i } , A _ { i , i + 1 } , \\cdot \\cdot \\cdot , A _ { i , L } \\}$ and a backward attention sequence $S _ { i , - } = \\{ A _ { i , i } , A _ { i , i - 1 } , \\cdot \\cdot \\cdot , A _ { i , 1 } \\}$ . This results in $2 L$ sequences denoted as $\\mathbb { S } = \\{ S _ { 1 , + } , S _ { 1 , - } , S _ { 2 , + } , S _ { 2 , - } , \\ldots , S _ { L , + } , S _ { L , - } \\}$ . The ideal (decreasing) monotonicity requires that each $S$ (an element in $\\mathbb { S }$ ) is totally ordered as $s _ { 0 } > s _ { 1 } > \\cdot \\cdot \\cdot > s _ { L - 1 }$ . We define the Ordered Ratio of $S$ by: ", + "bbox": [ + 174, + 102, + 825, + 188 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/a3b2db6bfc151c33ccc5551c0e110bf2f8b18bf6efdb47ef93d441a724706211.jpg", + "text": "$$\n\\mathrm { O P R } ( S ) = \\frac { \\sum _ { s _ { j } , s _ { i } \\in S , i \\neq j } \\mathrm { s i g n } \\left( ( s _ { i } - s _ { j } ) ( i - j ) \\right) } { | S | ^ { 2 } - | S | }\n$$", + "text_format": "latex", + "bbox": [ + 336, + 189, + 660, + 227 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We define $\\mathrm { s i g n } ( x ) = 1$ if $x > 0$ , and $\\mathrm { s i g n } ( x ) = 0$ otherwise. Ideally, the OPR of a totally ordered decreasing (increasing) sequence $S$ should be zero (one). The expected OPR of a randomly-ordered sequence (average OPR of the set of all such sequences) should be 0.5. ", + "bbox": [ + 174, + 229, + 825, + 272 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Finally, we get a weighted sum of OPRs of all sequences in $\\mathbb { S }$ ", + "bbox": [ + 171, + 279, + 576, + 294 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/82c9fcb53dbcc685360b84887e8cad89cd2d4c03b273cd4ed48f6806a50274a0.jpg", + "text": "$$\n\\operatorname { O P R } ( A ) = { \\frac { \\sum _ { S \\in { \\mathfrak { S } } } \\operatorname { O P R } \\left( S \\right) \\cdot | S | } { \\sum _ { S \\in { \\mathfrak { S } } } | S | } }\n$$", + "text_format": "latex", + "bbox": [ + 387, + 295, + 607, + 333 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In the paper, we also consider a version of monotonicity within a offset of $k$ (e.g., ‘monotonicity (first 20 offsets)’ in Tab. 2), which OPR is calculated in first $k$ elements of each $S \\in \\mathbb S$ . ", + "bbox": [ + 173, + 335, + 823, + 363 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Symmetrical Discrepancy for symmetry We define the Symmetrical Discrepancy (SD) by: ", + "bbox": [ + 173, + 377, + 790, + 393 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/e19ff725fe29d9a11c624c469da499123dfe68757e580f139c53621b77e85863.jpg", + "text": "$$\nS D ( A ) = \\frac { \\sum _ { i , j , i < j } \\left| A _ { i , j } - A _ { j , i } \\right| } { L \\times ( L - 1 ) / 2 }\n$$", + "text_format": "latex", + "bbox": [ + 387, + 395, + 611, + 431 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Direction Balance We define the Direction Balance (DB) as the ratio between the sum of the lower (left) triangle and the upper (right) triangle of $A$ . Note that all elements are positive in $A$ , DB(A) in $l$ -offset range is always positive. ", + "bbox": [ + 174, + 440, + 826, + 483 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/49d50c1357290df4e705f359d583448550fe9ad26c22ee4715f8c670934307c7.jpg", + "text": "$$\nD B _ { l } ( A ) = \\frac { \\sum _ { i , j ; i < j , | i - j | < = l } A _ { i , j } } { \\sum _ { i , j ; i > j , | i - j | < = l } A _ { i , j } }\n$$", + "text_format": "latex", + "bbox": [ + 383, + 498, + 614, + 539 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In Tab. 5 and 2, we report $D B$ for a offset range of 20, see Fig. 5b for the performance correlations with other offset ranges. ", + "bbox": [ + 174, + 540, + 823, + 568 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "C MEASURING CORRELATIONS BETWEEN PROPERTIES AND DOWNSTREAM TASKS. ", + "text_level": 1, + "bbox": [ + 178, + 587, + 807, + 621 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In Tab. 5, monotonicity in 20 offsets and the correlations with performance in downstream tasks was reported; here we show how different ranges of the monotonicity correlate to performance in downstream tasks. Among all tasks, we choose all single sentence classification tasks (CoLA and SST-2), two biggest sentence pair classification tasks (MNLI and QQP tasks have more training samples than others), average performance in GLUE, and in SQuAd (F1 metrics nearly have identical trends with EM metrics). ", + "bbox": [ + 173, + 635, + 825, + 719 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "As shown in Fig. 5a, the monotonicity indicators in nearly 20-55 offsets are highest correlated to the performance of span prediction tasks (with Pearson correlation larger than $9 0 \\%$ ). Note that some classification tasks (especially SST-2) also show opposite correlations comparing to span prediction tasks, probably due to the unshiftable [CLS] on which classification tasks rely for interference does not need monotonicity. ", + "bbox": [ + 173, + 724, + 825, + 796 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In Fig. 5b, the performance correlates more to the direction balance indicators when considering neighboring tokens. For instance, the direction balance indicators within a small offset has correlation bigger than 0.5, this tends to be smaller with increasing offsets. ", + "bbox": [ + 173, + 803, + 823, + 845 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "D RELATIVE POSITION EMBEDDING WITH LONG OFFSETS ", + "text_level": 1, + "bbox": [ + 174, + 864, + 665, + 881 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The dot product between two position embeddings are shown in Fig. 1(e) and (f). To analyze the behaviour, we replace the raw dot product with the cosine similarity (as the latter is normalized and (a) Pearson correlations between the performance of (b) Pearson correlations between the performance of downstream tasks (shown in Tables 3 and 4) and downstream tasks (shown in Tables 3 and 4) and direcmonotonicity indicators in different offset ranges. tion balance indicators in different ranges. This shows This shows violating monotonicity (especially in a $1 5 \\mathrm { - }$ the more attending to preceding tokens than succeed60 offset range) is harmful for most tasks. ing tokens (especially for neighboring tokens) usually leads to better performance for GLUE in SQuAD. ", + "bbox": [ + 174, + 895, + 821, + 924 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/18d0d513801a363f23249c601b65b30a9d44dd36941cfd4241ed9ede6231f57e.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 183, + 104, + 815, + 284 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 178, + 291, + 821, + 369 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/fdf4ec166c78cc94947be3a43566ce305c2c2bdbfd2b9bc9d6eb3e0475127003.jpg", + "image_caption": [ + "Figure 5: In which offset ranges the properties correlate with the performance in downstream tasks. ", + "Figure 6: Cosine similarities between any two relative position vectors. Cosine similarities bigger than $9 5 \\%$ are in blue. " + ], + "image_footnote": [], + "bbox": [ + 178, + 419, + 821, + 611 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "thus easier to interpret). When the cosine similarity is one, the two vectors are perfectly colinear and share the same direction. For the purposes of this investigation, we arbitrarily pick 0.95 as a threshold for the cosine similarity, denote that two vectors are not significantly different. ", + "bbox": [ + 174, + 684, + 825, + 727 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "From Fig. 6 we observe the following for all PE variants with fully-learnable RPE: (1) There is no significant difference between relative position vectors with longer than 20-25 offsets; (2) forward relative position vectors are slightly more similar to forward relative position vectors instead of backward relative position vectors, and vice versa (see the central left-lower/right-upper white parts). ", + "bbox": [ + 174, + 733, + 825, + 804 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "E DETAILED EXPERIMENTAL SETTING ", + "text_level": 1, + "bbox": [ + 174, + 832, + 511, + 848 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "We train BERT base and BERT medium with both masked language prediction and next sentence prediction tasks; most parameters are listed in Tab. 6, with the remaining parameters set as in the original paper. Note that we share RPE in different heads and layers. Like (Shaw et al., 2018) RPE are truncated from $- 6 4$ to 64. ", + "bbox": [ + 174, + 867, + 825, + 922 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/04ae4a6e20b89e9e2c130a318da0e209ca7cda4c3788687cc32b4de5c63114d7.jpg", + "table_caption": [ + "Table 6: Detailed Experimental Settings " + ], + "table_footnote": [], + "table_body": "
Trainingpre-training from scratchmax Lengthepochlearning ratebatch size
BERT-base on 128 lengthX12855e-564
BERT-base on 512 lengthX51225e-5512
BERT-medium on 128 length128105e-5128
BERT-medium on 512 length51225e-5512
GLUE-12832e-532
SQuAD-38433e-532
", + "bbox": [ + 222, + 127, + 774, + 214 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We perform five runs for SQuAD and GLUE benchmark. The results in GLUE are for the last checkpoint during fine-tuning while SQuAD takes the best one for every 1000 steps. Finally, we calculate the average over 5 runs. All these settings are the same for all PEs. We use Mismatched MNLI. In GLUE (Wang et al., 2018), the train and dev are somewhat adversarial: training samples (in train and dev) containing the same sentence usually have opposite labels. Models may get worse when it overfits in the train set, resulting in unexpected results. Therefore, we exclude WNLI to calculate average in the last column in Tab. 3. The fine-tuning parameters are using default values in Huggingface project Wolf et al. (2019). ", + "bbox": [ + 173, + 242, + 825, + 354 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "F GENERALIZATION TO LONGER SENTENCES IN DOWNSTREAM TASKS ", + "text_level": 1, + "bbox": [ + 174, + 378, + 766, + 393 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "To fairly compare all models, we train a medium setting (8-layer transformer) on 128-length input in the first 10 epochs and 512-length input in the last 2 epochs from scratch. Fig. 7 shows that before 512-length pre-trained (like the 10-th epoch 128-length pre-trained) learnable sinusoidal APEs and RPEs perform better than BERT-style (without sinusoidal parameterization) in both SQuADs. This happens because PEs with translation invariance (learnable sinusoidal APEs and RPEs) generalize into longer positions 12, while position vectors between 128-512 positions are not trained in fullylearnable PEs and they are randomly initialized and finetuned in the downstream. ", + "bbox": [ + 173, + 410, + 825, + 508 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/42361133163358f3bc67a3d2d740b065b9b99123f9888fe8172cc1b174094584.jpg", + "image_caption": [ + "Figure 7: Experimental results on SQuADs with BERT-medium. X-axis: epoch number (first trained on 128-length seq. with 10 epochs and then 512-length with 2 epochs). Y-axis: F1 score. " + ], + "image_footnote": [], + "bbox": [ + 205, + 526, + 789, + 715 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "G THE EVOLUTION OF DOT PRODUCTS BETWEEN POSITION VECTORS ", + "text_level": 1, + "bbox": [ + 173, + 782, + 761, + 797 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "We exhibit dot products between position vectors during training a BERT-medium, as shown in Fig. 8. There is seemingly no pattern in the beginning, but as the number of training steps increase, a regular pattern with translation invariance and local monotonicity emerges. ", + "bbox": [ + 174, + 814, + 823, + 856 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/5a35b119583409841a0b2ee245c0692c082b2424f6ca01956d1c9ed1425d2bc9.jpg", + "image_caption": [ + "Figure 8: Dot products between absolute position vectors evolving with training steps. " + ], + "image_footnote": [], + "bbox": [ + 176, + 89, + 820, + 340 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "H DISCUSSIONS ON RELATED WORKS ", + "text_level": 1, + "bbox": [ + 173, + 388, + 501, + 404 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Complementary effect between APE and RPE The complementary effect between APE and RPE was demonstrated to be effective in (Wang et al., 2019) for machine translation. In the pretrained language model, Ke et al. (2020) propose that combining APE and RPE could be beneficial for classification tasks (GLUE), which in this paper, this complementary effect is not significant since most PE combinations (APE and RPE) do not outperform the BERT-style fully-learnable APE on classification. Instead, we empirically conclude that most PE combinations boost the performance in span prediction tasks. The benefit in classification tasks in (Ke et al., 2020) may come from other modifications, for example, it unties the [CLS] symbol from other positions. Moreover, in the paper, it adopts a special relative position embedding like (Raffel et al., 2019) (as this paper also suggests to do so): a simplified form of PE that each “embedding” is simply a scalar bias added to the corresponding logits when computing the attention weights. The fundamental difference between the ‘position bias’ and position embedding is unknown from now. ", + "bbox": [ + 174, + 417, + 825, + 585 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Study on attention visualization. Many works are focusing on understanding attention patterns in individual heads. For example Vig (2019) introduced a tool for visualizing attention in the Transformer at multiple scales; Rogers et al. (2020) suggest attention mechanisms like Vertical, Diagonal, Vertical $^ +$ diagonal, Block, and Heterogeneous. Clark et al. (2019) found some attention mechanisms like attending broadly, to next, to [CLS] or [SEP], attend to punctuation. While our paper focuses on the general attention introduced by PEs from an average point of view, without considering any specific attention head. ", + "bbox": [ + 173, + 601, + 823, + 698 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Asymmetry in sequential labeling Yan et al. (2019) suggested asymmetry of position embedding in named-entity recognition task (without involving pre-trained language models) which is a kind of sequential labeling tasks like span prediction (SQuAD) in this paper. Their conclusion is generally compatible with ours, but we question its assumption that ‘the property of distance-awareness disappears when query and key projection are conducted’. As shown in Fig. 9, we could slightly see some distance-awareness by directly taking the average position-position correspondence in the first layer among many heads (i.e., $P W ^ { Q , 1 } ( W ^ { \\mathbf { \\bar { K } } , 1 } ) ^ { T } P ^ { T } )$ . ", + "bbox": [ + 174, + 713, + 825, + 810 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Functional parameterization of PEs Xu et al. (2019) proposes various variants of sinusoidal positional encodings inspired by functional analysis. Wang et al. (2020) proposed a sinusoid-like complex word embedding to encode word order. Both (Xu et al., 2019) and (Wang et al., 2020) assume that PEs should satisfy the translation invariance property, but they induce different types of sinusoidal PE parameterization either in real or complex vector space. Moreover, Liu et al. (2020) use a neural ODE component to parameterize position encoding as a continuous dynamical model, which could learn suitable PEs in neural networks. All of these PEs are inspiring. Since selecting the suitable parameterization type is not the main concern in this paper, we adopted the typical ones, namely, the fully-learnable, (learnable or fixed) sinusoidal APEs/RPEs. The fundamental difference between these PE parameterizations needs further investigation. More recently, (Wang & Chen, 2020) empirically study the behaviour of many position embeddings and their performance in Transformers for various NLP tasks. ", + "bbox": [ + 174, + 825, + 825, + 922 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/0c03a5b9cddb340afd5ef8a1a6c312b39a3782e8c6bf50173d7aa1c3d615ee10.jpg", + "image_caption": [ + "Figure 9: Position-wise correlation matrix $( P W ^ { Q , 1 } ( W ^ { K , 1 } ) ^ { T } P ^ { T } )$ for first 128 positions in BERT pre-trained models " + ], + "image_footnote": [], + "bbox": [ + 176, + 102, + 821, + 243 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 309, + 825, + 378 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "I THE THREE PROPERTIES IN OTHER MODELS", + "text_level": 1, + "bbox": [ + 174, + 398, + 563, + 414 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "By using the proposed identical probing test, we also check the properties of other trained Transformer models with decoder components in Tab. 7 and Fig. 10. The machine translation model 13 is a typical encoder-decoder architecture using multiple-layer Transformers. GPT2 (Radford et al., 2019) adopts a purely decoder architecture; 12-layer base setting is used in this work. ", + "bbox": [ + 174, + 429, + 825, + 486 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Monotonicity Compared to BERT and the machine translation, GPT2 satisfies monotonicity (especially in the first 20 offsets) better than other models, showing capturing distance between neighboring tokens matters in the language model. ", + "bbox": [ + 174, + 500, + 825, + 541 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Translation invariance As seen from the translation invariance indicators in Tab. 7, GPT2 satisfies translation invariance poorer than other models, since tokens in it also additionally attend to a few beginning tokens no matter how far the attended tokens are. ", + "bbox": [ + 174, + 558, + 825, + 599 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Symmetry GPT2 shows the biggest symmetrical discrepancy, since GPT2, which aims to predict the next word, adopts an attention mask of succeeding tokens to avoid information leakage. Plus, the machine translation encoder slightly attends more to the succeeding tokens while BERT attends more on the preceding tokens than succeeding tokens. ", + "bbox": [ + 174, + 614, + 825, + 670 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/434d63cfc7923258aae1ef023a88041e71d2b6106e23c0b4648c0077def15361.jpg", + "table_caption": [ + "Table 7: Quantitative measurement of the properties for models of machine translation, language models. " + ], + "table_footnote": [], + "table_body": "
PEsPE typemodel typemonotonicitytranslation invariance w/o special tokenssymmetrydirection balance
all offsetsfirst 20 offsets
BERTfully-learnable APEencoder only0.24610.02080.01430.00121.1940
GPTfully-learnable APEdecoder only0.10190.00440.11140.0070inf
Machine Translationfixed sin. APEencoder & decoder0.35400.08410.02140.00020.8074
", + "bbox": [ + 176, + 723, + 821, + 784 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "J WHITE BAND EFFECTS ALONG THE DIAGONAL ", + "text_level": 1, + "bbox": [ + 173, + 818, + 586, + 833 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In order to analyze the white band effects along the diagonal, we show all results of identical word probing (average attention values in the first layer of identical word probing with respect to 100 randomly-selected words). This effect is more clear for fully-learnable RPE, learnable sinusoidal RPE and any combination variants including them (see. Fig. 11 (d,f,g,i,j,l)). To show the obvious differences between these PEs, in this paper, we use average unnormalized attention weights matrix for probing, but all indicators are calculated using normalized attention values for better quantitative comparison. ", + "bbox": [ + 173, + 847, + 825, + 876 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/6f1e93c16f7f36a7d4c17cbe7f52b0348ef7bd8e244ac62251fa5a3e481401c5.jpg", + "image_caption": [ + "Figure 10: Identical word probing with different types of trained models. " + ], + "image_footnote": [], + "bbox": [ + 178, + 103, + 820, + 296 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 349, + 825, + 420 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "K THE REPLACEABLE PROPERTY ABOUT ABSOLUTE POSITIONS OF WORDS", + "text_level": 1, + "bbox": [ + 169, + 103, + 807, + 118 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "For example (we do not consider subword tokenization for simplicity), we have two sentences for next sentence predictions (As BERT did) ", + "bbox": [ + 176, + 133, + 823, + 161 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "sentence1 : Deadlines are the No.1 productive forces . ", + "bbox": [ + 176, + 169, + 663, + 184 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "sentence2 : I think , therefore I am . ", + "bbox": [ + 178, + 190, + 504, + 204 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "By adding three special tokens, we will have a example with 17 tokens as ", + "bbox": [ + 176, + 212, + 656, + 226 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "[CLS] Deadlines are the No.1 productive forces . [SEP] I think , therefore I am .[SEP] ", + "bbox": [ + 178, + 233, + 812, + 262 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "with absolute positions in the bracket as ", + "bbox": [ + 176, + 268, + 437, + 282 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "[CLS](1) Deadlines(2) are(3) the(4) No.1(5) productive(6) forces(7) .(8) [SEP](9) I(10) think(11) ,(12) therefore(1 am(15) .(16) [SEP](17) ", + "bbox": [ + 176, + 290, + 733, + 332 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Assume that the expected maximum sequence length is 16 (actually 128 or 512 in BERT), we need to randomly remove the first token of the first sentence (i.e., Deadlines ) as ", + "bbox": [ + 171, + 338, + 823, + 367 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "valid sample: I: [CLS](1) are(2) the(3) No.1(4) productive(5) forces(6) .(7) [SEP](8) I(9) think(10) ,(11) therefore(12) I(13) am(14) .(15) [SEP](16) ", + "bbox": [ + 174, + 375, + 821, + 416 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "or last token of the second sentence (i.e., . ) ", + "bbox": [ + 173, + 422, + 480, + 438 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "valid sample: II: [CLS](1) Deadlines(2) are(3) the(4) No.1(5) productive(6) forces(7) .(8) [SEP](9) I(10) think(11) ,(12) therefore(13) I(14) am(15) [SEP](16) ", + "bbox": [ + 174, + 444, + 821, + 487 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Both the above two sentences are valid for training. If we replaced the first sentence with another shorter sentence (i.e., Publish/Launch or Perish ?), the sample would be ", + "bbox": [ + 171, + 493, + 823, + 522 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "valid sample: III: [CLS](1) Publish(2) or(3) Perish(4) ?(5) [SEP](6) I(7) think(8) ,(9) therefore(10) I(11) am(12) [SEP](13) [PAD](14) [PAD](15) [PAD](16) ", + "bbox": [ + 176, + 529, + 818, + 570 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "The three samples I,II,III are valid, but its absolute position indexes are not shiftable. Especially, the first sentence of the second sentence could be 9, 10, and 7, respectively, depending on the random seed for dropping and the length of the first sentence. ", + "bbox": [ + 174, + 578, + 823, + 621 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/d0646612ef1ba643abc24a4e026bb06203de08a9980c2caf93d949f70e70b2bc.jpg", + "image_caption": [ + "Figure 11: Identical word probing (models with more PEs are shown here comparing to Fig. 2). Darker in the $i$ -th row and $j$ -th column means that the $i$ -th words generally attend more on the $j$ -th words. 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sha256:4ecb9284f7a68e21ad2ba56aea8ff55c532a3903616e7febda5f33f115687131 +size 8091 diff --git a/parse/train/r1lnxTEYPS/r1lnxTEYPS.md b/parse/train/r1lnxTEYPS/r1lnxTEYPS.md new file mode 100644 index 0000000000000000000000000000000000000000..3ca02de436e12c52a6a8cd47992df0dbc351df46 --- /dev/null +++ b/parse/train/r1lnxTEYPS/r1lnxTEYPS.md @@ -0,0 +1,367 @@ +# DETECTING OUT-OF-DISTRIBUTION INPUTS TO DEEP GENERATIVE MODELS USING TYPICALITY + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Recent work has shown that deep generative models can assign higher likelihood to out-of-distribution data sets than to their training data (Nalisnick et al., 2019; Choi et al., 2019). We posit that this phenomenon is caused by a mismatch between the model’s typical set and its areas of high probability density. In-distribution inputs should reside in the former but not necessarily in the latter, as previous work has presumed (Bishop, 1994). To determine whether or not inputs reside in the typical set, we propose a statistically principled, easy-to-implement test using the empirical distribution of model likelihoods. The test is model agnostic and widely applicable, only requiring that the likelihood can be computed or closely approximated. We report experiments showing that our procedure can successfully detect the out-of-distribution sets in several of the challenging cases reported by Nalisnick et al. (2019). + +# 1 INTRODUCTION + +Recent work (Nalisnick et al., 2019; Choi et al., 2019; Shafaei et al., 2018) showed that a variety of deep generative models fail to distinguish training from out-of-distribution (OOD) data according to the model likelihood. This phenomenon occurs not only when the data sets are similar but also when they have dramatically different underlying semantics. For instance, Glow (Kingma & Dhariwal, 2018), a state-of-the-art normalizing flow, trained on CIFAR-10 will assign a higher likelihood to SVHN than to its CIFAR-10 training data (Nalisnick et al., 2019; Choi et al., 2019). This result is surprising since CIFAR-10 contains images of frogs, horses, ships, trucks, etc. and SVHN contains house numbers. A human would be very unlikely to confuse the two sets. These findings are also troubling from an algorithmic standpoint since higher OOD likelihoods break previously proposed methods for classifier validation (Bishop, 1994) and anomaly detection (Pimentel et al., 2014). + +We conjecture that these high OOD likelihoods are evidence of the phenomenon of typicality.1 Due to concentration of measure, a generative model will draw samples from its typical set (Cover & Thomas, 2012), a subset of the model’s full support. However, the typical set may not necessarily intersect with regions of high probability density. For example, consider a $d$ -dimensional isotropic Gaussian. Its highest density region is at its mode (the mean) but the typical set resides at a distance of $\sqrt { d }$ from the mode (Vershynin, 2018). Thus a point near the mode will have high likelihood while being extremely unlikely to be sampled from the model. We believe that deep generative models exhibit a similar phenomenon since, to return to the CIFAR-10 vs SVHN example, Nalisnick et al. (2019) showed that sampling from the model trained on CIFAR-10 never generates SVHN-looking images despite SVHN having higher likelihood. + +Based on this insight, we propose that OOD detection should be done by checking if an input resides in the model’s typical set, not just in a region of high density. Unfortunately it is impossible to analytically derive the regions of typicality for the vast majority of deep generative models. To define a widely applicable and scalable OOD-detection algorithm, we formulate Shannon (1948)’s entropy-based definition of typicality into a statistical hypothesis test. To ensure that the test is robust even in the low-data regime, we employ a bootstrap procedure (Efron & Tibshirani, 1994) to set the OOD-decision threshold. In the experiments, we demonstrate that our detection procedure succeeds in many of the challenging cases presented by Nalisnick et al. (2019). In addition to these successes, we also discuss failure modes that reveal drastic variability in OOD detection for the same data set pairs under different generative models. We highlight these cases to inspire future work. + +![](images/00f952eeb3d167f8274fde3c42e1a9f99126668b7eb46da53a3316557a33d4cd.jpg) +Figure 1: Typical Sets. Subfigure (a) shows the example of a Gaussian with its mean located at the high-dimensional all-gray image. Subfigure (b) shows how the typical set arises due to the nature of high-dimensional integration. The figure is inspired by Betancourt (2017)’s similar illustration. Subfigure (c) shows our proposed method (Equation 3, higher ˆ implies OOD) applied to a Gaussian simulation. The values have been re-scaled for purposes of visualization. + +# 2 BACKGROUND: TYPICAL SETS + +The typical set of a probability distribution is the set whose elements have an information content sufficiently close to that of the expected information (Shannon, 1948). A formal definition follows. + +Definition 2.1 $( \epsilon , \bf N )$ -Typical Set (Cover & Thomas, 2012) For a distribution $p ( \mathbf { x } )$ with support $\mathbf { x } \in \mathcal { X }$ , the $( \epsilon , N )$ -typical set $\mathcal { A } _ { \epsilon } ^ { N } [ p ( \mathbf { x } ) ] \in \mathcal { X } ^ { N }$ is comprised of all $N$ -length sequences that satisfy + +$$ +\mathbb { H } [ p ( \mathbf { x } ) ] - \epsilon \leq \frac { 1 } { N } - \log p ( \pmb { x } _ { 1 } , \dots , \pmb { x } _ { N } ) \leq \mathbb { H } [ p ( \mathbf { x } ) ] + \epsilon +$$ + +where $\begin{array} { r } { \mathbb { H } [ p ( \mathbf { x } ) ] = \int _ { \mathbb { X } } p ( \mathbf { x } ) [ - \log p ( \mathbf { x } ) ] d \mathbf { x } } \end{array}$ and $\epsilon \in \mathbb { R } ^ { + }$ is a small constant. + +When the joint density in Definition 2.1 factorizes, we can write: + +$$ +\mathbb { H } [ p ( \mathbf { x } ) ] - \epsilon \leq \frac { 1 } { N } \sum _ { n = 1 } ^ { N } - \log p ( \pmb { x } _ { n } ) \leq \mathbb { H } [ p ( \mathbf { x } ) ] + \epsilon . +$$ + +This is the definition we will use from here forward as we assume both training data and +samples from our generative model are identically and independently distributed (i.i.d.). In tity can be interpreted as an . The asymptotic equipartiti $N$ -sa pr pirical entropy:EP) (Cover & +$1 / N \textstyle \sum _ { n = 1 } ^ { N } - \log p ( \pmb { x } _ { n } ) \ = \ \hat { \mathbb H } ^ { N } [ p ( \mathbf { x } ) ]$ $N \to \infty$ + +To build intuition, let $p ( \mathbf { x } ) = \mathbf { N } ( \mathbf { 0 } , \sigma ^ { 2 } \mathbb { I } )$ and consider its $( \epsilon , 1 )$ -typical set. Plugging in the relevant quantities to Equation 1 and simplifying, we have $\mathbf { x } \in \mathcal { A } _ { \epsilon } ^ { 1 } [ \mathrm { N } ( \mathbf { 0 } , \sigma ^ { 2 } \mathbb { I } ) ]$ if $\begin{array} { r } { \frac 1 2 | d - | | { \bf x } - \mu | | _ { 2 } ^ { 2 } / \sigma ^ { 2 } | \le \epsilon } \end{array}$ where $d$ denotes dimensionality. See Appendix A.1 for a complete derivation. The inequality will√ hold for any choice of $\epsilon$ if $| | \mathbf { x } - \mu | | _ { 2 } = \sigma { \sqrt { d } }$ . In turn, we can geometrically interpret $\mathcal { A } _ { \epsilon } ^ { 1 } [ \mathrm { N } ( \mathbf { 0 } , \sigma ^ { 2 } \mathbb { I } ) ]$ as an annulus centered at $\mu$ with radius $\sigma { \sqrt { d } }$ and whose width is a function of $\epsilon$ (and $\sigma$ ). This is a well-known concentration of measure result often referred to as the Gaussian Annulus Theorem (Vershynin, 2018). Figure 1(a) illustrates a Gaussian centered on the all gray image (pixel value 128). We show that samples from this model never resemble the all gray image, despite it having the highest probability density, because they are drawn from the annulus. In Figure 1(b) we visualize the interplay between density and volume that gives rise to the typical set. The connection between typicality and concentration of measure can be stated formally as: + +Theorem 2.1 Probability of the Typical Set (Cover & Thomas, 2012) For $N$ sufficiently large, the typical set has probability + +$$ +P \left( \mathcal { A } _ { \epsilon } ^ { N } [ p ( \mathbf { x } ) ] \right) > 1 - \epsilon . +$$ + +This result speaks to the central role of typical sets in compression: $\mathcal { A } _ { \epsilon } ^ { N }$ is an efficient representation of $\mathcal { X } ^ { N }$ as it is sampled under $p ( \mathbf { x } )$ .2 Returning to the Gaussian example, we could ‘compress’ $\mathbb { R } ^ { d }$ under $\mathbf { N } ( \mathbf { 0 } , \sigma ^ { 2 } \mathbb { I } )$ to just the $\sigma { \sqrt { d } }$ -radius annulus.3 + +# 3 A TYPICALITY TEST FOR OOD INPUTS + +We next describe our core contribution: a reformulation of Definition 2.1 into a scalable goodnessof-fit test to determine if a batch of test data was likely drawn from a given deep generative model. + +3.1 SETTING OF INTEREST: GOODNESS-OF-FIT TESTING FOR DEEP GENERATIVE MODELS + +Assume we have a generative model $p ( \mathbf { x } ; \pmb { \theta } )$ —with $\pmb \theta$ denoting the parameters—that was trained on a data set $\pmb { X } = \{ \pmb { x } _ { 1 } , \ldots , \pmb { x } _ { N } \}$ . Take $\mathbf { x }$ to be high-dimensional ( $Q > 5 0 0$ ) and $N$ to be sufficiently large $( N > 2 5 , 0 0 0 )$ so as to enable training a high-capacity neural-network parametrized model—a so-called ‘deep generative model’ (DGM). Furthermore, we assume that $p ( \mathbf { x } ; \theta )$ has a likelihood that can be evaluated either directly or closely approximated via Monte Carlo sampling. Examples of DGMs that meet these specifications include normalizing flows (Tabak & Turner, 2013) such as Glow (Kingma & Dhariwal, 2018), latent variable models such as variational autoencoders (VAEs) (Kingma $\&$ Welling, 2014; Rezende et al., 2014), and auto-regressive models such as PixelCNN (van den Oord et al., 2016). We do not consider implicit generative models (Mohamed & Lakshminarayanan, 2016) (such as GANs (Goodfellow et al., 2014)) due to their likelihood being difficult to even approximate. + +The primary focus of this paper is in performing a goodness-of-fit (GoF) test (D’Agostino, 1986; Huber-Carol et al., 2012) for $p ( \mathbf { x } ; \pmb { \theta } )$ . Specifically, given an $M$ -sized batch of test observations $\widetilde { \pmb { X } } = \{ \tilde { \pmb { x } } _ { 1 } , \ldots , \tilde { \pmb { x } } _ { M } \}$ $M \geq 1 \mathrm { ~ }$ ), we desire to determine if $\widetilde { X }$ was sampled (i.i.d.) from $p _ { \pmb { \theta } }$ or from some other distribution $q \neq p _ { \pm }$ . We assume no knowledge of $q$ , thus making our desired GoF test omnibus (Eubank & LaRiccia, 1992). The vast majority of GoF tests operate via the model’s cumulative distribution function (CDF) and/or being able to compute an empirical distribution function (EDF) (Cramer´ , 1928; Massey Jr, 1951; Anderson & Darling, 1954; Stephens, 1974). However, the CDFs of DGMs are not available analytically, and numerical approximations are hopelessly slow due to the curse of dimensionality. Likewise, EDFs lose statistical strength exponentially as dimensionality grows (Wasserman, 2006). Our goal is to formulate a scalable test that does not rely on strong parametric assumptions (e.g. Chen & Xia (2019)) and has better computational properties than kernel-based alternatives (e.g. Liu et al. (2016)). + +# 3.2 A HYPOTHESIS TEST FOR TYPICALITY + +Returning to the results of Nalisnick et al. (2019) and Choi et al. (2019), the high-dimensionality of natural images $d = 3 0 7 2$ for CIFAR and SVHN) alone is enough to suspect the influence of phenomena akin to the Gaussian Annulus Theorem. Yet there are stronger parallels still: Nalisnick et al. (2019) showed that the all-black image has the highest density of any tested input to their FashionMNIST DGM, but this model is never observed to generate all-black images. Thus we are inspired to critique DGMs not via density but via typical set membership: + +The intuition is that if $\widetilde { X }$ is indeed sampled from $p _ { \pmb { \theta } }$ , then with high probability it must reside in the typical set (Theorem 2.1). To determine if $\widetilde { \pmb { X } } \in \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ , we can plug $\overrightharpoon { x }$ into Equation 1 as a length $M$ sequence and check if the $\epsilon$ -bound holds: + +$$ +\mathrm { i } \mathrm { \cdot ~ } \left| \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( \widetilde { x } _ { m } ; \pmb { \theta } ) - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] \right| = \hat { \epsilon } \leq \epsilon \mathrm { \ t h e n \ } \widetilde { \mathbf { X } } \in \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ] , +$$ + +where $\hat { \epsilon }$ denotes the test statistic. We provide a sanity check for Equation 3 in Subfigure 1(c), showing $\hat { \epsilon }$ calculated for the high-dimensional Gaussian example described in Section 2. We see that $\hat { \epsilon }$ achieves its minimum value exactly at $\sqrt { d }$ -distance from 128. + +In Appendix A.2 we show that our test is consistent unless the alternative’s typical set is a subset of $p _ { \theta }$ ’s: $\mathcal { A } _ { \epsilon } ^ { M } [ \boldsymbol { q } ( \mathbf { x } ) ] \subseteq \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ . This limitation is reasonable and expected given our fundamental assumption in Equation 2. Since the size of the typical set is upper bounded as a function of entropy—lo $\mathrm { g } \lvert \mathcal { A } _ { \epsilon } ^ { M } [ p ( \dot { \mathbf { x } } ; \pmb { \theta } ) ] \rvert \leq M ( \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] + \epsilon )$ (Cover & Thomas, 2012)—the model entropy determines the probability of type-II error: higher entropy implies a larger typical set, a larger set implies more chance of $\mathbf { \bar { \mathcal { A } } } _ { \epsilon } ^ { M } \tilde { \left[ q \right] } ^ { \mathbf { \bar { \alpha } } } \subseteq \mathcal { A } _ { \epsilon } ^ { M } \tilde { \left[ p _ { \pm } \right] }$ , and a higher degree of intersection leads to a better chance of incorrectly failing to reject $H _ { 0 } : \tilde { { \boldsymbol { x } } } \sim p \varrho$ . Yet it is not uncommon to sacrifice consistency for generality when testing GoF (e.g. Chi-square vs Kolmogorov-Smirnov tests (Haberman, 1988)). + +# 3.3 IMPLEMENTATION DETAILS + +In an ideal setting, we could mathematically derive the regions in $\mathcal { X }$ that correspond to the typical set (e.g. the Gaussian’s annulus) and check if $\tilde { \pmb x }$ resides within that region. Unfortunately, finding these regions is analytically intractable for neural-network-based generative models. A practical implementation of Equation 3 requires computing the entropy $\mathbb { H } [ p ( \bar { \mathbf { x } } ; \pmb { \theta } ) ]$ and the threshold $\epsilon$ . + +Entropy Estimator The entropy of DGMs is not available in closed-form and therefore we resort to the following sampling-based approximation. Recall from Subsection 2 that the AEP states that the sample entropy will converge to the true entropy as the number of samples grows. Since we have access to the model and can drawn a large number of samples from it, the empirical entropy should be a good approximation for the true model entropy: + +$$ +\mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] = \int _ { \pmb { \chi } } p ( \mathbf { x } ; \pmb { \theta } ) [ - \log p ( \mathbf { x } ; \pmb { \theta } ) ] d \mathbf { x } \approx \frac { 1 } { S } \sum _ { s = 1 } ^ { S } - \log p ( \hat { \pmb { x } } _ { s } ; \pmb { \theta } ) +$$ + +where $\hat { \pmb { x } } _ { s } \sim p ( { \bf x } ; { \pmb \theta } )$ . However, in preliminary experiments (reported in Appendix E.1) we observed markedly better OOD detection when using an alternative estimator known as the resubstitution estimator (Beirlant et al., 1997). This estimator uses the training set for calculating the expectation: + +$$ +\mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] \approx \mathbb { H } _ { \mathrm { R E S U B } } ^ { N } [ p ( \mathbf { x } ; \pmb { \theta } ) ] = \frac { 1 } { N } \sum _ { n = 1 } ^ { N } - \log p ( \pmb { x } _ { n } ; \pmb { \theta } ) . +$$ + +This approximation should be good as well since we assume $N$ to be large.4 + +Setting the OOD-Threshold with the Bootstrap Concerning the threshold $\epsilon$ , we propose setting its value through simulation—by constructing a bootstrap confidence interval (BCI) (Efron, 1992; Arcones & Gine, 1992) for the null hypothesis $H _ { 0 } : \widetilde { \pmb { X } } \in \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ , with the alternative being $H _ { 1 } : \widetilde { X } \notin \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ . In a slight deviation from the tradition procedure for BCI construction, we assume the existence of a validation set $X ^ { \prime }$ that was held-out from $\boldsymbol { X }$ before training the generative model (just as is usually done for hyperparameter tuning).This is only to account for the generative model overfitting to the training set. From this validation set, we bootstrap sample $K$ ‘new’ data sets $\{ X _ { k } ^ { \prime } \} _ { k = 1 } ^ { K }$ of size $M$ and then plug each into Equation 3 in place of $\widetilde { X }$ : + +$$ +\left| \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( x _ { k , m } ^ { \prime } ; \theta ) - \hat { { \mathbb H } } _ { \mathtt { R E S U B } } ^ { N } [ p ( { \bf x } ; \theta ) ] \right| = \hat { \epsilon } _ { k } +$$ + +where $\hat { \epsilon } _ { k }$ is the estimate for the $k$ th bootstrap sample. All $K$ estimates then form the bootstrap distribution F () = 1K PKk=1 . Calculating the e reject the null h $\alpha$ -quantile of othesis with $F ( \epsilon )$ , which wedence-level note as (Arcon $\epsilon _ { \alpha } ^ { M }$ $\alpha$ $\&$ Gine, 1992). If we reject the null, then we decide that the sample does not reside in the typical set and therefore is OOD. The complete procedure is summarized in Algorithm 1 in Appendix B. Observe that nearly all of the computation can be performed offline before any test set is received, including all bootstrap simulations. The rejection threshold $\epsilon _ { \alpha } ^ { M }$ depends on a particular $M$ and $\alpha$ setting, but these computations can be done in parallel across multiple machines. The most expensive test-time operation is obtaining $\log p ( \tilde { \pmb { x } } , \pmb { \theta } )$ . After this is done, only an $\mathcal { O } ( M )$ operation to sum the likelihoods is required. + +# 4 RELATED WORK + +Goodness-of-Fit Tests As mentioned in Section 3.1, many of the traditional GoF tests are not applicable to the DGMs and high-dimensional data sets that we consider since CDFs and EDFs are both intractable in this setting. Kernelized Stein discrepancy (Chwialkowski et al., 2016; Liu et al., 2016) is a recently-proposed GoF test that can scale to the DGM regime, and we compare against it in the experiments. Several works have proposed GoF tests based on entropy (Gokhale, 1983; Parzen, 1990)—e.g. for normal (Vasicek, 1976), uniform (Dudewicz & Van Der Meulen, 1981), and exponential (Crzcgorzewski & Wirczorkowski, 1999) distributions. However, these tests are derived from maximum entropy results and not motivated from typicality. There are also directed GoF tests such as ones based on likelihood ratios (Neyman & Pearson, 1933; Wilks, 1938) or discrepancies such as KL divergence (Noughabi & Arghami, 2013). These tests require an explicit definition of $q$ , which may be difficult in many DGM-appropriate scenarios. Yet the recent work of Ren et al. (2019) does apply likelihood ratios to PixelCNNs by constructing $q$ such that it models a background process (i.e. some perturbed version of the original data). + +Typical and Minimum Volume Sets We are aware of only two previous works that use a notion of typicality for GoF tests or OOD detection. Sabeti & Hst-Madsen (2019) propose a typicality framework based on minimum description length. They deem data as ‘atypical’ if it can be represented in less bits than one would expect under the generative model. While our frameworks share the same conceptual foundation, Sabeti & Hst-Madsen (2019)’s implementation relies on strong parametric assumptions and cannot be generalized to deep models (without drastic approximations). Choi et al. (2019), the second work, leverages normalizing flows to test for typicality by transforming the data to a normal distribution and then deeming points outside the annulus to be anomalous. This approach restricts the generative model to be a Gaussian normalizing flow whereas ours is applicable to any generative model with a computable likelihood. Our work is also related to the concept of minimum volume (MV) sets (Sager, 1979; Polonik, 1997; Garcia et al., 2003). MV sets have been used for GoF testing (Polonik, 1999; Glazer et al., 2012) and to detect outliers (Platt et al., 2001; Scott & Nowak, 2006; Clemenc¸on et al. ´ , 2018). However, we are not aware of any work that scales MV-set-based methodologies to the degree required to be applicable to DGMs. + +Generative Models and Outlier Detection Probabilistic but non-test-based techniques have also been widely employed to discover outliers and anomalies (Pimentel et al., 2014). One of the most common is to use a (one-sided) threshold on the density function to classify points as OOD (Barnett et al., 1994); this idea is used in Tarassenko et al. (1995) Bishop (1994), and Parra et al. (1996), among others. Other work has applied more sophisticated techniques to density function evaluations—for instance, Clifton et al. (2014) applies extreme value theory. Yet this work and all others of which we are aware do not identify points with abnormally high density as OOD. Thus they would fail in the settings presented by Nalisnick et al. (2019). As for work focusing on DGMs in particular, most previous work proposes training improvements to make the model more robust. For instance, Hendrycks et al. (2019) show that robustness and uncertainty quantification w.r.t. outliers can be improved by exposing the model to an auxiliary data set (a proxy for OOD data) during training. As for post-training outlier and OOD detection, Choi et al. (2019) proposes using an ensemble of models to compute the Watanabe-Akaike information criterion (WAIC). However, there are no rigorous arguments for why WAIC should quantify GoF. Skv ˇ ara et al. ´ (2018) proposes using a VAE’s conditional likelihood as an outlier criterion, finding that this works well only when the hyperparameters can be tuned using anomalous data. As far as we are aware, we are the first to apply a hypothesis testing framework to the problem of OOD or anomaly detection for DGMs. As mentioned above, Ren et al. (2019) use likelihood ratios, but they do not perform a hypothesis test. + +# 5 EXPERIMENTS + +We now evaluate our typicality test’s OOD detection abilities, focusing in particular on the image data set pairs highlighted by Nalisnick et al. (2019). We use the same three generative models as they did—Glow (Kingma & Dhariwal, 2018), PixelCNN (van den Oord et al., 2016), and Rosca et al. (2018)’s VAE architecture—attempting to replicate training and evaluation as closely as possible. See Appendix C for a full description of model architectures and training. See Appendix D for more details on evaluation. We consider the following baselines5; all statistical tests use $\alpha = 0 . 9 9$ : + +1. t-test: We apply a two-sample students’ t-test to check for a difference in means in the empirical likelihoods. In terms of Equation 3, this baseline will reject for any $\epsilon > 0$ , and thus we expect it to be overly conservative. Moreover, this test does not have access to validation data and therefore improvements upon it can be attributed to our bootstrap procedure. +2. Kolmogorov-Smirnov test (KS-test): We apply a two-sample KS-test to the likelihood EDFs. This test is stronger than our typicality test since it is checking for equivalence in all moments whereas ours (and the t-test) is restricted to the first moment. In turn, this test has a greater computational complexity— $\mathcal { O } ( M \log M )$ compared to $\mathcal { O } ( M )$ . +3. Maximum Mean Discrepancy (MMD): We apply a two-sample MMD (Gretton et al., 2012) test to the data directly. Yet we incorporate the generative model by using a Fisher kernel (Jaakkola & Haussler, 1999). We also apply the same bootstrap procedure on validation data to construct the test statistic. MMD has greater runtime still at $\mathcal { O } ( \bar { N M d } )$ . It also requires access to (a subset of) the training data at test-time, which is undesirable. +4. Kernelized Stein Discrepancy (KSD): We apply KSD (Liu et al., 2016) to test for GoF to the generative model and again use a Fisher kernel and the bootstrap procedure on validation data. KSD has runtime $\mathcal { O } ( M ^ { 2 } d )$ . While we have ignored the construction of the kernel in the runtime analysis, KSD is the most costly since it requires computing three model gradients. +5. Annulus Method: We use a modified version of Choi et al. (2019)’s annulus method applied to Gaussian normalizing flows. Like them, we classify something as OOD based on its distance√ to the sphere with radius $\sqrt { d }$ . This is essentially performing our test but via closed-form expressions for entropy made available by the Gaussian base distribution. We use the same bootstrap procedure on validation data to set the ‘slack’ variable $\epsilon$ . + +Grayscale Images We first evaluate our typicality test on grayscale images. We trained a Glow, PixelCNN, and VAE each on the FashionMNIST training split and tested OOD detection using the FashionMNIST, MNIST, and NotMNIST test splits. We use the FashionMNIST test split to evaluate for type-I error (incorrect rejection of the null) and the MNIST and NotMNIST splits for type-II error (incorrect rejection of the alternative). In Figure 2 we show the empirical distribution of likelihoods over each data set for each model. We see the same phenomenon as reported by Nalisnick et al. (2019)—namely, that the MNIST OOD test set (green) has a higher likelihood than the training set (black). Lower-sided thresholding (Bishop, 1994) would clearly fail to detect the OOD sets. Table 1 reports a comparison against baselines, showing the fraction of $M$ -sized batches classified as OOD. The IN-DIST. column reports the value for the FashionMNIST test set and ideally this number should be 0.00; any deviation from zero corresponds to type-I error. Conversely, the MNIST and NOTMNIST columns should be 1.00, and any deviation corresponds to type-II error. We see that for $M = 2$ all tests find it hard to reject the null hypothesis, which is not surprising given the overlap in the histograms in Figure 2. The exceptions are the annulus method for NotMNIST-Glow $( 9 6 \% )$ , the typicality test for MNIST-PixelCNN $( 5 6 \% )$ , and all methods except KS-test for NotMNIST-VAE. One failure mode for almost all methods is NotMNIST for the PixelCNN. None of the likelihoodbased tests can distinguish NotMNIST as OOD due to the near perfect overlap in histograms shown in Figure 2(b). KSD and especially MMD are able to perform better in this case due to having access to the original feature-space representations (in addition to the generative model). Yet, surprisingly, KSD and MMD perform comparatively poorly for MNIST, especially at $M = 1 0$ and $M = 2 5$ . The annulus method was unable to detect MNIST, which we found surprising given its close relationship to our typicality test, which does perform well. Yet Choi et al. (2019) note that Gaussian normalizing flows do not necessarily make the latent space normally distributed, and our typicality test may be able to use information from the volume element that is not available to the annulus method. + +![](images/6255daa222d1a45ebfc0c184b37dfe1577181a8f5e67dbf51fe3ee72c4d6cc3c.jpg) +Figure 2: Empirical Distribution of Likelihoods. The above figure shows the histogram of loglikelihoods for FashionMNIST (train, test), MNIST (test), and NotMNIST (test) for the (a) Glow, (b) PixelCNN, and (c) VAE. + +Table 1: Grayscale Images: Fraction of $M$ -Sized Batches Classified as OOD. The in-distribution column reflects type-I error and the MNIST and NotMNIST columns reflect type-II. + +
METHODIN-DIST.M=2 MNISTM=10M=25
NOTMNIST|IN-DIST.MNISTNOTMNISTIN-DIST.MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
t-Test0.01±.000.08±.000.06±.000.01±.001.00±.000.67±.010.01±.001.00±.000.99±.00
KS-Test0.00±.000.00±.000.00±.000.01±.001.00±.000.61±.010.00±.001.00±.000.98±.01
Max Mean Dis.0.05±.020.17±.060.04±.030.02±.020.63±.120.37±.240.04±.041.00±.001.00±.00
Kern. Stein Dis.0.05±.050.16±.140.01±.010.01±.010.21±.110.01±.000.02±.030.76±.210.00±.00
Annulus Method0.01±.010.00±.000.96±.030.02±.000.00±.001.00±.000.03±.030.00±.001.00±.00
PixelCNN Trained on FashionMNIST
Typicality Test0.03±.010.56±.130.01±.000.04±.021.00±.000.01±.010.05±.031.00±.000.01±.01
t-Test0.01±.000.23±.000.00±.000.01±.001.00±.000.00±.000.02±.001.00±.000.00±.00
KS-Test0.00±.000.00±.000.00±.000.02±.001.00±.000.00±.000.04±.001.00±.000.01±.00
Max Mean Dis.0.02±.000.05±.010.36±.050.05±.020.27±.061.00±.000.06±.040.59±.101.00±.00
Kern. Stein Dis.0.01±.000.05±.020.08±.030.02±.010.29±.140.61±.200.05±.020.70±.110.99±.01
VAETrained on FashionMNIST
Typicality Test0.03±.010.37±.050.99±.000.04±.020.94±.021.00±.000.04±.030.96±.011.00±.00
t-Test KS-Test0.01±.000.20±.000.99±.000.02±.000.93±.001.00±.000.02±.000.96±.001.00±.00
0.00±.000.00±.000.00±.000.02±.001.00±.001.00±.000.02±.001.00±.001.00±.00
Max Mean Dis. Kern. Stein Dis.0.03±.020.16±.070.73±.010.03±.040.41±.161.00±.00 1.00±.000.01±.010.64±.051.00±.00
0.04±.010.05±.010.74±.000.11±.040.17±.010.06±.040.37±.031.00±.00
+ +Natural Images We next turn to data sets of natural images—in particular SVHN, CIFAR-10, and ImageNet. We train Glow on SVHN, CIFAR-10, and ImageNet and use the two non-training sets for OOD evaluation. We found using MMD and KSD to be too expensive to make OOD decisions in an online system. Table 2 reports the fraction of $M$ -sized batches classified as OOD. We see that our method (first row, bolded) is able to easily detect the OOD sets for SVHN, rejecting size-two batches at the rate of $9 8 \% +$ while having only $1 \%$ type-I error. Performance on the CIFAR-10-trained model is good as well with $4 2 \% +$ of OOD batches detected at $M = 2$ and $1 0 0 \%$ at $M = 1 0$ (type-I error at $1 \%$ in both cases). The hardest case is Glow trained on ImageNet: the KS-test performed best at $M = 2 5$ with $8 9 \%$ , followed by the $\mathbf { t - }$ and typicality tests at $7 2 \%$ and $7 4 \%$ respectively. The annulus method again had varying performance, being conspicuously inferior at detecting SVHN for the CIFAR and ImageNet models while having the best performance on ImageNet for the CIFAR model. We report additional results in Appendix E.3 for our method, showing performance for all $M \in [ 1 , 1 5 0 ]$ and when using CIFAR-100 as an OOD set. + +Lastly, we report two challenging cases worthy of note and further attention. Figure 3(a) shows our method applied to Glow when trained on CIFAR-10, tested on CIFAR-100. The $y$ -axis again shows fraction of batches reported as OOD and the $x$ -axis the batch size $M$ . Even at $M = 1 5 0$ our method classifies only $\sim 2 0 \%$ of batches as OOD. Yet this result is not surprising given that CIFAR + +Table 2: Natural Images: Fraction of M-Sized Batches Classified as OOD. + +
METHODSVHNM=2 CIFAR-10IMAGENETSVHNM=10 CIFAR-10IMAGENET|M=25 CIFAR-10
SVHNIMAGENET
Glow Trained on SVHN
Typicality Test0.01±.000.98±.001.00±.000.00±.001.00±.001.00±.000.02±.001.00±.001.00±.00
t-Test0.00±.000.95±.001.00±.000.04±.001.00±.001.00±.000.03±.001.00±.001.00±.00
KS-Test0.00±.000.00±.000.00±.000.08±.001.00±.001.00±.000.03±.001.00±.001.00±.00
Annulus Method0.02±.010.70±.051.00±.000.02±.011.00±.001.00±.000.00±.001.00±.001.00±.00
Glow Trained on CIFAR-10
Typicality Test0.42±.090.01±.010.64±.041.00±.000.01±.011.00±.001.00±.000.01±.011.00±.00
t-Test0.44±.010.01±.000.65±.001.00±.000.02±.001.00±.001.00±.000.02±.001.00±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.01±.000.98±.001.00±.000.01±.001.00±.00
Annulus Method0.09±.030.02±.000.87±.050.19±.010.03±.001.00±.000.35±.020.04±.001.00±.00
Glow Trained on ImageNet
Typicality Test0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
t-Test0.76±.000.02±.000.01±.001.00±.000.18±.010.01±.001.00±.000.72±.010.01±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.29±.010.01±.001.00±.000.89±.010.02±.00
Annulus Method0.00±.000.03±.000.02±.010.02±.020.15±.040.02±.000.16±.040.57±.120.02±.00
+ +10 is a subset of CIFAR-100, which means that our test’s subset assumptions for consistency are violated. More interesting is the case of Glow trained on CelebA, tested on CIFAR-10 and CIFAR100. Figure 3(b) shows the histogram of log-likelihoods: all distributions peak at nearly the same value. The distribution of $\epsilon$ observed during the bootstrap procedure $M = 2 0 0$ ) is shown in Figure 3(c), with the red and black dotted lines denoting $\hat { \epsilon }$ computed using the whole set. We see that $\hat { \epsilon }$ for the OOD set is even less than the in-distribution’s, meaning that it would be impossible to reliably reject the OOD data while not rejecting the in-distribution test set as well. Interestingly, PixelCNN and VAE do not have as dramatic of an overlap in likelihoods—a phenomenon that can also be observed in Figure 2—which implies that the ability to detect OOD sets does not only depend on the data involved but the models as well. Some models may have likelihood functions that are reliably discriminative, and this presents an intriguing area for future work. + +![](images/9ca02de438f58f6e6b49dd426979e6fca608b7c7a81667c852ad457b52d4b33a.jpg) +Figure 3: Challenging Cases: CIFAR-10 vs CIFAR-100, CelebA vs CIFAR’s. + +# 6 DISCUSSION AND CONCLUSIONS + +We have presented a model-agnostic and computationally efficient statistical test for OOD inputs derived from the concept of typical sets. In the experiments we showed that the proposed test is especially well-suited to DGMs, identifying the OOD set for SVHN vs CIFAR-10 vs ImageNet (Nalisnick et al., 2019) with high accuracy (while maintaining $\leq 1 \%$ type-I error). In this work we used the null hypothesis $H _ { 0 } : \widetilde { \pmb { X } } \in \mathcal { A } _ { \epsilon } ^ { M }$ , which was necessary since we assumed access to only one training data set. 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The Large-Sample Distribution of the Likelihood Ratio for Testing Composite Hypotheses. The Annals of Mathematical Statistics, 9(1):60–62, 1938. + +# A THEORETICAL PROPERTIES + +# A.1 CONNECTION BETWEEN ENTROPY AND GAUSSIAN ANNULUS + +For the sake of completeness, we make explicit the connection between Definition 2.1 and the Gaussian annulus example. Plugging in the spherical Gaussian’s entropy and density function into Equation 1, we have: + +$$ +\begin{array} { l } { \displaystyle \epsilon \geq \left| d \log \sigma + \frac { d } { 2 } ( 1 + \log 2 \pi ) - d \log \sigma - \frac { d } { 2 } \log 2 \pi - \frac { 1 } { N } \sum _ { n } \frac { | | \mathbf { x } _ { n } - \mu | | _ { 2 } ^ { 2 } } { 2 \sigma ^ { 2 } } \right| } \\ { \displaystyle \quad = \frac { 1 } { 2 } \left| d - \frac { 1 } { N } \sum _ { n } \frac { | | \mathbf { x } _ { n } - \mu | | _ { 2 } ^ { 2 } } { \sigma ^ { 2 } } \right| . } \end{array} +$$ + +For $N = 1$ , we see that any point $\mathbf { x }$ that satisfies $| | \mathbf { x } - \mu | | _ { 2 } = \sigma { \sqrt { d } }$ guarantees the bound for any $\epsilon$ : + +$$ +\epsilon \geq \frac { 1 } { 2 } \left| d - \frac { ( \sigma \sqrt { d } ) ^ { 2 } } { \sigma ^ { 2 } } \right| = \frac { 1 } { 2 } \left| d - \frac { \sigma ^ { 2 } d } { \sigma ^ { 2 } } \right| = 0 . +$$ + +Recalling Figure 1(a), $\sigma { \sqrt { d } }$ is exactly the radius of the annulus at which the Gaussian’s mass con-√ centrates. Of course as $\epsilon$ grows, points further from or nearer to the mean than $\sigma { \sqrt { d } }$ are included as typical. The behavior for finite $N$ is harder to characterize, as the definition is essential testing the $\epsilon$ -bound for the average squared norm. Yet we know that for large samples $N \to \infty$ , + +$$ +{ \frac { 1 } { N } } \sum _ { n } { \frac { | | x _ { n } - \mu | | _ { 2 } ^ { 2 } } { \sigma ^ { 2 } } } \to { \frac { \mathbb { E } [ | | \mathbf { x } - \mu | | _ { 2 } ^ { 2 } ] } { \sigma ^ { 2 } } } = d , +$$ + +which again allows the bound to hold for any $\epsilon$ + +# A.2 CONSISTENCY OF THE TEST + +Below we show that the test presented in Section 3.2 is consistent unless $\mathcal { A } _ { \epsilon } ^ { M } [ { \boldsymbol { q } } ( \mathbf { x } ) ] \subseteq \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ + +Proposition A.1 $\mathbf { p } _ { \pmb { \theta } } \overset { \mathbf { d } } { = } \mathbf { q }$ When $\tilde { \mathbf { X } } \sim p ( \mathbf { x } ; \pmb { \theta } )$ , the test statistic + +$$ +| \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( \tilde { x } _ { m } ; \pmb { \theta } ) - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] | = \hat { \epsilon } \xrightarrow [ ] { p } 0 \ a s M \infty . +$$ + +Proof : The result follows directly from the AEP (Cover & Thomas, 2012). Alternatively, as $M $ $\begin{array} { r } { \infty , \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( \tilde { \mathbfit { x } } _ { m } ; \pmb { \theta } ) - \mathbb { E } [ \log p ( \tilde { \mathbf { x } } ; \pmb { \theta } ) ] } \end{array}$ . We then have + +$$ +\begin{array} { r } { | - \mathbb { E } [ \log p ( \tilde { \mathbf { x } } ; \pmb { \theta } ) ] - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] | = \mathrm { K L D } \left[ p ( \mathbf { x } ; \pmb { \theta } ) | | p ( \mathbf { x } ; \pmb { \theta } ) \right] = 0 . } \end{array} +$$ + +Proposition $\mathbf { A . 2 } { \mathbf { \nabla p } } _ { \theta } \neq \mathbf { q }$ When $\begin{array} { l l } { \tilde { \mathbf { X } } } & { \sim } & { q ( \mathbf { x } ) } \end{array}$ such that $p ( \mathbf { x } ; \pmb { \theta } ) \neq q ( \mathbf { x } )$ and $\mathcal { A } _ { \epsilon } ^ { M } [ q ( \mathbf { x } ) ]$ 6⊆ $\mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ , the test statistic + +$$ +| \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( \tilde { x } _ { m } ; \pmb { \theta } ) - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] | > 0 ~ a s ~ M \infty . +$$ + +Prothat $( B y$ $M \infty$ ,a $\begin{array} { r } { \frac { 1 } { M } \sum _ { m = 1 } ^ { M } - \log p ( \tilde { \mathbfit { x } } _ { m } ; \pmb { \theta } ) - \mathbb { E } _ { q } [ \log p ( \tilde { \mathbfit { x } } ; \pmb { \theta } ) ] } \end{array}$ . Assume Definition $\left| - \mathbb { E } _ { q } [ \log p ( \tilde { \mathbf { x } } ; \pmb { \theta } ) ] - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] \right| = 0$ $\mathcal { A } _ { \epsilon } ^ { M } [ { \boldsymbol { q } } ( \mathbf { x } ) ] \subset \mathcal { A } _ { \epsilon } ^ { M } [ { \boldsymbol { p } } ( \mathbf { x } ; \pmb { \theta } ) ]$ 2.1 we have + +$$ +\mathbb { H } [ p ( \mathbf { x } ) ] - \epsilon \ \leq \ - \mathbb { E } _ { q } [ \log p ( \tilde { \mathbf { x } } ; \theta ) ] \ \leq \ \mathbb { H } [ p ( \mathbf { x } ) ] + \epsilon , +$$ + +which implies that $\mathcal { A } _ { \epsilon } ^ { M } [ \boldsymbol { q } ( \mathbf { x } ) ] \subseteq \mathcal { A } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ for sufficiently large $M$ . This contradicts our assumption that $\bar { \mathcal { A } } _ { \epsilon } ^ { M } [ q ( \mathbf { x } ) ] \ \bar { \mathcal { G } } \ \bar { \mathcal { A } } _ { \epsilon } ^ { M } [ p ( \mathbf { x } ; \pmb { \theta } ) ]$ and therefore $\lvert - \mathbb { E } _ { q } [ \log { \bar { p } ( \tilde { \mathbf { x } } ; \mathbf { \bar { \pmb { \theta } } } ) } ] - \mathbb { H } [ p ( \mathbf { x } ; \pmb { \theta } ) ] \rvert > 0$ . + +Algorithm 1 A Bootstrap Test for Typicality + +Input: Training data $\boldsymbol { X }$ , validation data $X ^ { \prime }$ , trained model $p ( \mathbf { x } ; \pmb { \theta } )$ , number of bootstrap samples $K$ , significance level $\alpha$ , $M$ -sized batch of possibly OOD inputs $\widetilde { X }$ . + +Offline prior to deployment + +1. Compute $\begin{array} { r l } { { \hat { \mathbb { H } } ^ { N } [ \bar { p } ( \mathbf { x } ; \pmb { \theta } ) ] = \frac { - 1 } { N } \sum _ { n = 1 } ^ { N } \log p ( \mathbf { \boldsymbol { x } } _ { n } ; \pmb { \theta } ) } } \end{array}$ + +2. Sample $K M$ -sized data sets from $\mathbf { X } ^ { \prime }$ using bootstrap resampling. + +For all $k \in [ 1 , K ]$ : Compute $\begin{array} { r l } { \hat { \epsilon } _ { k } = \left| \frac { - 1 } { M } \sum _ { m = 1 } ^ { M } \log p ( \pmb { x } _ { k , m } ^ { \prime } ; \pmb { \theta } ) - \hat { \mathbb { H } } ^ { N } [ p ( \mathbf { x } ; \pmb { \theta } ) ] \right| } & { { } ( E q u a t i o n \theta ) } \end{array}$ + +4. Set $\epsilon _ { \alpha } ^ { M } = \mathtt { q u a n t i l e } ( F ( \epsilon ) , \alpha )$ (e.g. $\alpha = . 9 9 ,$ + +Online during deployment + +Return $\widetilde { \mathbf { X } }$ is out-of-distribution Else: Return $\widetilde { \mathbf { X } }$ is in-distribution + +# B ALGORITHMIC IMPLEMENTATION + +The pseudocode of the procedure is described in Algorithm 1. + +# C GENERATIVE MODEL DETAILS + +Glow Our Glow (Kingma & Dhariwal, 2018) implementation was derived from OpenAI’s open source repository6 and modified following the specifications in Appendix A of Nalisnick et al. (2019). All versions were trained with RMSProp, batch size of 32, with a learning rate of $1 \times 1 0 ^ { - 5 }$ for 100k steps and decayed by a factor of 2 after 80k and 90k steps. All priors were chosen to be standard Normal distributions. We follow Nalisnick et al. (2019)’s zero-initialization strategy (last coupling layer set to zero) and in turn did not apply any normalization. Similarly, our convolutional layers were initialized by sampling from the same truncated Normal distribution (Nalisnick et al., 2019). For our FashionMNIST experiment, Glow had two blocks of 16 affine coupling layers (ACLs) (Dinh et al., 2017). The spatial dimension was only squeezed between blocks. For the SVHN, CIFAR-10, and ImageNet models, we used three blocks of 8 ACLs with multi-scale factorization occurring between each block. All ACL transformations used a three-layer highway network. 200 hidden units were used for fashionMNIST and 400 for all other data sets. + +PixelCNN We trained a GatedPixelCNN (van den Oord et al., 2016) using Adam $\mathrm { 1 \times 1 0 ^ { - 4 } }$ initial learning rate, decayed by $1 / 3$ at steps $8 0 \mathrm { k }$ and $9 0 \mathrm { k }$ , 100k total steps) for FashionMNIST and RMSProp $\bar { ( 1 \times 1 0 ^ { - 4 } }$ initial learning rate, decayed by $1 / 3$ at steps 120k, 180k, and 195k, 200k total steps) for all other data sets. The FashionMNIST network had 5 gated layers (32 features) and a 256-sized skip connection. All other networks used 15 gated layers (128 features) and a 1024-sized skip connection + +Variational Autoencoder We used the convolutional decoder VAE (Kingma & Welling, 2014) variant described by Rosca et al. (2018). For Fashion MNIST, the decoder contained three convolutional layers with filter sizes 32, 32, and 256 and stides of 2, 2, and 1. Training was done again via RMSProp $\mathrm { 1 \times 1 0 ^ { - 4 } }$ initial learning rate, no decay, 200k total steps). For all other models, we followed the specifications in Rosca et al. (2018) Appendix K. + +# D EXPERIMENTAL DETAILS + +MMD and KSD Kernels We found that MMD and KSD only had good performance when using the Fisher kernel (Jaakkola & Haussler, 1999): $\begin{array} { r } { k ( \pmb { x } _ { i } , \pmb { x } _ { j } ) = \bar { ( } \nabla _ { \pmb { \theta } } \log p ( \hat { \pmb { x } } _ { i } ; \pmb { \theta } ) ) ^ { T } \nabla _ { \pmb { \theta } } \log p ( \pmb { x } _ { j } ; \pmb { \theta } ) } \end{array}$ . All other kernels attempted required substantial tuning to the scale parameters and we did not want to assume access to enough data to perform this tuning. The ineffectiveness of MMD on pixelspace has been noted previously (Bikowski et al., 2018). Furthermore, we found the memory cost of implementing the traditional Fisher kernel to be quite costly for Glow, each vector having 2million $^ +$ elements. Hence in the experiments we use the kernel modified such that the derivative is taken w.r.t. the input (making it the likelihood score): $\begin{array} { r } { k ^ { \prime } ( \pmb { x } _ { i } , \pmb { x } _ { j } ) = ( \nabla _ { \pmb { x } _ { i } } \log p ( \pmb { x } _ { i } ; \pmb { \theta } ) ) ^ { T } \nabla _ { \pmb { x } _ { j } } \log p ( \pmb { x } _ { j } ; \pmb { \theta } ) . } \end{array}$ . + +Data Set Splits and Bootstrap Re-Samples For each data set we used the canonical train-test splits. To construct the validation set and perform bootstrapping, we extracted 5, 000 samples from the test split and bootstrap sampled (with replacement) $K = 5 0$ data sets to calculate $F ( \epsilon )$ . We didn’t find using $K > 5 0$ to markedly change performance. We then extracted another $5 , 0 0 0$ samples from the test split, divided them into $M$ -sized batches, and classified each other as OOD or not according to the various tests. We repeated this whole process 10 times, randomizing the instances in the validation and testing splits, in order to compute the means and standard deviations that are reported in Tables 1 and 2. + +$\alpha$ -Level In preliminary experiments, we did not find a notable difference in type-II error when using $\alpha = 0 . 9 5$ vs $\alpha = 0 . 9 9$ . Using the latter slightly improved type-I error and thus we used that value for all experiments and all methods. + +# E ADDITIONAL RESULTS + +# E.1 COMPARING ENTROPY ESTIMATORS + +In the tables below, we report results comparing the two entropy estimators considered—the Monte Carlo approximation with samples from the model (Equation 4) vs the resubstitution estimator (Equation 5). We see that the samples-based estimator performs better in only one setting, FashionMNIST vs MNIST at $M = 2$ . In all other cases, the resubstitution estimator performs equally well or better. In fact, the samples-based estimator could not detect NotMNIST as OOD at all, having $0 \%$ even at $M = 1 0$ and $M = 2 5$ . This inferior performance is mostly due to the distribution of likelihoods being more diffuse when computed with samples. We suspect improvements to the generative models that enable them to better capture the true generative process will in turn improve the MC sample-based estimator. + +Table 3: Grayscale Images: Fraction of $M$ -Sized Batches Classified as OOD. The in-distribution column reflects type-I error and the MNIST and NotMNIST columns reflect type-II. + +
METHODIN-DIST.M=2 MNISTNOTMNISTIN-DIST.M=10 MNISTNOTMNISTIN-DIST.M=25 MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test w/Data0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
Typicality Test w/ Samples0.02±.010.44±.170.00±.000.03±.031.00±.000.00±.000.06±.051.00±.000.00±.00
+ +Table 4: Natural Images: Fraction of $M$ -Sized Batches Classified as OOD. + +
METHODSVHNM=2 CIFAR-10IN-DIST.SVHNM=10 CIFAR-10IN-DIST.SVHNM=25 CIFAR-10IN-DIST.
Glow Trained on ImageNet
Typicality Test w/ Data0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
Typicality Test w/ Samples0.29±.080.02±.010.01±.001.00±.000.16±.050.01±.011.00±.000.73±.080.01±.01
+ +# E.2 REPLICATION OF WAIC RESULTS + +We did not include WAIC because we were not able to replicate the results of Choi et al. (2019). The figure to the right shows a WAIC histogram for CIFAR-10 (blue) vs SVHN (OOD, orange) computed using our Glow implementation (ensemble size 5). We attempted to reproduce Choi et al.’s Figure 3, which shows SVHN having lower and more dispersed scores than CIFAR-10. We did not observe this: all SVHN WAIC scores overlap with or are higher than CIFAR-10’s, meaning that SVHN can not be distinguished as the OOD set. Two differences between our Glow implementation and theirs were that they use Adam (vs RMSprop) and early stopping on a validation set. We found neither difference affected results. + +![](images/e7ee42e31e3995f63e1417b04418cd596cb8bdc29340e0cf0b8432ee65a8b445.jpg) + +# E.3 VARYING M FOR GLOW + +![](images/51f727bbd866271aba6a9f2ab6d0704c474a835325e64227cb2f5ce44c7494dc.jpg) +Figure 4 reports results for our typicality test on Glow, varying $M$ from [1, 150]. Table 2’s results are a subset of these. We also report evaluations using CIFAR-100 as an OOD set. +Figure 4: Natural Image OOD Detection for Glow. The above plots show the fraction of $M .$ -sized batches rejected for three Glow models trained on SVHN, CIFAR-10, and ImageNet. The OOD distribution data sets are these three training sets as well as CIFAR-100. \ No newline at end of file diff --git a/parse/train/r1lnxTEYPS/r1lnxTEYPS_content_list.json b/parse/train/r1lnxTEYPS/r1lnxTEYPS_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..29c9b0084aed66550feacf31f16d771baac58fa0 --- /dev/null +++ b/parse/train/r1lnxTEYPS/r1lnxTEYPS_content_list.json @@ -0,0 +1,1795 @@ +[ + { + "type": "text", + "text": "DETECTING OUT-OF-DISTRIBUTION INPUTS TO DEEP GENERATIVE MODELS USING TYPICALITY ", + "text_level": 1, + "bbox": [ + 176, + 98, + 821, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 171, + 398, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent work has shown that deep generative models can assign higher likelihood to out-of-distribution data sets than to their training data (Nalisnick et al., 2019; Choi et al., 2019). We posit that this phenomenon is caused by a mismatch between the model’s typical set and its areas of high probability density. In-distribution inputs should reside in the former but not necessarily in the latter, as previous work has presumed (Bishop, 1994). To determine whether or not inputs reside in the typical set, we propose a statistically principled, easy-to-implement test using the empirical distribution of model likelihoods. The test is model agnostic and widely applicable, only requiring that the likelihood can be computed or closely approximated. We report experiments showing that our procedure can successfully detect the out-of-distribution sets in several of the challenging cases reported by Nalisnick et al. (2019). ", + "bbox": [ + 233, + 268, + 764, + 434 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 178, + 463, + 336, + 479 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Recent work (Nalisnick et al., 2019; Choi et al., 2019; Shafaei et al., 2018) showed that a variety of deep generative models fail to distinguish training from out-of-distribution (OOD) data according to the model likelihood. This phenomenon occurs not only when the data sets are similar but also when they have dramatically different underlying semantics. For instance, Glow (Kingma & Dhariwal, 2018), a state-of-the-art normalizing flow, trained on CIFAR-10 will assign a higher likelihood to SVHN than to its CIFAR-10 training data (Nalisnick et al., 2019; Choi et al., 2019). This result is surprising since CIFAR-10 contains images of frogs, horses, ships, trucks, etc. and SVHN contains house numbers. A human would be very unlikely to confuse the two sets. These findings are also troubling from an algorithmic standpoint since higher OOD likelihoods break previously proposed methods for classifier validation (Bishop, 1994) and anomaly detection (Pimentel et al., 2014). ", + "bbox": [ + 174, + 496, + 825, + 635 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We conjecture that these high OOD likelihoods are evidence of the phenomenon of typicality.1 Due to concentration of measure, a generative model will draw samples from its typical set (Cover & Thomas, 2012), a subset of the model’s full support. However, the typical set may not necessarily intersect with regions of high probability density. For example, consider a $d$ -dimensional isotropic Gaussian. Its highest density region is at its mode (the mean) but the typical set resides at a distance of $\\sqrt { d }$ from the mode (Vershynin, 2018). Thus a point near the mode will have high likelihood while being extremely unlikely to be sampled from the model. We believe that deep generative models exhibit a similar phenomenon since, to return to the CIFAR-10 vs SVHN example, Nalisnick et al. (2019) showed that sampling from the model trained on CIFAR-10 never generates SVHN-looking images despite SVHN having higher likelihood. ", + "bbox": [ + 174, + 641, + 825, + 782 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Based on this insight, we propose that OOD detection should be done by checking if an input resides in the model’s typical set, not just in a region of high density. Unfortunately it is impossible to analytically derive the regions of typicality for the vast majority of deep generative models. To define a widely applicable and scalable OOD-detection algorithm, we formulate Shannon (1948)’s entropy-based definition of typicality into a statistical hypothesis test. To ensure that the test is robust even in the low-data regime, we employ a bootstrap procedure (Efron & Tibshirani, 1994) to set the OOD-decision threshold. In the experiments, we demonstrate that our detection procedure succeeds in many of the challenging cases presented by Nalisnick et al. (2019). In addition to these successes, we also discuss failure modes that reveal drastic variability in OOD detection for the same data set pairs under different generative models. We highlight these cases to inspire future work. ", + "bbox": [ + 174, + 790, + 823, + 859 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/00f952eeb3d167f8274fde3c42e1a9f99126668b7eb46da53a3316557a33d4cd.jpg", + "image_caption": [ + "Figure 1: Typical Sets. Subfigure (a) shows the example of a Gaussian with its mean located at the high-dimensional all-gray image. Subfigure (b) shows how the typical set arises due to the nature of high-dimensional integration. The figure is inspired by Betancourt (2017)’s similar illustration. Subfigure (c) shows our proposed method (Equation 3, higher \u000fˆ implies OOD) applied to a Gaussian simulation. The values have been re-scaled for purposes of visualization. " + ], + "image_footnote": [], + "bbox": [ + 176, + 103, + 820, + 241 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 352, + 825, + 424 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 BACKGROUND: TYPICAL SETS ", + "text_level": 1, + "bbox": [ + 176, + 443, + 462, + 460 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The typical set of a probability distribution is the set whose elements have an information content sufficiently close to that of the expected information (Shannon, 1948). A formal definition follows. ", + "bbox": [ + 173, + 474, + 825, + 505 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Definition 2.1 $( \\epsilon , \\bf N )$ -Typical Set (Cover & Thomas, 2012) For a distribution $p ( \\mathbf { x } )$ with support $\\mathbf { x } \\in \\mathcal { X }$ , the $( \\epsilon , N )$ -typical set $\\mathcal { A } _ { \\epsilon } ^ { N } [ p ( \\mathbf { x } ) ] \\in \\mathcal { X } ^ { N }$ is comprised of all $N$ -length sequences that satisfy ", + "bbox": [ + 169, + 515, + 823, + 545 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/dd0150d5e1d6c1ec9080b486e68a9cf8ce6279fbcd5d85da7416a9c9c2cff1db.jpg", + "text": "$$\n\\mathbb { H } [ p ( \\mathbf { x } ) ] - \\epsilon \\leq \\frac { 1 } { N } - \\log p ( \\pmb { x } _ { 1 } , \\dots , \\pmb { x } _ { N } ) \\leq \\mathbb { H } [ p ( \\mathbf { x } ) ] + \\epsilon\n$$", + "text_format": "latex", + "bbox": [ + 316, + 551, + 679, + 582 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { \\mathbb { H } [ p ( \\mathbf { x } ) ] = \\int _ { \\mathbb { X } } p ( \\mathbf { x } ) [ - \\log p ( \\mathbf { x } ) ] d \\mathbf { x } } \\end{array}$ and $\\epsilon \\in \\mathbb { R } ^ { + }$ is a small constant. ", + "bbox": [ + 176, + 588, + 651, + 606 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "When the joint density in Definition 2.1 factorizes, we can write: ", + "bbox": [ + 173, + 616, + 599, + 631 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/e78c83f009be57b1e68a354f6ce348b2d66e784c4c6a8b14992891ce1ec5673c.jpg", + "text": "$$\n\\mathbb { H } [ p ( \\mathbf { x } ) ] - \\epsilon \\leq \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ) \\leq \\mathbb { H } [ p ( \\mathbf { x } ) ] + \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 321, + 637, + 674, + 681 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "This is the definition we will use from here forward as we assume both training data and \nsamples from our generative model are identically and independently distributed (i.i.d.). In tity can be interpreted as an . The asymptotic equipartiti $N$ -sa pr pirical entropy:EP) (Cover & \n$1 / N \\textstyle \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ) \\ = \\ \\hat { \\mathbb H } ^ { N } [ p ( \\mathbf { x } ) ]$ $N \\to \\infty$ ", + "bbox": [ + 173, + 688, + 825, + 761 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To build intuition, let $p ( \\mathbf { x } ) = \\mathbf { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } )$ and consider its $( \\epsilon , 1 )$ -typical set. Plugging in the relevant quantities to Equation 1 and simplifying, we have $\\mathbf { x } \\in \\mathcal { A } _ { \\epsilon } ^ { 1 } [ \\mathrm { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } ) ]$ if $\\begin{array} { r } { \\frac 1 2 | d - | | { \\bf x } - \\mu | | _ { 2 } ^ { 2 } / \\sigma ^ { 2 } | \\le \\epsilon } \\end{array}$ where $d$ denotes dimensionality. See Appendix A.1 for a complete derivation. The inequality will√ hold for any choice of $\\epsilon$ if $| | \\mathbf { x } - \\mu | | _ { 2 } = \\sigma { \\sqrt { d } }$ . In turn, we can geometrically interpret $\\mathcal { A } _ { \\epsilon } ^ { 1 } [ \\mathrm { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } ) ]$ as an annulus centered at $\\mu$ with radius $\\sigma { \\sqrt { d } }$ and whose width is a function of $\\epsilon$ (and $\\sigma$ ). This is a well-known concentration of measure result often referred to as the Gaussian Annulus Theorem (Vershynin, 2018). Figure 1(a) illustrates a Gaussian centered on the all gray image (pixel value 128). We show that samples from this model never resemble the all gray image, despite it having the highest probability density, because they are drawn from the annulus. In Figure 1(b) we visualize the interplay between density and volume that gives rise to the typical set. The connection between typicality and concentration of measure can be stated formally as: ", + "bbox": [ + 173, + 765, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Theorem 2.1 Probability of the Typical Set (Cover & Thomas, 2012) For $N$ sufficiently large, the typical set has probability ", + "bbox": [ + 173, + 103, + 823, + 131 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/d7a09413ba53c08e605a26d3893e827f2cc1793f74b7c84338af928d4f6a5b7d.jpg", + "text": "$$\nP \\left( \\mathcal { A } _ { \\epsilon } ^ { N } [ p ( \\mathbf { x } ) ] \\right) > 1 - \\epsilon .\n$$", + "text_format": "latex", + "bbox": [ + 418, + 128, + 578, + 148 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "This result speaks to the central role of typical sets in compression: $\\mathcal { A } _ { \\epsilon } ^ { N }$ is an efficient representation of $\\mathcal { X } ^ { N }$ as it is sampled under $p ( \\mathbf { x } )$ .2 Returning to the Gaussian example, we could ‘compress’ $\\mathbb { R } ^ { d }$ under $\\mathbf { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } )$ to just the $\\sigma { \\sqrt { d } }$ -radius annulus.3 ", + "bbox": [ + 174, + 159, + 825, + 204 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 A TYPICALITY TEST FOR OOD INPUTS ", + "text_level": 1, + "bbox": [ + 176, + 222, + 534, + 239 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We next describe our core contribution: a reformulation of Definition 2.1 into a scalable goodnessof-fit test to determine if a batch of test data was likely drawn from a given deep generative model. ", + "bbox": [ + 171, + 253, + 823, + 284 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 SETTING OF INTEREST: GOODNESS-OF-FIT TESTING FOR DEEP GENERATIVE MODELS", + "bbox": [ + 173, + 299, + 815, + 314 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Assume we have a generative model $p ( \\mathbf { x } ; \\pmb { \\theta } )$ —with $\\pmb \\theta$ denoting the parameters—that was trained on a data set $\\pmb { X } = \\{ \\pmb { x } _ { 1 } , \\ldots , \\pmb { x } _ { N } \\}$ . Take $\\mathbf { x }$ to be high-dimensional ( $Q > 5 0 0$ ) and $N$ to be sufficiently large $( N > 2 5 , 0 0 0 )$ so as to enable training a high-capacity neural-network parametrized model—a so-called ‘deep generative model’ (DGM). Furthermore, we assume that $p ( \\mathbf { x } ; \\theta )$ has a likelihood that can be evaluated either directly or closely approximated via Monte Carlo sampling. Examples of DGMs that meet these specifications include normalizing flows (Tabak & Turner, 2013) such as Glow (Kingma & Dhariwal, 2018), latent variable models such as variational autoencoders (VAEs) (Kingma $\\&$ Welling, 2014; Rezende et al., 2014), and auto-regressive models such as PixelCNN (van den Oord et al., 2016). We do not consider implicit generative models (Mohamed & Lakshminarayanan, 2016) (such as GANs (Goodfellow et al., 2014)) due to their likelihood being difficult to even approximate. ", + "bbox": [ + 173, + 324, + 825, + 478 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The primary focus of this paper is in performing a goodness-of-fit (GoF) test (D’Agostino, 1986; Huber-Carol et al., 2012) for $p ( \\mathbf { x } ; \\pmb { \\theta } )$ . Specifically, given an $M$ -sized batch of test observations $\\widetilde { \\pmb { X } } = \\{ \\tilde { \\pmb { x } } _ { 1 } , \\ldots , \\tilde { \\pmb { x } } _ { M } \\}$ $M \\geq 1 \\mathrm { ~ }$ ), we desire to determine if $\\widetilde { X }$ was sampled (i.i.d.) from $p _ { \\pmb { \\theta } }$ or from some other distribution $q \\neq p _ { \\pm }$ . We assume no knowledge of $q$ , thus making our desired GoF test omnibus (Eubank & LaRiccia, 1992). The vast majority of GoF tests operate via the model’s cumulative distribution function (CDF) and/or being able to compute an empirical distribution function (EDF) (Cramer´ , 1928; Massey Jr, 1951; Anderson & Darling, 1954; Stephens, 1974). However, the CDFs of DGMs are not available analytically, and numerical approximations are hopelessly slow due to the curse of dimensionality. Likewise, EDFs lose statistical strength exponentially as dimensionality grows (Wasserman, 2006). Our goal is to formulate a scalable test that does not rely on strong parametric assumptions (e.g. Chen & Xia (2019)) and has better computational properties than kernel-based alternatives (e.g. Liu et al. (2016)). ", + "bbox": [ + 173, + 484, + 825, + 655 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 A HYPOTHESIS TEST FOR TYPICALITY ", + "text_level": 1, + "bbox": [ + 176, + 671, + 483, + 685 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Returning to the results of Nalisnick et al. (2019) and Choi et al. (2019), the high-dimensionality of natural images $d = 3 0 7 2$ for CIFAR and SVHN) alone is enough to suspect the influence of phenomena akin to the Gaussian Annulus Theorem. Yet there are stronger parallels still: Nalisnick et al. (2019) showed that the all-black image has the highest density of any tested input to their FashionMNIST DGM, but this model is never observed to generate all-black images. Thus we are inspired to critique DGMs not via density but via typical set membership: ", + "bbox": [ + 173, + 696, + 825, + 781 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The intuition is that if $\\widetilde { X }$ is indeed sampled from $p _ { \\pmb { \\theta } }$ , then with high probability it must reside in the typical set (Theorem 2.1). To determine if $\\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ , we can plug $\\overrightharpoon { x }$ into Equation 1 as a length $M$ sequence and check if the $\\epsilon$ -bound holds: ", + "bbox": [ + 176, + 814, + 823, + 847 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 509, + 118 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6f3935a0be0d38821bf070266f98278bbc40b6c1c91267bc7faeb61b8b4d9e4b.jpg", + "text": "$$\n\\mathrm { i } \\mathrm { \\cdot ~ } \\left| \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\widetilde { x } _ { m } ; \\pmb { \\theta } ) - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\right| = \\hat { \\epsilon } \\leq \\epsilon \\mathrm { \\ t h e n \\ } \\widetilde { \\mathbf { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] ,\n$$", + "text_format": "latex", + "bbox": [ + 235, + 126, + 759, + 170 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\hat { \\epsilon }$ denotes the test statistic. We provide a sanity check for Equation 3 in Subfigure 1(c), showing $\\hat { \\epsilon }$ calculated for the high-dimensional Gaussian example described in Section 2. We see that $\\hat { \\epsilon }$ achieves its minimum value exactly at $\\sqrt { d }$ -distance from 128. ", + "bbox": [ + 173, + 175, + 823, + 219 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In Appendix A.2 we show that our test is consistent unless the alternative’s typical set is a subset of $p _ { \\theta }$ ’s: $\\mathcal { A } _ { \\epsilon } ^ { M } [ \\boldsymbol { q } ( \\mathbf { x } ) ] \\subseteq \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ . This limitation is reasonable and expected given our fundamental assumption in Equation 2. Since the size of the typical set is upper bounded as a function of entropy—lo $\\mathrm { g } \\lvert \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\dot { \\mathbf { x } } ; \\pmb { \\theta } ) ] \\rvert \\leq M ( \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] + \\epsilon )$ (Cover & Thomas, 2012)—the model entropy determines the probability of type-II error: higher entropy implies a larger typical set, a larger set implies more chance of $\\mathbf { \\bar { \\mathcal { A } } } _ { \\epsilon } ^ { M } \\tilde { \\left[ q \\right] } ^ { \\mathbf { \\bar { \\alpha } } } \\subseteq \\mathcal { A } _ { \\epsilon } ^ { M } \\tilde { \\left[ p _ { \\pm } \\right] }$ , and a higher degree of intersection leads to a better chance of incorrectly failing to reject $H _ { 0 } : \\tilde { { \\boldsymbol { x } } } \\sim p \\varrho$ . Yet it is not uncommon to sacrifice consistency for generality when testing GoF (e.g. Chi-square vs Kolmogorov-Smirnov tests (Haberman, 1988)). ", + "bbox": [ + 173, + 226, + 825, + 339 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 356, + 405, + 369 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In an ideal setting, we could mathematically derive the regions in $\\mathcal { X }$ that correspond to the typical set (e.g. the Gaussian’s annulus) and check if $\\tilde { \\pmb x }$ resides within that region. Unfortunately, finding these regions is analytically intractable for neural-network-based generative models. A practical implementation of Equation 3 requires computing the entropy $\\mathbb { H } [ p ( \\bar { \\mathbf { x } } ; \\pmb { \\theta } ) ]$ and the threshold $\\epsilon$ . ", + "bbox": [ + 173, + 382, + 825, + 439 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Entropy Estimator The entropy of DGMs is not available in closed-form and therefore we resort to the following sampling-based approximation. Recall from Subsection 2 that the AEP states that the sample entropy will converge to the true entropy as the number of samples grows. Since we have access to the model and can drawn a large number of samples from it, the empirical entropy should be a good approximation for the true model entropy: ", + "bbox": [ + 173, + 454, + 825, + 525 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/14c1f0841b368232bb25d1fec6a2524ec411461658127c0bfa0cb52084378341.jpg", + "text": "$$\n\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\int _ { \\pmb { \\chi } } p ( \\mathbf { x } ; \\pmb { \\theta } ) [ - \\log p ( \\mathbf { x } ; \\pmb { \\theta } ) ] d \\mathbf { x } \\approx \\frac { 1 } { S } \\sum _ { s = 1 } ^ { S } - \\log p ( \\hat { \\pmb { x } } _ { s } ; \\pmb { \\theta } )\n$$", + "text_format": "latex", + "bbox": [ + 281, + 531, + 717, + 575 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\hat { \\pmb { x } } _ { s } \\sim p ( { \\bf x } ; { \\pmb \\theta } )$ . However, in preliminary experiments (reported in Appendix E.1) we observed markedly better OOD detection when using an alternative estimator known as the resubstitution estimator (Beirlant et al., 1997). This estimator uses the training set for calculating the expectation: ", + "bbox": [ + 174, + 582, + 825, + 626 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/da6f43d8b04e383a1472abc1a28e9ac525648241fc241baf0834b0226e005e2c.jpg", + "text": "$$\n\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\approx \\mathbb { H } _ { \\mathrm { R E S U B } } ^ { N } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ; \\pmb { \\theta } ) .\n$$", + "text_format": "latex", + "bbox": [ + 315, + 632, + 681, + 675 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This approximation should be good as well since we assume $N$ to be large.4 ", + "bbox": [ + 176, + 684, + 671, + 699 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Setting the OOD-Threshold with the Bootstrap Concerning the threshold $\\epsilon$ , we propose setting its value through simulation—by constructing a bootstrap confidence interval (BCI) (Efron, 1992; Arcones & Gine, 1992) for the null hypothesis $H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ , with the alternative being $H _ { 1 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ . In a slight deviation from the tradition procedure for BCI construction, we assume the existence of a validation set $X ^ { \\prime }$ that was held-out from $\\boldsymbol { X }$ before training the generative model (just as is usually done for hyperparameter tuning).This is only to account for the generative model overfitting to the training set. From this validation set, we bootstrap sample $K$ ‘new’ data sets $\\{ X _ { k } ^ { \\prime } \\} _ { k = 1 } ^ { K }$ of size $M$ and then plug each into Equation 3 in place of $\\widetilde { X }$ : ", + "bbox": [ + 173, + 713, + 826, + 837 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6d34586c03881078b5631e5535dfc0f995ab38876d12e3f6bc77709750415ef9.jpg", + "text": "$$\n\\left| \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( x _ { k , m } ^ { \\prime } ; \\theta ) - \\hat { { \\mathbb H } } _ { \\mathtt { R E S U B } } ^ { N } [ p ( { \\bf x } ; \\theta ) ] \\right| = \\hat { \\epsilon } _ { k }\n$$", + "text_format": "latex", + "bbox": [ + 328, + 843, + 668, + 887 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\hat { \\epsilon } _ { k }$ is the estimate for the $k$ th bootstrap sample. All $K$ estimates then form the bootstrap distribution F (\u000f) = 1K PKk=1 . Calculating the e reject the null h $\\alpha$ -quantile of othesis with $F ( \\epsilon )$ , which wedence-level note as (Arcon $\\epsilon _ { \\alpha } ^ { M }$ $\\alpha$ $\\&$ Gine, 1992). If we reject the null, then we decide that the sample does not reside in the typical set and therefore is OOD. The complete procedure is summarized in Algorithm 1 in Appendix B. Observe that nearly all of the computation can be performed offline before any test set is received, including all bootstrap simulations. The rejection threshold $\\epsilon _ { \\alpha } ^ { M }$ depends on a particular $M$ and $\\alpha$ setting, but these computations can be done in parallel across multiple machines. The most expensive test-time operation is obtaining $\\log p ( \\tilde { \\pmb { x } } , \\pmb { \\theta } )$ . After this is done, only an $\\mathcal { O } ( M )$ operation to sum the likelihoods is required. ", + "bbox": [ + 174, + 103, + 825, + 246 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 265, + 344, + 281 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Goodness-of-Fit Tests As mentioned in Section 3.1, many of the traditional GoF tests are not applicable to the DGMs and high-dimensional data sets that we consider since CDFs and EDFs are both intractable in this setting. Kernelized Stein discrepancy (Chwialkowski et al., 2016; Liu et al., 2016) is a recently-proposed GoF test that can scale to the DGM regime, and we compare against it in the experiments. Several works have proposed GoF tests based on entropy (Gokhale, 1983; Parzen, 1990)—e.g. for normal (Vasicek, 1976), uniform (Dudewicz & Van Der Meulen, 1981), and exponential (Crzcgorzewski & Wirczorkowski, 1999) distributions. However, these tests are derived from maximum entropy results and not motivated from typicality. There are also directed GoF tests such as ones based on likelihood ratios (Neyman & Pearson, 1933; Wilks, 1938) or discrepancies such as KL divergence (Noughabi & Arghami, 2013). These tests require an explicit definition of $q$ , which may be difficult in many DGM-appropriate scenarios. Yet the recent work of Ren et al. (2019) does apply likelihood ratios to PixelCNNs by constructing $q$ such that it models a background process (i.e. some perturbed version of the original data). ", + "bbox": [ + 174, + 295, + 825, + 476 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Typical and Minimum Volume Sets We are aware of only two previous works that use a notion of typicality for GoF tests or OOD detection. Sabeti & Hst-Madsen (2019) propose a typicality framework based on minimum description length. They deem data as ‘atypical’ if it can be represented in less bits than one would expect under the generative model. While our frameworks share the same conceptual foundation, Sabeti & Hst-Madsen (2019)’s implementation relies on strong parametric assumptions and cannot be generalized to deep models (without drastic approximations). Choi et al. (2019), the second work, leverages normalizing flows to test for typicality by transforming the data to a normal distribution and then deeming points outside the annulus to be anomalous. This approach restricts the generative model to be a Gaussian normalizing flow whereas ours is applicable to any generative model with a computable likelihood. Our work is also related to the concept of minimum volume (MV) sets (Sager, 1979; Polonik, 1997; Garcia et al., 2003). MV sets have been used for GoF testing (Polonik, 1999; Glazer et al., 2012) and to detect outliers (Platt et al., 2001; Scott & Nowak, 2006; Clemenc¸on et al. ´ , 2018). However, we are not aware of any work that scales MV-set-based methodologies to the degree required to be applicable to DGMs. ", + "bbox": [ + 174, + 491, + 825, + 685 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Generative Models and Outlier Detection Probabilistic but non-test-based techniques have also been widely employed to discover outliers and anomalies (Pimentel et al., 2014). One of the most common is to use a (one-sided) threshold on the density function to classify points as OOD (Barnett et al., 1994); this idea is used in Tarassenko et al. (1995) Bishop (1994), and Parra et al. (1996), among others. Other work has applied more sophisticated techniques to density function evaluations—for instance, Clifton et al. (2014) applies extreme value theory. Yet this work and all others of which we are aware do not identify points with abnormally high density as OOD. Thus they would fail in the settings presented by Nalisnick et al. (2019). As for work focusing on DGMs in particular, most previous work proposes training improvements to make the model more robust. For instance, Hendrycks et al. (2019) show that robustness and uncertainty quantification w.r.t. outliers can be improved by exposing the model to an auxiliary data set (a proxy for OOD data) during training. As for post-training outlier and OOD detection, Choi et al. (2019) proposes using an ensemble of models to compute the Watanabe-Akaike information criterion (WAIC). However, there are no rigorous arguments for why WAIC should quantify GoF. Skv ˇ ara et al. ´ (2018) proposes using a VAE’s conditional likelihood as an outlier criterion, finding that this works well only when the hyperparameters can be tuned using anomalous data. As far as we are aware, we are the first to apply a hypothesis testing framework to the problem of OOD or anomaly detection for DGMs. As mentioned above, Ren et al. (2019) use likelihood ratios, but they do not perform a hypothesis test. ", + "bbox": [ + 174, + 700, + 825, + 922 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 152, + 326, + 167 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We now evaluate our typicality test’s OOD detection abilities, focusing in particular on the image data set pairs highlighted by Nalisnick et al. (2019). We use the same three generative models as they did—Glow (Kingma & Dhariwal, 2018), PixelCNN (van den Oord et al., 2016), and Rosca et al. (2018)’s VAE architecture—attempting to replicate training and evaluation as closely as possible. See Appendix C for a full description of model architectures and training. See Appendix D for more details on evaluation. We consider the following baselines5; all statistical tests use $\\alpha = 0 . 9 9$ : ", + "bbox": [ + 174, + 184, + 825, + 267 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "1. t-test: We apply a two-sample students’ t-test to check for a difference in means in the empirical likelihoods. In terms of Equation 3, this baseline will reject for any $\\epsilon > 0$ , and thus we expect it to be overly conservative. Moreover, this test does not have access to validation data and therefore improvements upon it can be attributed to our bootstrap procedure. \n2. Kolmogorov-Smirnov test (KS-test): We apply a two-sample KS-test to the likelihood EDFs. This test is stronger than our typicality test since it is checking for equivalence in all moments whereas ours (and the t-test) is restricted to the first moment. In turn, this test has a greater computational complexity— $\\mathcal { O } ( M \\log M )$ compared to $\\mathcal { O } ( M )$ . \n3. Maximum Mean Discrepancy (MMD): We apply a two-sample MMD (Gretton et al., 2012) test to the data directly. Yet we incorporate the generative model by using a Fisher kernel (Jaakkola & Haussler, 1999). We also apply the same bootstrap procedure on validation data to construct the test statistic. MMD has greater runtime still at $\\mathcal { O } ( \\bar { N M d } )$ . It also requires access to (a subset of) the training data at test-time, which is undesirable. \n4. Kernelized Stein Discrepancy (KSD): We apply KSD (Liu et al., 2016) to test for GoF to the generative model and again use a Fisher kernel and the bootstrap procedure on validation data. KSD has runtime $\\mathcal { O } ( M ^ { 2 } d )$ . While we have ignored the construction of the kernel in the runtime analysis, KSD is the most costly since it requires computing three model gradients. \n5. Annulus Method: We use a modified version of Choi et al. (2019)’s annulus method applied to Gaussian normalizing flows. Like them, we classify something as OOD based on its distance√ to the sphere with radius $\\sqrt { d }$ . This is essentially performing our test but via closed-form expressions for entropy made available by the Gaussian base distribution. We use the same bootstrap procedure on validation data to set the ‘slack’ variable $\\epsilon$ . ", + "bbox": [ + 169, + 280, + 826, + 607 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Grayscale Images We first evaluate our typicality test on grayscale images. We trained a Glow, PixelCNN, and VAE each on the FashionMNIST training split and tested OOD detection using the FashionMNIST, MNIST, and NotMNIST test splits. We use the FashionMNIST test split to evaluate for type-I error (incorrect rejection of the null) and the MNIST and NotMNIST splits for type-II error (incorrect rejection of the alternative). In Figure 2 we show the empirical distribution of likelihoods over each data set for each model. We see the same phenomenon as reported by Nalisnick et al. (2019)—namely, that the MNIST OOD test set (green) has a higher likelihood than the training set (black). Lower-sided thresholding (Bishop, 1994) would clearly fail to detect the OOD sets. Table 1 reports a comparison against baselines, showing the fraction of $M$ -sized batches classified as OOD. The IN-DIST. column reports the value for the FashionMNIST test set and ideally this number should be 0.00; any deviation from zero corresponds to type-I error. Conversely, the MNIST and NOTMNIST columns should be 1.00, and any deviation corresponds to type-II error. We see that for $M = 2$ all tests find it hard to reject the null hypothesis, which is not surprising given the overlap in the histograms in Figure 2. The exceptions are the annulus method for NotMNIST-Glow $( 9 6 \\% )$ , the typicality test for MNIST-PixelCNN $( 5 6 \\% )$ , and all methods except KS-test for NotMNIST-VAE. One failure mode for almost all methods is NotMNIST for the PixelCNN. None of the likelihoodbased tests can distinguish NotMNIST as OOD due to the near perfect overlap in histograms shown in Figure 2(b). KSD and especially MMD are able to perform better in this case due to having access to the original feature-space representations (in addition to the generative model). Yet, surprisingly, KSD and MMD perform comparatively poorly for MNIST, especially at $M = 1 0$ and $M = 2 5$ . The annulus method was unable to detect MNIST, which we found surprising given its close relationship to our typicality test, which does perform well. Yet Choi et al. (2019) note that Gaussian normalizing flows do not necessarily make the latent space normally distributed, and our typicality test may be able to use information from the volume element that is not available to the annulus method. ", + "bbox": [ + 173, + 622, + 825, + 900 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/6255daa222d1a45ebfc0c184b37dfe1577181a8f5e67dbf51fe3ee72c4d6cc3c.jpg", + "image_caption": [ + "Figure 2: Empirical Distribution of Likelihoods. The above figure shows the histogram of loglikelihoods for FashionMNIST (train, test), MNIST (test), and NotMNIST (test) for the (a) Glow, (b) PixelCNN, and (c) VAE. " + ], + "image_footnote": [], + "bbox": [ + 179, + 107, + 821, + 239 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/383ca153e91757984a7c72da554764271c383584c9633f0ddf1e7748ae819ac7.jpg", + "table_caption": [ + "Table 1: Grayscale Images: Fraction of $M$ -Sized Batches Classified as OOD. The in-distribution column reflects type-I error and the MNIST and NotMNIST columns reflect type-II. " + ], + "table_footnote": [], + "table_body": "
METHODIN-DIST.M=2 MNISTM=10M=25
NOTMNIST|IN-DIST.MNISTNOTMNISTIN-DIST.MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
t-Test0.01±.000.08±.000.06±.000.01±.001.00±.000.67±.010.01±.001.00±.000.99±.00
KS-Test0.00±.000.00±.000.00±.000.01±.001.00±.000.61±.010.00±.001.00±.000.98±.01
Max Mean Dis.0.05±.020.17±.060.04±.030.02±.020.63±.120.37±.240.04±.041.00±.001.00±.00
Kern. Stein Dis.0.05±.050.16±.140.01±.010.01±.010.21±.110.01±.000.02±.030.76±.210.00±.00
Annulus Method0.01±.010.00±.000.96±.030.02±.000.00±.001.00±.000.03±.030.00±.001.00±.00
PixelCNN Trained on FashionMNIST
Typicality Test0.03±.010.56±.130.01±.000.04±.021.00±.000.01±.010.05±.031.00±.000.01±.01
t-Test0.01±.000.23±.000.00±.000.01±.001.00±.000.00±.000.02±.001.00±.000.00±.00
KS-Test0.00±.000.00±.000.00±.000.02±.001.00±.000.00±.000.04±.001.00±.000.01±.00
Max Mean Dis.0.02±.000.05±.010.36±.050.05±.020.27±.061.00±.000.06±.040.59±.101.00±.00
Kern. Stein Dis.0.01±.000.05±.020.08±.030.02±.010.29±.140.61±.200.05±.020.70±.110.99±.01
VAETrained on FashionMNIST
Typicality Test0.03±.010.37±.050.99±.000.04±.020.94±.021.00±.000.04±.030.96±.011.00±.00
t-Test KS-Test0.01±.000.20±.000.99±.000.02±.000.93±.001.00±.000.02±.000.96±.001.00±.00
0.00±.000.00±.000.00±.000.02±.001.00±.001.00±.000.02±.001.00±.001.00±.00
Max Mean Dis. Kern. Stein Dis.0.03±.020.16±.070.73±.010.03±.040.41±.161.00±.00 1.00±.000.01±.010.64±.051.00±.00
0.04±.010.05±.010.74±.000.11±.040.17±.010.06±.040.37±.031.00±.00
", + "bbox": [ + 173, + 339, + 826, + 575 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 604, + 825, + 660 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Natural Images We next turn to data sets of natural images—in particular SVHN, CIFAR-10, and ImageNet. We train Glow on SVHN, CIFAR-10, and ImageNet and use the two non-training sets for OOD evaluation. We found using MMD and KSD to be too expensive to make OOD decisions in an online system. Table 2 reports the fraction of $M$ -sized batches classified as OOD. We see that our method (first row, bolded) is able to easily detect the OOD sets for SVHN, rejecting size-two batches at the rate of $9 8 \\% +$ while having only $1 \\%$ type-I error. Performance on the CIFAR-10-trained model is good as well with $4 2 \\% +$ of OOD batches detected at $M = 2$ and $1 0 0 \\%$ at $M = 1 0$ (type-I error at $1 \\%$ in both cases). The hardest case is Glow trained on ImageNet: the KS-test performed best at $M = 2 5$ with $8 9 \\%$ , followed by the $\\mathbf { t - }$ and typicality tests at $7 2 \\%$ and $7 4 \\%$ respectively. The annulus method again had varying performance, being conspicuously inferior at detecting SVHN for the CIFAR and ImageNet models while having the best performance on ImageNet for the CIFAR model. We report additional results in Appendix E.3 for our method, showing performance for all $M \\in [ 1 , 1 5 0 ]$ and when using CIFAR-100 as an OOD set. ", + "bbox": [ + 174, + 680, + 825, + 861 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Lastly, we report two challenging cases worthy of note and further attention. Figure 3(a) shows our method applied to Glow when trained on CIFAR-10, tested on CIFAR-100. The $y$ -axis again shows fraction of batches reported as OOD and the $x$ -axis the batch size $M$ . Even at $M = 1 5 0$ our method classifies only $\\sim 2 0 \\%$ of batches as OOD. Yet this result is not surprising given that CIFAR", + "bbox": [ + 174, + 868, + 823, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/c86e8a6680747ae084771f282fc68443f5510d3ec53b07805a2f21fab46a3c07.jpg", + "table_caption": [ + "Table 2: Natural Images: Fraction of M-Sized Batches Classified as OOD. " + ], + "table_footnote": [], + "table_body": "
METHODSVHNM=2 CIFAR-10IMAGENETSVHNM=10 CIFAR-10IMAGENET|M=25 CIFAR-10
SVHNIMAGENET
Glow Trained on SVHN
Typicality Test0.01±.000.98±.001.00±.000.00±.001.00±.001.00±.000.02±.001.00±.001.00±.00
t-Test0.00±.000.95±.001.00±.000.04±.001.00±.001.00±.000.03±.001.00±.001.00±.00
KS-Test0.00±.000.00±.000.00±.000.08±.001.00±.001.00±.000.03±.001.00±.001.00±.00
Annulus Method0.02±.010.70±.051.00±.000.02±.011.00±.001.00±.000.00±.001.00±.001.00±.00
Glow Trained on CIFAR-10
Typicality Test0.42±.090.01±.010.64±.041.00±.000.01±.011.00±.001.00±.000.01±.011.00±.00
t-Test0.44±.010.01±.000.65±.001.00±.000.02±.001.00±.001.00±.000.02±.001.00±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.01±.000.98±.001.00±.000.01±.001.00±.00
Annulus Method0.09±.030.02±.000.87±.050.19±.010.03±.001.00±.000.35±.020.04±.001.00±.00
Glow Trained on ImageNet
Typicality Test0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
t-Test0.76±.000.02±.000.01±.001.00±.000.18±.010.01±.001.00±.000.72±.010.01±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.29±.010.01±.001.00±.000.89±.010.02±.00
Annulus Method0.00±.000.03±.000.02±.010.02±.020.15±.040.02±.000.16±.040.57±.120.02±.00
", + "bbox": [ + 173, + 126, + 825, + 319 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "10 is a subset of CIFAR-100, which means that our test’s subset assumptions for consistency are violated. More interesting is the case of Glow trained on CelebA, tested on CIFAR-10 and CIFAR100. Figure 3(b) shows the histogram of log-likelihoods: all distributions peak at nearly the same value. The distribution of $\\epsilon$ observed during the bootstrap procedure $M = 2 0 0$ ) is shown in Figure 3(c), with the red and black dotted lines denoting $\\hat { \\epsilon }$ computed using the whole set. We see that $\\hat { \\epsilon }$ for the OOD set is even less than the in-distribution’s, meaning that it would be impossible to reliably reject the OOD data while not rejecting the in-distribution test set as well. Interestingly, PixelCNN and VAE do not have as dramatic of an overlap in likelihoods—a phenomenon that can also be observed in Figure 2—which implies that the ability to detect OOD sets does not only depend on the data involved but the models as well. Some models may have likelihood functions that are reliably discriminative, and this presents an intriguing area for future work. ", + "bbox": [ + 173, + 347, + 825, + 500 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/9ca02de438f58f6e6b49dd426979e6fca608b7c7a81667c852ad457b52d4b33a.jpg", + "image_caption": [ + "Figure 3: Challenging Cases: CIFAR-10 vs CIFAR-100, CelebA vs CIFAR’s. " + ], + "image_footnote": [], + "bbox": [ + 178, + 518, + 818, + 667 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 DISCUSSION AND CONCLUSIONS ", + "text_level": 1, + "bbox": [ + 176, + 718, + 478, + 734 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We have presented a model-agnostic and computationally efficient statistical test for OOD inputs derived from the concept of typical sets. In the experiments we showed that the proposed test is especially well-suited to DGMs, identifying the OOD set for SVHN vs CIFAR-10 vs ImageNet (Nalisnick et al., 2019) with high accuracy (while maintaining $\\leq 1 \\%$ type-I error). In this work we used the null hypothesis $H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M }$ , which was necessary since we assumed access to only one training data set. One avenue for future work is to use auxiliary data sets (Hendrycks et al., 2019) to construct a test statistic for the null $H _ { 0 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M }$ , as would be proper for safety-critical applications. In our experiments we also noticed two cases—PixelCNN trained on FashionMNIST, tested on NotMNIST and Glow trained on CelebA, tested on CIFAR—in which the empirical distributions of in- and out-of-distribution likelihoods matched near perfectly. Thus use of the likelihood distribution produced by DGMs has a fundamental limitation that is seemingly worse than what was reported by Nalisnick et al. (2019). ", + "bbox": [ + 173, + 751, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 103, + 287, + 118 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Theodore W Anderson and Donald A Darling. A Test of Goodness of Fit. 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", + "bbox": [ + 171, + 46, + 828, + 926 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A THEORETICAL PROPERTIES", + "text_level": 1, + "bbox": [ + 176, + 102, + 437, + 118 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.1 CONNECTION BETWEEN ENTROPY AND GAUSSIAN ANNULUS ", + "text_level": 1, + "bbox": [ + 174, + 133, + 647, + 148 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "For the sake of completeness, we make explicit the connection between Definition 2.1 and the Gaussian annulus example. Plugging in the spherical Gaussian’s entropy and density function into Equation 1, we have: ", + "bbox": [ + 174, + 160, + 823, + 203 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/8ddf46ed4c118d973ecbe7a47f2a864b9f1bfc7021e439dcac10479ba9d6464a.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\epsilon \\geq \\left| d \\log \\sigma + \\frac { d } { 2 } ( 1 + \\log 2 \\pi ) - d \\log \\sigma - \\frac { d } { 2 } \\log 2 \\pi - \\frac { 1 } { N } \\sum _ { n } \\frac { | | \\mathbf { x } _ { n } - \\mu | | _ { 2 } ^ { 2 } } { 2 \\sigma ^ { 2 } } \\right| } \\\\ { \\displaystyle \\quad = \\frac { 1 } { 2 } \\left| d - \\frac { 1 } { N } \\sum _ { n } \\frac { | | \\mathbf { x } _ { n } - \\mu | | _ { 2 } ^ { 2 } } { \\sigma ^ { 2 } } \\right| . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 251, + 208, + 745, + 295 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "For $N = 1$ , we see that any point $\\mathbf { x }$ that satisfies $| | \\mathbf { x } - \\mu | | _ { 2 } = \\sigma { \\sqrt { d } }$ guarantees the bound for any $\\epsilon$ : ", + "bbox": [ + 171, + 303, + 823, + 320 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/425547af3a6ec69e72a2b1584a03443c6125b87ed55b3c8001148b34172757ee.jpg", + "text": "$$\n\\epsilon \\geq \\frac { 1 } { 2 } \\left| d - \\frac { ( \\sigma \\sqrt { d } ) ^ { 2 } } { \\sigma ^ { 2 } } \\right| = \\frac { 1 } { 2 } \\left| d - \\frac { \\sigma ^ { 2 } d } { \\sigma ^ { 2 } } \\right| = 0 .\n$$", + "text_format": "latex", + "bbox": [ + 356, + 325, + 640, + 369 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Recalling Figure 1(a), $\\sigma { \\sqrt { d } }$ is exactly the radius of the annulus at which the Gaussian’s mass con-√ centrates. Of course as $\\epsilon$ grows, points further from or nearer to the mean than $\\sigma { \\sqrt { d } }$ are included as typical. The behavior for finite $N$ is harder to characterize, as the definition is essential testing the $\\epsilon$ -bound for the average squared norm. Yet we know that for large samples $N \\to \\infty$ , ", + "bbox": [ + 173, + 377, + 825, + 436 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/cdb4193ad4a836444bee77b410e94558db269b3aab3cab42a07106f0e5d038af.jpg", + "text": "$$\n{ \\frac { 1 } { N } } \\sum _ { n } { \\frac { | | x _ { n } - \\mu | | _ { 2 } ^ { 2 } } { \\sigma ^ { 2 } } } \\to { \\frac { \\mathbb { E } [ | | \\mathbf { x } - \\mu | | _ { 2 } ^ { 2 } ] } { \\sigma ^ { 2 } } } = d ,\n$$", + "text_format": "latex", + "bbox": [ + 359, + 443, + 637, + 482 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "which again allows the bound to hold for any $\\epsilon$ ", + "bbox": [ + 174, + 489, + 485, + 505 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.2 CONSISTENCY OF THE TEST ", + "text_level": 1, + "bbox": [ + 176, + 521, + 415, + 536 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Below we show that the test presented in Section 3.2 is consistent unless $\\mathcal { A } _ { \\epsilon } ^ { M } [ { \\boldsymbol { q } } ( \\mathbf { x } ) ] \\subseteq \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ ", + "bbox": [ + 174, + 546, + 821, + 564 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Proposition A.1 $\\mathbf { p } _ { \\pmb { \\theta } } \\overset { \\mathbf { d } } { = } \\mathbf { q }$ When $\\tilde { \\mathbf { X } } \\sim p ( \\mathbf { x } ; \\pmb { \\theta } )$ , the test statistic ", + "bbox": [ + 174, + 577, + 581, + 595 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/b36e122f8c559b040e5dbd186278fbb16eb5f8bcdde8b763896a0ab29e3564be.jpg", + "text": "$$\n| \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\tilde { x } _ { m } ; \\pmb { \\theta } ) - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] | = \\hat { \\epsilon } \\xrightarrow [ ] { p } 0 \\ a s M \\infty .\n$$", + "text_format": "latex", + "bbox": [ + 287, + 603, + 709, + 647 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Proof : The result follows directly from the AEP (Cover & Thomas, 2012). Alternatively, as $M $ $\\begin{array} { r } { \\infty , \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\tilde { \\mathbfit { x } } _ { m } ; \\pmb { \\theta } ) - \\mathbb { E } [ \\log p ( \\tilde { \\mathbf { x } } ; \\pmb { \\theta } ) ] } \\end{array}$ . We then have ", + "bbox": [ + 173, + 660, + 823, + 693 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/a41cd90df2a5a5ec407ec442027b8eee1ebdf28d4942a0c4dfd5cf39d82a8697.jpg", + "text": "$$\n\\begin{array} { r } { | - \\mathbb { E } [ \\log p ( \\tilde { \\mathbf { x } } ; \\pmb { \\theta } ) ] - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] | = \\mathrm { K L D } \\left[ p ( \\mathbf { x } ; \\pmb { \\theta } ) | | p ( \\mathbf { x } ; \\pmb { \\theta } ) \\right] = 0 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 294, + 699, + 702, + 717 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Proposition $\\mathbf { A . 2 } { \\mathbf { \\nabla p } } _ { \\theta } \\neq \\mathbf { q }$ When $\\begin{array} { l l } { \\tilde { \\mathbf { X } } } & { \\sim } & { q ( \\mathbf { x } ) } \\end{array}$ such that $p ( \\mathbf { x } ; \\pmb { \\theta } ) \\neq q ( \\mathbf { x } )$ and $\\mathcal { A } _ { \\epsilon } ^ { M } [ q ( \\mathbf { x } ) ]$ 6⊆ $\\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ , the test statistic ", + "bbox": [ + 171, + 728, + 825, + 760 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/b2c3f6de37353b658ef1536c22884329b07f491895a9727eb600e9629cb75480.jpg", + "text": "$$\n| \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\tilde { x } _ { m } ; \\pmb { \\theta } ) - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] | > 0 ~ a s ~ M \\infty .\n$$", + "text_format": "latex", + "bbox": [ + 307, + 767, + 687, + 811 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Prothat $( B y$ $M \\infty$ ,a $\\begin{array} { r } { \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\tilde { \\mathbfit { x } } _ { m } ; \\pmb { \\theta } ) - \\mathbb { E } _ { q } [ \\log p ( \\tilde { \\mathbfit { x } } ; \\pmb { \\theta } ) ] } \\end{array}$ . Assume Definition $\\left| - \\mathbb { E } _ { q } [ \\log p ( \\tilde { \\mathbf { x } } ; \\pmb { \\theta } ) ] - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\right| = 0$ $\\mathcal { A } _ { \\epsilon } ^ { M } [ { \\boldsymbol { q } } ( \\mathbf { x } ) ] \\subset \\mathcal { A } _ { \\epsilon } ^ { M } [ { \\boldsymbol { p } } ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ 2.1 we have ", + "bbox": [ + 173, + 825, + 826, + 872 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/62087218a77e07120fa4c17cf0a98b9686b162ba5de075472e96ef7a77721583.jpg", + "text": "$$\n\\mathbb { H } [ p ( \\mathbf { x } ) ] - \\epsilon \\ \\leq \\ - \\mathbb { E } _ { q } [ \\log p ( \\tilde { \\mathbf { x } } ; \\theta ) ] \\ \\leq \\ \\mathbb { H } [ p ( \\mathbf { x } ) ] + \\epsilon ,\n$$", + "text_format": "latex", + "bbox": [ + 331, + 872, + 665, + 890 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "which implies that $\\mathcal { A } _ { \\epsilon } ^ { M } [ \\boldsymbol { q } ( \\mathbf { x } ) ] \\subseteq \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ for sufficiently large $M$ . This contradicts our assumption that $\\bar { \\mathcal { A } } _ { \\epsilon } ^ { M } [ q ( \\mathbf { x } ) ] \\ \\bar { \\mathcal { G } } \\ \\bar { \\mathcal { A } } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]$ and therefore $\\lvert - \\mathbb { E } _ { q } [ \\log { \\bar { p } ( \\tilde { \\mathbf { x } } ; \\mathbf { \\bar { \\pmb { \\theta } } } ) } ] - \\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\rvert > 0$ . ", + "bbox": [ + 171, + 895, + 825, + 926 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Algorithm 1 A Bootstrap Test for Typicality ", + "bbox": [ + 176, + 103, + 467, + 118 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Input: Training data $\\boldsymbol { X }$ , validation data $X ^ { \\prime }$ , trained model $p ( \\mathbf { x } ; \\pmb { \\theta } )$ , number of bootstrap samples $K$ , significance level $\\alpha$ , $M$ -sized batch of possibly OOD inputs $\\widetilde { X }$ . ", + "bbox": [ + 184, + 121, + 821, + 154 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Offline prior to deployment ", + "bbox": [ + 191, + 166, + 370, + 180 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "1. Compute $\\begin{array} { r l } { { \\hat { \\mathbb { H } } ^ { N } [ \\bar { p } ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\frac { - 1 } { N } \\sum _ { n = 1 } ^ { N } \\log p ( \\mathbf { \\boldsymbol { x } } _ { n } ; \\pmb { \\theta } ) } } \\end{array}$ ", + "bbox": [ + 194, + 181, + 531, + 198 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "2. Sample $K M$ -sized data sets from $\\mathbf { X } ^ { \\prime }$ using bootstrap resampling. ", + "bbox": [ + 192, + 199, + 645, + 210 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "For all $k \\in [ 1 , K ]$ : Compute $\\begin{array} { r l } { \\hat { \\epsilon } _ { k } = \\left| \\frac { - 1 } { M } \\sum _ { m = 1 } ^ { M } \\log p ( \\pmb { x } _ { k , m } ^ { \\prime } ; \\pmb { \\theta } ) - \\hat { \\mathbb { H } } ^ { N } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\right| } & { { } ( E q u a t i o n \\theta ) } \\end{array}$ ", + "bbox": [ + 209, + 212, + 707, + 250 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "4. Set $\\epsilon _ { \\alpha } ^ { M } = \\mathtt { q u a n t i l e } ( F ( \\epsilon ) , \\alpha )$ (e.g. $\\alpha = . 9 9 ,$ ", + "bbox": [ + 191, + 248, + 527, + 265 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Online during deployment ", + "bbox": [ + 191, + 276, + 364, + 291 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Return $\\widetilde { \\mathbf { X } }$ is out-of-distribution Else: Return $\\widetilde { \\mathbf { X } }$ is in-distribution ", + "bbox": [ + 187, + 316, + 517, + 359 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B ALGORITHMIC IMPLEMENTATION ", + "text_level": 1, + "bbox": [ + 176, + 395, + 490, + 410 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "The pseudocode of the procedure is described in Algorithm 1. ", + "bbox": [ + 174, + 431, + 578, + 445 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "C GENERATIVE MODEL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 474, + 465, + 491 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Glow Our Glow (Kingma & Dhariwal, 2018) implementation was derived from OpenAI’s open source repository6 and modified following the specifications in Appendix A of Nalisnick et al. (2019). All versions were trained with RMSProp, batch size of 32, with a learning rate of $1 \\times 1 0 ^ { - 5 }$ for 100k steps and decayed by a factor of 2 after 80k and 90k steps. All priors were chosen to be standard Normal distributions. We follow Nalisnick et al. (2019)’s zero-initialization strategy (last coupling layer set to zero) and in turn did not apply any normalization. Similarly, our convolutional layers were initialized by sampling from the same truncated Normal distribution (Nalisnick et al., 2019). For our FashionMNIST experiment, Glow had two blocks of 16 affine coupling layers (ACLs) (Dinh et al., 2017). The spatial dimension was only squeezed between blocks. For the SVHN, CIFAR-10, and ImageNet models, we used three blocks of 8 ACLs with multi-scale factorization occurring between each block. All ACL transformations used a three-layer highway network. 200 hidden units were used for fashionMNIST and 400 for all other data sets. ", + "bbox": [ + 174, + 512, + 825, + 679 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "PixelCNN We trained a GatedPixelCNN (van den Oord et al., 2016) using Adam $\\mathrm { 1 \\times 1 0 ^ { - 4 } }$ initial learning rate, decayed by $1 / 3$ at steps $8 0 \\mathrm { k }$ and $9 0 \\mathrm { k }$ , 100k total steps) for FashionMNIST and RMSProp $\\bar { ( 1 \\times 1 0 ^ { - 4 } }$ initial learning rate, decayed by $1 / 3$ at steps 120k, 180k, and 195k, 200k total steps) for all other data sets. The FashionMNIST network had 5 gated layers (32 features) and a 256-sized skip connection. All other networks used 15 gated layers (128 features) and a 1024-sized skip connection ", + "bbox": [ + 174, + 704, + 825, + 787 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Variational Autoencoder We used the convolutional decoder VAE (Kingma & Welling, 2014) variant described by Rosca et al. (2018). For Fashion MNIST, the decoder contained three convolutional layers with filter sizes 32, 32, and 256 and stides of 2, 2, and 1. Training was done again via RMSProp $\\mathrm { 1 \\times 1 0 ^ { - 4 } }$ initial learning rate, no decay, 200k total steps). For all other models, we followed the specifications in Rosca et al. (2018) Appendix K. ", + "bbox": [ + 174, + 813, + 823, + 882 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "D EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 421, + 118 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "MMD and KSD Kernels We found that MMD and KSD only had good performance when using the Fisher kernel (Jaakkola & Haussler, 1999): $\\begin{array} { r } { k ( \\pmb { x } _ { i } , \\pmb { x } _ { j } ) = \\bar { ( } \\nabla _ { \\pmb { \\theta } } \\log p ( \\hat { \\pmb { x } } _ { i } ; \\pmb { \\theta } ) ) ^ { T } \\nabla _ { \\pmb { \\theta } } \\log p ( \\pmb { x } _ { j } ; \\pmb { \\theta } ) } \\end{array}$ . All other kernels attempted required substantial tuning to the scale parameters and we did not want to assume access to enough data to perform this tuning. The ineffectiveness of MMD on pixelspace has been noted previously (Bikowski et al., 2018). Furthermore, we found the memory cost of implementing the traditional Fisher kernel to be quite costly for Glow, each vector having 2million $^ +$ elements. Hence in the experiments we use the kernel modified such that the derivative is taken w.r.t. the input (making it the likelihood score): $\\begin{array} { r } { k ^ { \\prime } ( \\pmb { x } _ { i } , \\pmb { x } _ { j } ) = ( \\nabla _ { \\pmb { x } _ { i } } \\log p ( \\pmb { x } _ { i } ; \\pmb { \\theta } ) ) ^ { T } \\nabla _ { \\pmb { x } _ { j } } \\log p ( \\pmb { x } _ { j } ; \\pmb { \\theta } ) . } \\end{array}$ . ", + "bbox": [ + 173, + 135, + 825, + 247 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Data Set Splits and Bootstrap Re-Samples For each data set we used the canonical train-test splits. To construct the validation set and perform bootstrapping, we extracted 5, 000 samples from the test split and bootstrap sampled (with replacement) $K = 5 0$ data sets to calculate $F ( \\epsilon )$ . We didn’t find using $K > 5 0$ to markedly change performance. We then extracted another $5 , 0 0 0$ samples from the test split, divided them into $M$ -sized batches, and classified each other as OOD or not according to the various tests. We repeated this whole process 10 times, randomizing the instances in the validation and testing splits, in order to compute the means and standard deviations that are reported in Tables 1 and 2. ", + "bbox": [ + 173, + 265, + 825, + 377 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "$\\alpha$ -Level In preliminary experiments, we did not find a notable difference in type-II error when using $\\alpha = 0 . 9 5$ vs $\\alpha = 0 . 9 9$ . Using the latter slightly improved type-I error and thus we used that value for all experiments and all methods. ", + "bbox": [ + 174, + 395, + 825, + 438 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "E ADDITIONAL RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 460, + 398, + 477 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "E.1 COMPARING ENTROPY ESTIMATORS ", + "text_level": 1, + "bbox": [ + 176, + 494, + 468, + 508 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In the tables below, we report results comparing the two entropy estimators considered—the Monte Carlo approximation with samples from the model (Equation 4) vs the resubstitution estimator (Equation 5). We see that the samples-based estimator performs better in only one setting, FashionMNIST vs MNIST at $M = 2$ . In all other cases, the resubstitution estimator performs equally well or better. In fact, the samples-based estimator could not detect NotMNIST as OOD at all, having $0 \\%$ even at $M = 1 0$ and $M = 2 5$ . This inferior performance is mostly due to the distribution of likelihoods being more diffuse when computed with samples. We suspect improvements to the generative models that enable them to better capture the true generative process will in turn improve the MC sample-based estimator. ", + "bbox": [ + 173, + 521, + 825, + 646 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/2b07c30d3b9e6faa1c2018951f9573655dbb80340b9f69769ab40c5db0f95a22.jpg", + "table_caption": [ + "Table 3: Grayscale Images: Fraction of $M$ -Sized Batches Classified as OOD. The in-distribution column reflects type-I error and the MNIST and NotMNIST columns reflect type-II. " + ], + "table_footnote": [], + "table_body": "
METHODIN-DIST.M=2 MNISTNOTMNISTIN-DIST.M=10 MNISTNOTMNISTIN-DIST.M=25 MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test w/Data0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
Typicality Test w/ Samples0.02±.010.44±.170.00±.000.03±.031.00±.000.00±.000.06±.051.00±.000.00±.00
", + "bbox": [ + 173, + 702, + 823, + 760 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/7eb474311907661aa43cbe866ccbc58db470311617bf0bb1d4f0f5b1b6363cc6.jpg", + "table_caption": [ + "Table 4: Natural Images: Fraction of $M$ -Sized Batches Classified as OOD. " + ], + "table_footnote": [], + "table_body": "
METHODSVHNM=2 CIFAR-10IN-DIST.SVHNM=10 CIFAR-10IN-DIST.SVHNM=25 CIFAR-10IN-DIST.
Glow Trained on ImageNet
Typicality Test w/ Data0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
Typicality Test w/ Samples0.29±.080.02±.010.01±.001.00±.000.16±.050.01±.011.00±.000.73±.080.01±.01
", + "bbox": [ + 173, + 814, + 823, + 872 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "E.2 REPLICATION OF WAIC RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 904, + 449, + 917 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We did not include WAIC because we were not able to replicate the results of Choi et al. (2019). The figure to the right shows a WAIC histogram for CIFAR-10 (blue) vs SVHN (OOD, orange) computed using our Glow implementation (ensemble size 5). We attempted to reproduce Choi et al.’s Figure 3, which shows SVHN having lower and more dispersed scores than CIFAR-10. We did not observe this: all SVHN WAIC scores overlap with or are higher than CIFAR-10’s, meaning that SVHN can not be distinguished as the OOD set. Two differences between our Glow implementation and theirs were that they use Adam (vs RMSprop) and early stopping on a validation set. We found neither difference affected results. ", + "bbox": [ + 173, + 103, + 614, + 200 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 202, + 820, + 242 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/e7ee42e31e3995f63e1417b04418cd596cb8bdc29340e0cf0b8432ee65a8b445.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 625, + 92, + 821, + 188 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "E.3 VARYING M FOR GLOW", + "text_level": 1, + "bbox": [ + 174, + 260, + 383, + 273 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/51f727bbd866271aba6a9f2ab6d0704c474a835325e64227cb2f5ce44c7494dc.jpg", + "image_caption": [ + "Figure 4 reports results for our typicality test on Glow, varying $M$ from [1, 150]. Table 2’s results are a subset of these. We also report evaluations using CIFAR-100 as an OOD set. ", + "Figure 4: Natural Image OOD Detection for Glow. The above plots show the fraction of $M .$ -sized batches rejected for three Glow models trained on SVHN, CIFAR-10, and ImageNet. The OOD distribution data sets are these three training sets as well as CIFAR-100. " + ], + "image_footnote": [], + "bbox": [ + 179, + 332, + 823, + 820 + ], + "page_idx": 14 + } +] \ No newline at end of file diff --git a/parse/train/r1lnxTEYPS/r1lnxTEYPS_middle.json b/parse/train/r1lnxTEYPS/r1lnxTEYPS_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..d68ccecff3f876b629d0556555cece862cde236f --- /dev/null +++ b/parse/train/r1lnxTEYPS/r1lnxTEYPS_middle.json @@ -0,0 +1,41704 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 78, + 503, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 78, + 505, + 98 + ], + "spans": [ + { + "bbox": [ + 106, + 78, + 505, + 98 + ], + "score": 1.0, + "content": "DETECTING OUT-OF-DISTRIBUTION INPUTS TO DEEP", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 99, + 424, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 99, + 424, + 118 + ], + "score": 1.0, + "content": "GENERATIVE MODELS USING TYPICALITY", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 112, + 136, + 244, + 157 + ], + "lines": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "spans": [ + { + "bbox": [ + 113, + 136, + 201, + 147 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 146, + 245, + 159 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 278, + 186, + 333, + 199 + ], + "lines": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "spans": [ + { + "bbox": [ + 276, + 186, + 335, + 200 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 213, + 468, + 344 + ], + "lines": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "spans": [ + { + "bbox": [ + 141, + 212, + 469, + 225 + ], + "score": 1.0, + "content": "Recent work has shown that deep generative models can assign higher likeli-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 222, + 469, + 236 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 469, + 236 + ], + "score": 1.0, + "content": "hood to out-of-distribution data sets than to their training data (Nalisnick et al.,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 234, + 469, + 246 + ], + "spans": [ + { + "bbox": [ + 141, + 234, + 469, + 246 + ], + "score": 1.0, + "content": "2019; Choi et al., 2019). We posit that this phenomenon is caused by a mis-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 244, + 469, + 258 + ], + "spans": [ + { + "bbox": [ + 141, + 244, + 469, + 258 + ], + "score": 1.0, + "content": "match between the model’s typical set and its areas of high probability density.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 256, + 469, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 256, + 469, + 268 + ], + "score": 1.0, + "content": "In-distribution inputs should reside in the former but not necessarily in the latter, as", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "score": 1.0, + "content": "previous work has presumed (Bishop, 1994). To determine whether or not inputs", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 279, + 470, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 279, + 470, + 290 + ], + "score": 1.0, + "content": "reside in the typical set, we propose a statistically principled, easy-to-implement", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "score": 1.0, + "content": "test using the empirical distribution of model likelihoods. The test is model ag-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "score": 1.0, + "content": "nostic and widely applicable, only requiring that the likelihood can be computed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 142, + 312, + 469, + 322 + ], + "spans": [ + { + "bbox": [ + 142, + 312, + 469, + 322 + ], + "score": 1.0, + "content": "or closely approximated. We report experiments showing that our procedure can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 321, + 469, + 335 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 469, + 335 + ], + "score": 1.0, + "content": "successfully detect the out-of-distribution sets in several of the challenging cases", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 333, + 284, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 333, + 284, + 345 + ], + "score": 1.0, + "content": "reported by Nalisnick et al. (2019).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 109, + 367, + 206, + 380 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 208, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 208, + 383 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "Recent work (Nalisnick et al., 2019; Choi et al., 2019; Shafaei et al., 2018) showed that a variety of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 417 + ], + "score": 1.0, + "content": "deep generative models fail to distinguish training from out-of-distribution (OOD) data according to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "the model likelihood. This phenomenon occurs not only when the data sets are similar but also when", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "score": 1.0, + "content": "they have dramatically different underlying semantics. For instance, Glow (Kingma & Dhariwal,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 436, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 505, + 449 + ], + "score": 1.0, + "content": "2018), a state-of-the-art normalizing flow, trained on CIFAR-10 will assign a higher likelihood to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "SVHN than to its CIFAR-10 training data (Nalisnick et al., 2019; Choi et al., 2019). This result is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "surprising since CIFAR-10 contains images of frogs, horses, ships, trucks, etc. and SVHN contains", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "house numbers. A human would be very unlikely to confuse the two sets. These findings are also", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "score": 1.0, + "content": "troubling from an algorithmic standpoint since higher OOD likelihoods break previously proposed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 492, + 485, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 485, + 504 + ], + "score": 1.0, + "content": "methods for classifier validation (Bishop, 1994) and anomaly detection (Pimentel et al., 2014).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 106, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "We conjecture that these high OOD likelihoods are evidence of the phenomenon of typicality.1 Due", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "to concentration of measure, a generative model will draw samples from its typical set (Cover &", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "Thomas, 2012), a subset of the model’s full support. However, the typical set may not necessarily", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 407, + 554 + ], + "score": 1.0, + "content": "intersect with regions of high probability density. For example, consider a", + "type": "text" + }, + { + "bbox": [ + 408, + 542, + 414, + 551 + ], + "score": 0.77, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "-dimensional isotropic", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "Gaussian. Its highest density region is at its mode (the mean) but the typical set resides at a distance", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 117, + 578 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 563, + 132, + 576 + ], + "score": 0.91, + "content": "\\sqrt { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 564, + 505, + 578 + ], + "score": 1.0, + "content": "from the mode (Vershynin, 2018). Thus a point near the mode will have high likelihood while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "being extremely unlikely to be sampled from the model. We believe that deep generative models", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "exhibit a similar phenomenon since, to return to the CIFAR-10 vs SVHN example, Nalisnick et al.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 612 + ], + "score": 1.0, + "content": "(2019) showed that sampling from the model trained on CIFAR-10 never generates SVHN-looking", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 300, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 300, + 622 + ], + "score": 1.0, + "content": "images despite SVHN having higher likelihood.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 626, + 504, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 625, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 638 + ], + "score": 1.0, + "content": "Based on this insight, we propose that OOD detection should be done by checking if an input resides", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "in the model’s typical set, not just in a region of high density. Unfortunately it is impossible to", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 646, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 661 + ], + "score": 1.0, + "content": "analytically derive the regions of typicality for the vast majority of deep generative models. To", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "score": 1.0, + "content": "define a widely applicable and scalable OOD-detection algorithm, we formulate Shannon (1948)’s", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 669, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 506, + 682 + ], + "score": 1.0, + "content": "entropy-based definition of typicality into a statistical hypothesis test. To ensure that the test is robust", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 691, + 504, + 731 + ], + "lines": [ + { + "bbox": [ + 119, + 689, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 119, + 689, + 506, + 703 + ], + "score": 1.0, + "content": "1Choi et al. (2019) also consider typicality as an explanation but ultimately deem it not to be a crucial", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "factor. Nalisnick et al. 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We posit that this phenomenon is caused by a mis-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 244, + 469, + 258 + ], + "spans": [ + { + "bbox": [ + 141, + 244, + 469, + 258 + ], + "score": 1.0, + "content": "match between the model’s typical set and its areas of high probability density.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 256, + 469, + 268 + ], + "spans": [ + { + "bbox": [ + 141, + 256, + 469, + 268 + ], + "score": 1.0, + "content": "In-distribution inputs should reside in the former but not necessarily in the latter, as", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "spans": [ + { + "bbox": [ + 141, + 267, + 469, + 279 + ], + "score": 1.0, + "content": "previous work has presumed (Bishop, 1994). To determine whether or not inputs", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 279, + 470, + 290 + ], + "spans": [ + { + "bbox": [ + 141, + 279, + 470, + 290 + ], + "score": 1.0, + "content": "reside in the typical set, we propose a statistically principled, easy-to-implement", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 289, + 469, + 302 + ], + "score": 1.0, + "content": "test using the empirical distribution of model likelihoods. The test is model ag-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 300, + 470, + 312 + ], + "score": 1.0, + "content": "nostic and widely applicable, only requiring that the likelihood can be computed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 142, + 312, + 469, + 322 + ], + "spans": [ + { + "bbox": [ + 142, + 312, + 469, + 322 + ], + "score": 1.0, + "content": "or closely approximated. We report experiments showing that our procedure can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 321, + 469, + 335 + ], + "spans": [ + { + "bbox": [ + 141, + 321, + 469, + 335 + ], + "score": 1.0, + "content": "successfully detect the out-of-distribution sets in several of the challenging cases", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 333, + 284, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 333, + 284, + 345 + ], + "score": 1.0, + "content": "reported by Nalisnick et al. (2019).", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 10.5, + "bbox_fs": [ + 141, + 212, + 470, + 345 + ] + }, + { + "type": "title", + "bbox": [ + 109, + 367, + 206, + 380 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 208, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 208, + 383 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 393, + 505, + 503 + ], + "lines": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "Recent work (Nalisnick et al., 2019; Choi et al., 2019; Shafaei et al., 2018) showed that a variety of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 506, + 417 + ], + "score": 1.0, + "content": "deep generative models fail to distinguish training from out-of-distribution (OOD) data according to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 427 + ], + "score": 1.0, + "content": "the model likelihood. This phenomenon occurs not only when the data sets are similar but also when", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 505, + 438 + ], + "score": 1.0, + "content": "they have dramatically different underlying semantics. For instance, Glow (Kingma & Dhariwal,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 436, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 436, + 505, + 449 + ], + "score": 1.0, + "content": "2018), a state-of-the-art normalizing flow, trained on CIFAR-10 will assign a higher likelihood to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "SVHN than to its CIFAR-10 training data (Nalisnick et al., 2019; Choi et al., 2019). This result is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 505, + 471 + ], + "score": 1.0, + "content": "surprising since CIFAR-10 contains images of frogs, horses, ships, trucks, etc. and SVHN contains", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "house numbers. A human would be very unlikely to confuse the two sets. These findings are also", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 505, + 492 + ], + "score": 1.0, + "content": "troubling from an algorithmic standpoint since higher OOD likelihoods break previously proposed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 492, + 485, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 485, + 504 + ], + "score": 1.0, + "content": "methods for classifier validation (Bishop, 1994) and anomaly detection (Pimentel et al., 2014).", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 392, + 506, + 504 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 508, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 106, + 508, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 508, + 505, + 521 + ], + "score": 1.0, + "content": "We conjecture that these high OOD likelihoods are evidence of the phenomenon of typicality.1 Due", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "to concentration of measure, a generative model will draw samples from its typical set (Cover &", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "Thomas, 2012), a subset of the model’s full support. However, the typical set may not necessarily", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 541, + 505, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 407, + 554 + ], + "score": 1.0, + "content": "intersect with regions of high probability density. For example, consider a", + "type": "text" + }, + { + "bbox": [ + 408, + 542, + 414, + 551 + ], + "score": 0.77, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 541, + 505, + 554 + ], + "score": 1.0, + "content": "-dimensional isotropic", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "Gaussian. Its highest density region is at its mode (the mean) but the typical set resides at a distance", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 563, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 117, + 578 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 563, + 132, + 576 + ], + "score": 0.91, + "content": "\\sqrt { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 564, + 505, + 578 + ], + "score": 1.0, + "content": "from the mode (Vershynin, 2018). Thus a point near the mode will have high likelihood while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "being extremely unlikely to be sampled from the model. We believe that deep generative models", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 600 + ], + "score": 1.0, + "content": "exhibit a similar phenomenon since, to return to the CIFAR-10 vs SVHN example, Nalisnick et al.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 596, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 612 + ], + "score": 1.0, + "content": "(2019) showed that sampling from the model trained on CIFAR-10 never generates SVHN-looking", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 609, + 300, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 300, + 622 + ], + "score": 1.0, + "content": "images despite SVHN having higher likelihood.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 508, + 506, + 622 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 626, + 504, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 625, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 638 + ], + "score": 1.0, + "content": "Based on this insight, we propose that OOD detection should be done by checking if an input resides", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 506, + 649 + ], + "score": 1.0, + "content": "in the model’s typical set, not just in a region of high density. Unfortunately it is impossible to", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 646, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 661 + ], + "score": 1.0, + "content": "analytically derive the regions of typicality for the vast majority of deep generative models. To", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 671 + ], + "score": 1.0, + "content": "define a widely applicable and scalable OOD-detection algorithm, we formulate Shannon (1948)’s", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 669, + 506, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 506, + 682 + ], + "score": 1.0, + "content": "entropy-based definition of typicality into a statistical hypothesis test. To ensure that the test is robust", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "even in the low-data regime, we employ a bootstrap procedure (Efron & Tibshirani, 1994) to set the", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "OOD-decision threshold. In the experiments, we demonstrate that our detection procedure succeeds", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 302, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 315 + ], + "score": 1.0, + "content": "in many of the challenging cases presented by Nalisnick et al. (2019). In addition to these successes,", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 313, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 325 + ], + "score": 1.0, + "content": "we also discuss failure modes that reveal drastic variability in OOD detection for the same data set", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 324, + 460, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 460, + 337 + ], + "score": 1.0, + "content": "pairs under different generative models. We highlight these cases to inspire future work.", + "type": "text", + "cross_page": true + } + ], + "index": 12 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 625, + 506, + 682 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 82, + 502, + 191 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 82, + 502, + 191 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 82, + 502, + 191 + ], + "spans": [ + { + "bbox": [ + 108, + 82, + 502, + 191 + ], + "score": 0.957, + "type": "image", + "image_path": "00f952eeb3d167f8274fde3c42e1a9f99126668b7eb46da53a3316557a33d4cd.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 82, + 502, + 118.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 118.33333333333334, + 502, + 154.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 154.66666666666669, + 502, + 191.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 203, + 505, + 259 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "score": 1.0, + "content": "Figure 1: Typical Sets. Subfigure (a) shows the example of a Gaussian with its mean located at the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "high-dimensional all-gray image. Subfigure (b) shows how the typical set arises due to the nature", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "of high-dimensional integration. The figure is inspired by Betancourt (2017)’s similar illustration.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "Subfigure (c) shows our proposed method (Equation 3, higher \u000fˆ implies OOD) applied to a Gaussian", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 248, + 398, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 398, + 260 + ], + "score": 1.0, + "content": "simulation. The values have been re-scaled for purposes of visualization.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 106, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "even in the low-data regime, we employ a bootstrap procedure (Efron & Tibshirani, 1994) to set the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "OOD-decision threshold. In the experiments, we demonstrate that our detection procedure succeeds", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 302, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 315 + ], + "score": 1.0, + "content": "in many of the challenging cases presented by Nalisnick et al. (2019). In addition to these successes,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 313, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 325 + ], + "score": 1.0, + "content": "we also discuss failure modes that reveal drastic variability in OOD detection for the same data set", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 324, + 460, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 460, + 337 + ], + "score": 1.0, + "content": "pairs under different generative models. We highlight these cases to inspire future work.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10 + }, + { + "type": "title", + "bbox": [ + 108, + 351, + 283, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 351, + 284, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 284, + 366 + ], + "score": 1.0, + "content": "2 BACKGROUND: TYPICAL SETS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "The typical set of a probability distribution is the set whose elements have an information content", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 388, + 503, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 503, + 401 + ], + "score": 1.0, + "content": "sufficiently close to that of the expected information (Shannon, 1948). A formal definition follows.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 104, + 408, + 504, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 169, + 422 + ], + "score": 1.0, + "content": "Definition 2.1", + "type": "text" + }, + { + "bbox": [ + 169, + 409, + 195, + 421 + ], + "score": 0.89, + "content": "( \\epsilon , \\bf N )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 407, + 430, + 422 + ], + "score": 1.0, + "content": "-Typical Set (Cover & Thomas, 2012) For a distribution", + "type": "text" + }, + { + "bbox": [ + 431, + 409, + 451, + 421 + ], + "score": 0.91, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 407, + 505, + 422 + ], + "score": 1.0, + "content": "with support", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 417, + 501, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 134, + 431 + ], + "score": 0.87, + "content": "\\mathbf { x } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 417, + 153, + 435 + ], + "score": 1.0, + "content": ", the", + "type": "text" + }, + { + "bbox": [ + 154, + 421, + 179, + 432 + ], + "score": 0.92, + "content": "( \\epsilon , N )", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 417, + 225, + 435 + ], + "score": 1.0, + "content": "-typical set", + "type": "text" + }, + { + "bbox": [ + 226, + 419, + 294, + 432 + ], + "score": 0.92, + "content": "\\mathcal { A } _ { \\epsilon } ^ { N } [ p ( \\mathbf { x } ) ] \\in \\mathcal { X } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 417, + 372, + 435 + ], + "score": 1.0, + "content": "is comprised of all", + "type": "text" + }, + { + "bbox": [ + 372, + 421, + 382, + 430 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 417, + 501, + 435 + ], + "score": 1.0, + "content": "-length sequences that satisfy", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 437, + 416, + 461 + ], + "lines": [ + { + "bbox": [ + 194, + 437, + 416, + 461 + ], + "spans": [ + { + "bbox": [ + 194, + 437, + 416, + 461 + ], + "score": 0.91, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ) ] - \\epsilon \\leq \\frac { 1 } { N } - \\log p ( \\pmb { x } _ { 1 } , \\dots , \\pmb { x } _ { N } ) \\leq \\mathbb { H } [ p ( \\mathbf { x } ) ] + \\epsilon", + "type": "interline_equation", + "image_path": "dd0150d5e1d6c1ec9080b486e68a9cf8ce6279fbcd5d85da7416a9c9c2cff1db.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 194, + 437, + 416, + 461 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 466, + 399, + 480 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 400, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 133, + 481 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 466, + 270, + 480 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mathbb { H } [ p ( \\mathbf { x } ) ] = \\int _ { \\mathbb { X } } p ( \\mathbf { x } ) [ - \\log p ( \\mathbf { x } ) ] d \\mathbf { x } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 466, + 288, + 481 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 288, + 467, + 320, + 478 + ], + "score": 0.87, + "content": "\\epsilon \\in \\mathbb { R } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 466, + 400, + 481 + ], + "score": 1.0, + "content": "is a small constant.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 488, + 367, + 500 + ], + "lines": [ + { + "bbox": [ + 106, + 487, + 367, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 367, + 502 + ], + "score": 1.0, + "content": "When the joint density in Definition 2.1 factorizes, we can write:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 197, + 505, + 413, + 540 + ], + "lines": [ + { + "bbox": [ + 197, + 505, + 413, + 540 + ], + "spans": [ + { + "bbox": [ + 197, + 505, + 413, + 540 + ], + "score": 0.93, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ) ] - \\epsilon \\leq \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ) \\leq \\mathbb { H } [ p ( \\mathbf { x } ) ] + \\epsilon .", + "type": "interline_equation", + "image_path": "e78c83f009be57b1e68a354f6ce348b2d66e784c4c6a8b14992891ce1ec5673c.jpg" + } + ] + } + ], + "index": 21.5, + "virtual_lines": [ + { + "bbox": [ + 197, + 505, + 413, + 522.5 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 197, + 522.5, + 413, + 540.0 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 545, + 505, + 603 + ], + "lines": [ + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "score": 1.0, + "content": "This is the definition we will use from here forward as we assume both training data and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 505, + 568 + ], + "score": 1.0, + "content": "samples from our generative model are identically and independently distributed (i.i.d.). In", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 262, + 565, + 510, + 603 + ], + "spans": [ + { + "bbox": [ + 262, + 565, + 383, + 603 + ], + "score": 1.0, + "content": "tity can be interpreted as an . The asymptotic equipartiti", + "type": "text" + }, + { + "bbox": [ + 383, + 567, + 393, + 577 + ], + "score": 0.83, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 565, + 407, + 603 + ], + "score": 1.0, + "content": "-sa pr", + "type": "text" + }, + { + "bbox": [ + 443, + 565, + 510, + 603 + ], + "score": 1.0, + "content": "pirical entropy:EP) (Cover &", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 577, + 261, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 261, + 592 + ], + "score": 0.91, + "content": "1 / N \\textstyle \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ) \\ = \\ \\hat { \\mathbb H } ^ { N } [ p ( \\mathbf { x } ) ]", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 407, + 591, + 442, + 601 + ], + "spans": [ + { + "bbox": [ + 407, + 591, + 442, + 601 + ], + "score": 0.9, + "content": "N \\to \\infty", + "type": "inline_equation" + } + ], + "index": 27 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 606, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 194, + 621 + ], + "score": 1.0, + "content": "To build intuition, let", + "type": "text" + }, + { + "bbox": [ + 194, + 607, + 268, + 620 + ], + "score": 0.92, + "content": "p ( \\mathbf { x } ) = \\mathbf { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } )", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 606, + 335, + 621 + ], + "score": 1.0, + "content": "and consider its", + "type": "text" + }, + { + "bbox": [ + 336, + 608, + 357, + 619 + ], + "score": 0.88, + "content": "( \\epsilon , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 606, + 506, + 621 + ], + "score": 1.0, + "content": "-typical set. 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See Appendix A.1 for a complete derivation. The inequality will√", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 641, + 504, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 196, + 655 + ], + "score": 1.0, + "content": "hold for any choice of", + "type": "text" + }, + { + "bbox": [ + 197, + 644, + 203, + 652 + ], + "score": 0.73, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 641, + 212, + 655 + ], + "score": 1.0, + "content": "if", + "type": "text" + }, + { + "bbox": [ + 212, + 641, + 285, + 654 + ], + "score": 0.93, + "content": "| | \\mathbf { x } - \\mu | | _ { 2 } = \\sigma { \\sqrt { d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 641, + 445, + 655 + ], + "score": 1.0, + "content": ". In turn, we can geometrically interpret", + "type": "text" + }, + { + "bbox": [ + 446, + 641, + 504, + 654 + ], + "score": 0.92, + "content": "\\mathcal { A } _ { \\epsilon } ^ { 1 } [ \\mathrm { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } ) ]", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 653, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 212, + 667 + ], + "score": 1.0, + "content": "as an annulus centered at", + "type": "text" + }, + { + "bbox": [ + 212, + 657, + 219, + 667 + ], + "score": 0.82, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 654, + 270, + 667 + ], + "score": 1.0, + "content": "with radius", + "type": "text" + }, + { + "bbox": [ + 270, + 653, + 291, + 666 + ], + "score": 0.91, + "content": "\\sigma { \\sqrt { d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 654, + 429, + 667 + ], + "score": 1.0, + "content": "and whose width is a function of", + "type": "text" + }, + { + "bbox": [ + 430, + 657, + 435, + 665 + ], + "score": 0.68, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 654, + 457, + 667 + ], + "score": 1.0, + "content": "(and", + "type": "text" + }, + { + "bbox": [ + 458, + 657, + 465, + 665 + ], + "score": 0.72, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 654, + 505, + 667 + ], + "score": 1.0, + "content": "). This is", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 104, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "a well-known concentration of measure result often referred to as the Gaussian Annulus Theorem", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "(Vershynin, 2018). Figure 1(a) illustrates a Gaussian centered on the all gray image (pixel value", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "128). We show that samples from this model never resemble the all gray image, despite it having the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "highest probability density, because they are drawn from the annulus. In Figure 1(b) we visualize", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "the interplay between density and volume that gives rise to the typical set. The connection between", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 720, + 371, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 371, + 733 + ], + "score": 1.0, + "content": "typicality and concentration of measure can be stated formally as:", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 33 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 82, + 502, + 191 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 82, + 502, + 191 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 82, + 502, + 191 + ], + "spans": [ + { + "bbox": [ + 108, + 82, + 502, + 191 + ], + "score": 0.957, + "type": "image", + "image_path": "00f952eeb3d167f8274fde3c42e1a9f99126668b7eb46da53a3316557a33d4cd.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 82, + 502, + 118.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 118.33333333333334, + 502, + 154.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 154.66666666666669, + 502, + 191.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 203, + 505, + 259 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 216 + ], + "score": 1.0, + "content": "Figure 1: Typical Sets. Subfigure (a) shows the example of a Gaussian with its mean located at the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "high-dimensional all-gray image. Subfigure (b) shows how the typical set arises due to the nature", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "of high-dimensional integration. The figure is inspired by Betancourt (2017)’s similar illustration.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "Subfigure (c) shows our proposed method (Equation 3, higher \u000fˆ implies OOD) applied to a Gaussian", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 248, + 398, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 398, + 260 + ], + "score": 1.0, + "content": "simulation. The values have been re-scaled for purposes of visualization.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 106, + 279, + 505, + 336 + ], + "lines": [], + "index": 10, + "bbox_fs": [ + 105, + 280, + 506, + 337 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 351, + 283, + 365 + ], + "lines": [ + { + "bbox": [ + 105, + 351, + 284, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 284, + 366 + ], + "score": 1.0, + "content": "2 BACKGROUND: TYPICAL SETS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "The typical set of a probability distribution is the set whose elements have an information content", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 388, + 503, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 503, + 401 + ], + "score": 1.0, + "content": "sufficiently close to that of the expected information (Shannon, 1948). A formal definition follows.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 106, + 376, + 505, + 401 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 408, + 504, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 407, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 169, + 422 + ], + "score": 1.0, + "content": "Definition 2.1", + "type": "text" + }, + { + "bbox": [ + 169, + 409, + 195, + 421 + ], + "score": 0.89, + "content": "( \\epsilon , \\bf N )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 407, + 430, + 422 + ], + "score": 1.0, + "content": "-Typical Set (Cover & Thomas, 2012) For a distribution", + "type": "text" + }, + { + "bbox": [ + 431, + 409, + 451, + 421 + ], + "score": 0.91, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 407, + 505, + 422 + ], + "score": 1.0, + "content": "with support", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 417, + 501, + 435 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 134, + 431 + ], + "score": 0.87, + "content": "\\mathbf { x } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 417, + 153, + 435 + ], + "score": 1.0, + "content": ", the", + "type": "text" + }, + { + "bbox": [ + 154, + 421, + 179, + 432 + ], + "score": 0.92, + "content": "( \\epsilon , N )", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 417, + 225, + 435 + ], + "score": 1.0, + "content": "-typical set", + "type": "text" + }, + { + "bbox": [ + 226, + 419, + 294, + 432 + ], + "score": 0.92, + "content": "\\mathcal { A } _ { \\epsilon } ^ { N } [ p ( \\mathbf { x } ) ] \\in \\mathcal { X } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 417, + 372, + 435 + ], + "score": 1.0, + "content": "is comprised of all", + "type": "text" + }, + { + "bbox": [ + 372, + 421, + 382, + 430 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 417, + 501, + 435 + ], + "score": 1.0, + "content": "-length sequences that satisfy", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 407, + 505, + 435 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 437, + 416, + 461 + ], + "lines": [ + { + "bbox": [ + 194, + 437, + 416, + 461 + ], + "spans": [ + { + "bbox": [ + 194, + 437, + 416, + 461 + ], + "score": 0.91, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ) ] - 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"text" + }, + { + "bbox": [ + 313, + 258, + 321, + 268 + ], + "score": 0.62, + "content": "\\pmb \\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "denoting the parameters—that was trained on", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 147, + 281 + ], + "score": 1.0, + "content": "a data set", + "type": "text" + }, + { + "bbox": [ + 147, + 270, + 230, + 281 + ], + "score": 0.92, + "content": "\\pmb { X } = \\{ \\pmb { x } _ { 1 } , \\ldots , \\pmb { x } _ { N } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 269, + 257, + 281 + ], + "score": 1.0, + "content": ". Take", + "type": "text" + }, + { + "bbox": [ + 257, + 271, + 265, + 280 + ], + "score": 0.48, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 269, + 365, + 281 + ], + "score": 1.0, + "content": "to be high-dimensional (", + "type": "text" + }, + { + "bbox": [ + 365, + 270, + 402, + 280 + ], + "score": 0.86, + "content": "Q > 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 269, + 423, + 281 + ], + "score": 1.0, + "content": ") and", + "type": "text" + }, + { + "bbox": [ + 423, + 270, + 433, + 279 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "to be sufficiently", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 130, + 293 + ], + "score": 1.0, + "content": "large", + "type": "text" + }, + { + "bbox": [ + 131, + 281, + 187, + 291 + ], + "score": 0.6, + "content": "( N > 2 5 , 0 0 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "so as to enable training a high-capacity neural-network parametrized model—a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 406, + 303 + ], + "score": 1.0, + "content": "so-called ‘deep generative model’ (DGM). Furthermore, we assume that", + "type": "text" + }, + { + "bbox": [ + 406, + 291, + 435, + 303 + ], + "score": 0.93, + "content": "p ( \\mathbf { x } ; \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "has a likelihood", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "that can be evaluated either directly or closely approximated via Monte Carlo sampling. Examples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "of DGMs that meet these specifications include normalizing flows (Tabak & Turner, 2013) such as", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "Glow (Kingma & Dhariwal, 2018), latent variable models such as variational autoencoders (VAEs)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 145, + 347 + ], + "score": 1.0, + "content": "(Kingma", + "type": "text" + }, + { + "bbox": [ + 146, + 335, + 155, + 345 + ], + "score": 0.36, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "Welling, 2014; Rezende et al., 2014), and auto-regressive models such as PixelCNN", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "(van den Oord et al., 2016). We do not consider implicit generative models (Mohamed & Lakshmi-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "narayanan, 2016) (such as GANs (Goodfellow et al., 2014)) due to their likelihood being difficult to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 369, + 182, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 182, + 380 + ], + "score": 1.0, + "content": "even approximate.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 384, + 505, + 519 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "The primary focus of this paper is in performing a goodness-of-fit (GoF) test (D’Agostino, 1986;", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 229, + 408 + ], + "score": 1.0, + "content": "Huber-Carol et al., 2012) for", + "type": "text" + }, + { + "bbox": [ + 229, + 396, + 259, + 408 + ], + "score": 0.94, + "content": "p ( \\mathbf { x } ; \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 394, + 359, + 408 + ], + "score": 1.0, + "content": ". Specifically, given an", + "type": "text" + }, + { + "bbox": [ + 359, + 396, + 371, + 406 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "-sized batch of test observations", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 407, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 107, + 407, + 191, + 421 + ], + "score": 0.89, + "content": "\\widetilde { \\pmb { X } } = \\{ \\tilde { \\pmb { x } } _ { 1 } , \\ldots , \\tilde { \\pmb { x } } _ { M } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 407, + 196, + 423 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 196, + 409, + 229, + 421 + ], + "score": 0.76, + "content": "M \\geq 1 \\mathrm { ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 407, + 340, + 423 + ], + "score": 1.0, + "content": "), we desire to determine if", + "type": "text" + }, + { + "bbox": [ + 340, + 407, + 352, + 419 + ], + "score": 0.87, + "content": "\\widetilde { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 407, + 459, + 423 + ], + "score": 1.0, + "content": "was sampled (i.i.d.) from", + "type": "text" + }, + { + "bbox": [ + 459, + 411, + 470, + 421 + ], + "score": 0.77, + "content": "p _ { \\pmb { \\theta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 407, + 505, + 423 + ], + "score": 1.0, + "content": "or from", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 420, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 202, + 432 + ], + "score": 1.0, + "content": "some other distribution", + "type": "text" + }, + { + "bbox": [ + 203, + 421, + 233, + 432 + ], + "score": 0.89, + "content": "q \\neq p _ { \\pm }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 420, + 357, + 432 + ], + "score": 1.0, + "content": ". We assume no knowledge of", + "type": "text" + }, + { + "bbox": [ + 358, + 422, + 363, + 432 + ], + "score": 0.74, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 420, + 506, + 432 + ], + "score": 1.0, + "content": ", thus making our desired GoF test", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 430, + 504, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 504, + 443 + ], + "score": 1.0, + "content": "omnibus (Eubank & LaRiccia, 1992). The vast majority of GoF tests operate via the model’s cumu-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 442, + 504, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 504, + 453 + ], + "score": 1.0, + "content": "lative distribution function (CDF) and/or being able to compute an empirical distribution function", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "(EDF) (Cramer´ , 1928; Massey Jr, 1951; Anderson & Darling, 1954; Stephens, 1974). However, the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "CDFs of DGMs are not available analytically, and numerical approximations are hopelessly slow", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 475, + 504, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 504, + 486 + ], + "score": 1.0, + "content": "due to the curse of dimensionality. Likewise, EDFs lose statistical strength exponentially as dimen-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "sionality grows (Wasserman, 2006). Our goal is to formulate a scalable test that does not rely on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 104, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "strong parametric assumptions (e.g. Chen & Xia (2019)) and has better computational properties", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 507, + 321, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 321, + 520 + ], + "score": 1.0, + "content": "than kernel-based alternatives (e.g. Liu et al. (2016)).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 296, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 532, + 298, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 298, + 545 + ], + "score": 1.0, + "content": "3.2 A HYPOTHESIS TEST FOR TYPICALITY", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 552, + 505, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "Returning to the results of Nalisnick et al. (2019) and Choi et al. (2019), the high-dimensionality", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 183, + 577 + ], + "score": 1.0, + "content": "of natural images", + "type": "text" + }, + { + "bbox": [ + 184, + 564, + 227, + 574 + ], + "score": 0.87, + "content": "d = 3 0 7 2", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "for CIFAR and SVHN) alone is enough to suspect the influence of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "phenomena akin to the Gaussian Annulus Theorem. Yet there are stronger parallels still: Nalisnick", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 586, + 504, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 504, + 598 + ], + "score": 1.0, + "content": "et al. (2019) showed that the all-black image has the highest density of any tested input to their", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 595, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 610 + ], + "score": 1.0, + "content": "FashionMNIST DGM, but this model is never observed to generate all-black images. Thus we are", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 608, + 400, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 400, + 621 + ], + "score": 1.0, + "content": "inspired to critique DGMs not via density but via typical set membership:", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 108, + 645, + 504, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 643, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 195, + 659 + ], + "score": 1.0, + "content": "The intuition is that if", + "type": "text" + }, + { + "bbox": [ + 196, + 643, + 207, + 655 + ], + "score": 0.87, + "content": "\\widetilde { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 643, + 303, + 659 + ], + "score": 1.0, + "content": "is indeed sampled from", + "type": "text" + }, + { + "bbox": [ + 303, + 648, + 315, + 657 + ], + "score": 0.8, + "content": "p _ { \\pmb { \\theta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 643, + 506, + 659 + ], + "score": 1.0, + "content": ", then with high probability it must reside in the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 656, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 279, + 672 + ], + "score": 1.0, + "content": "typical set (Theorem 2.1). To determine if", + "type": "text" + }, + { + "bbox": [ + 279, + 657, + 354, + 671 + ], + "score": 0.93, + "content": "\\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 657, + 410, + 672 + ], + "score": 1.0, + "content": ", we can plug", + "type": "text" + }, + { + "bbox": [ + 410, + 656, + 421, + 668 + ], + "score": 0.86, + "content": "\\overrightharpoon { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 657, + 506, + 672 + ], + "score": 1.0, + "content": "into Equation 1 as a", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 677, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 675, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 118, + 675, + 147, + 690 + ], + "score": 1.0, + "content": "2While", + "type": "text" + }, + { + "bbox": [ + 148, + 677, + 163, + 689 + ], + "score": 0.86, + "content": "\\mathcal { A } _ { \\epsilon } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 675, + 506, + 690 + ], + "score": 1.0, + "content": "is not the smallest high-probability set (Polonik, 1997) and therefore not the most efficient", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 687, + 350, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 283, + 699 + ], + "score": 1.0, + "content": "compression, its size is of the same order (Cover", + "type": "text" + }, + { + "bbox": [ + 283, + 689, + 291, + 697 + ], + "score": 0.45, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 687, + 350, + 699 + ], + "score": 1.0, + "content": "Thomas, 2012).", + "type": "text" + } + ] + }, + { + "bbox": [ + 118, + 696, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 118, + 696, + 310, + 711 + ], + "score": 1.0, + "content": "3The reader may have noticed Theorem 2.1 requires", + "type": "text" + }, + { + "bbox": [ + 310, + 699, + 321, + 708 + ], + "score": 0.55, + "content": "\\mathbf { \\sigma } ^ { \\ast } \\mathbf { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 696, + 505, + 711 + ], + "score": 1.0, + "content": "sufficiently large’ but in the Gaussian example we", + "type": "text" + } + ] + }, + { + "bbox": [ + 104, + 707, + 506, + 725 + ], + "spans": [ + { + "bbox": [ + 104, + 707, + 140, + 725 + ], + "score": 1.0, + "content": "assumed", + "type": "text" + }, + { + "bbox": [ + 140, + 710, + 168, + 720 + ], + "score": 0.89, + "content": "N = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 707, + 336, + 725 + ], + "score": 1.0, + "content": ". For high-dimensional factorized likelihoods,", + "type": "text" + }, + { + "bbox": [ + 336, + 709, + 440, + 723 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\log p ( \\mathbf { x } ) = \\sum _ { j = 1 } ^ { d } \\log p ( x _ { j } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 707, + 506, + 725 + ], + "score": 1.0, + "content": ", and thus we can", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 396, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 396, + 733 + ], + "score": 1.0, + "content": "interpret Definition 2.1 as acting dimension-wise instead of across observations.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 26, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + 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Returning to the Gaussian example, we could ‘compress’", + "type": "text" + }, + { + "bbox": [ + 491, + 137, + 504, + 147 + ], + "score": 0.86, + "content": "\\mathbb { R } ^ { d }", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 149, + 308, + 162 + ], + "spans": [ + { + "bbox": [ + 104, + 149, + 131, + 162 + ], + "score": 1.0, + "content": "under", + "type": "text" + }, + { + "bbox": [ + 132, + 149, + 172, + 162 + ], + "score": 0.93, + "content": "\\mathbf { N } ( \\mathbf { 0 } , \\sigma ^ { 2 } \\mathbb { I } )", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 149, + 215, + 162 + ], + "score": 1.0, + "content": "to just the", + "type": "text" + }, + { + "bbox": [ + 216, + 149, + 236, + 161 + ], + "score": 0.91, + "content": "\\sigma { \\sqrt { d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 149, + 308, + 162 + ], + "score": 1.0, + "content": "-radius annulus.3", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, 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Take", + "type": "text" + }, + { + "bbox": [ + 257, + 271, + 265, + 280 + ], + "score": 0.48, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 269, + 365, + 281 + ], + "score": 1.0, + "content": "to be high-dimensional (", + "type": "text" + }, + { + "bbox": [ + 365, + 270, + 402, + 280 + ], + "score": 0.86, + "content": "Q > 5 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 269, + 423, + 281 + ], + "score": 1.0, + "content": ") and", + "type": "text" + }, + { + "bbox": [ + 423, + 270, + 433, + 279 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "to be sufficiently", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 130, + 293 + ], + "score": 1.0, + "content": "large", + "type": "text" + }, + { + "bbox": [ + 131, + 281, + 187, + 291 + ], + "score": 0.6, + "content": "( N > 2 5 , 0 0 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "so as to enable training a high-capacity neural-network parametrized model—a", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 406, + 303 + ], + "score": 1.0, + "content": "so-called ‘deep generative model’ (DGM). Furthermore, we assume that", + "type": "text" + }, + { + "bbox": [ + 406, + 291, + 435, + 303 + ], + "score": 0.93, + "content": "p ( \\mathbf { x } ; \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "has a likelihood", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 505, + 314 + ], + "score": 1.0, + "content": "that can be evaluated either directly or closely approximated via Monte Carlo sampling. Examples", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "of DGMs that meet these specifications include normalizing flows (Tabak & Turner, 2013) such as", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "Glow (Kingma & Dhariwal, 2018), latent variable models such as variational autoencoders (VAEs)", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 334, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 145, + 347 + ], + "score": 1.0, + "content": "(Kingma", + "type": "text" + }, + { + "bbox": [ + 146, + 335, + 155, + 345 + ], + "score": 0.36, + "content": "\\&", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 334, + 506, + 347 + ], + "score": 1.0, + "content": "Welling, 2014; Rezende et al., 2014), and auto-regressive models such as PixelCNN", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 358 + ], + "score": 1.0, + "content": "(van den Oord et al., 2016). We do not consider implicit generative models (Mohamed & Lakshmi-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "narayanan, 2016) (such as GANs (Goodfellow et al., 2014)) due to their likelihood being difficult to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 369, + 182, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 182, + 380 + ], + "score": 1.0, + "content": "even approximate.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 258, + 506, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 384, + 505, + 519 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 505, + 397 + ], + "score": 1.0, + "content": "The primary focus of this paper is in performing a goodness-of-fit (GoF) test (D’Agostino, 1986;", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 229, + 408 + ], + "score": 1.0, + "content": "Huber-Carol et al., 2012) for", + "type": "text" + }, + { + "bbox": [ + 229, + 396, + 259, + 408 + ], + "score": 0.94, + "content": "p ( \\mathbf { x } ; \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 394, + 359, + 408 + ], + "score": 1.0, + "content": ". Specifically, given an", + "type": "text" + }, + { + "bbox": [ + 359, + 396, + 371, + 406 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "-sized batch of test observations", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 407, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 107, + 407, + 191, + 421 + ], + "score": 0.89, + "content": "\\widetilde { \\pmb { X } } = \\{ \\tilde { \\pmb { x } } _ { 1 } , \\ldots , \\tilde { \\pmb { x } } _ { M } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 407, + 196, + 423 + ], + "score": 0.0, + "content": "", + "type": "text" + }, + { + "bbox": [ + 196, + 409, + 229, + 421 + ], + "score": 0.76, + "content": "M \\geq 1 \\mathrm { ~ }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 407, + 340, + 423 + ], + "score": 1.0, + "content": "), we desire to determine if", + "type": "text" + }, + { + "bbox": [ + 340, + 407, + 352, + 419 + ], + "score": 0.87, + "content": "\\widetilde { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 407, + 459, + 423 + ], + "score": 1.0, + "content": "was sampled (i.i.d.) from", + "type": "text" + }, + { + "bbox": [ + 459, + 411, + 470, + 421 + ], + "score": 0.77, + "content": "p _ { \\pmb { \\theta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 407, + 505, + 423 + ], + "score": 1.0, + "content": "or from", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 420, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 202, + 432 + ], + "score": 1.0, + "content": "some other distribution", + "type": "text" + }, + { + "bbox": [ + 203, + 421, + 233, + 432 + ], + "score": 0.89, + "content": "q \\neq p _ { \\pm }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 420, + 357, + 432 + ], + "score": 1.0, + "content": ". We assume no knowledge of", + "type": "text" + }, + { + "bbox": [ + 358, + 422, + 363, + 432 + ], + "score": 0.74, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 420, + 506, + 432 + ], + "score": 1.0, + "content": ", thus making our desired GoF test", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 430, + 504, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 504, + 443 + ], + "score": 1.0, + "content": "omnibus (Eubank & LaRiccia, 1992). The vast majority of GoF tests operate via the model’s cumu-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 442, + 504, + 453 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 504, + 453 + ], + "score": 1.0, + "content": "lative distribution function (CDF) and/or being able to compute an empirical distribution function", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "(EDF) (Cramer´ , 1928; Massey Jr, 1951; Anderson & Darling, 1954; Stephens, 1974). However, the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "CDFs of DGMs are not available analytically, and numerical approximations are hopelessly slow", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 475, + 504, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 504, + 486 + ], + "score": 1.0, + "content": "due to the curse of dimensionality. Likewise, EDFs lose statistical strength exponentially as dimen-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "sionality grows (Wasserman, 2006). Our goal is to formulate a scalable test that does not rely on", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 104, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "strong parametric assumptions (e.g. Chen & Xia (2019)) and has better computational properties", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 507, + 321, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 321, + 520 + ], + "score": 1.0, + "content": "than kernel-based alternatives (e.g. Liu et al. (2016)).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 26.5, + "bbox_fs": [ + 104, + 385, + 506, + 520 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 532, + 296, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 532, + 298, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 298, + 545 + ], + "score": 1.0, + "content": "3.2 A HYPOTHESIS TEST FOR TYPICALITY", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 552, + 505, + 619 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 565 + ], + "score": 1.0, + "content": "Returning to the results of Nalisnick et al. (2019) and Choi et al. (2019), the high-dimensionality", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 563, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 183, + 577 + ], + "score": 1.0, + "content": "of natural images", + "type": "text" + }, + { + "bbox": [ + 184, + 564, + 227, + 574 + ], + "score": 0.87, + "content": "d = 3 0 7 2", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 563, + 506, + 577 + ], + "score": 1.0, + "content": "for CIFAR and SVHN) alone is enough to suspect the influence of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "phenomena akin to the Gaussian Annulus Theorem. Yet there are stronger parallels still: Nalisnick", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 586, + 504, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 504, + 598 + ], + "score": 1.0, + "content": "et al. (2019) showed that the all-black image has the highest density of any tested input to their", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 595, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 505, + 610 + ], + "score": 1.0, + "content": "FashionMNIST DGM, but this model is never observed to generate all-black images. Thus we are", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 608, + 400, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 400, + 621 + ], + "score": 1.0, + "content": "inspired to critique DGMs not via density but via typical set membership:", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 552, + 506, + 621 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 645, + 504, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 643, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 195, + 659 + ], + "score": 1.0, + "content": "The intuition is that if", + "type": "text" + }, + { + "bbox": [ + 196, + 643, + 207, + 655 + ], + "score": 0.87, + "content": "\\widetilde { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 643, + 303, + 659 + ], + "score": 1.0, + "content": "is indeed sampled from", + "type": "text" + }, + { + "bbox": [ + 303, + 648, + 315, + 657 + ], + "score": 0.8, + "content": "p _ { \\pmb { \\theta } }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 643, + 506, + 659 + ], + "score": 1.0, + "content": ", then with high probability it must reside in the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 656, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 279, + 672 + ], + "score": 1.0, + "content": "typical set (Theorem 2.1). 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This limitation is reasonable and expected given our funda-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 202, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 505, + 214 + ], + "score": 1.0, + "content": "mental assumption in Equation 2. 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Yet it is not uncommon to sacrifice consistency", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 256, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 505, + 270 + ], + "score": 1.0, + "content": "for generality when testing GoF (e.g. Chi-square vs Kolmogorov-Smirnov tests (Haberman, 1988)).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 108, + 282, + 248, + 293 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 250, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 250, + 295 + ], + "score": 1.0, + "content": "3.3 IMPLEMENTATION DETAILS", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 303, + 505, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 373, + 315 + ], + "score": 1.0, + "content": "In an ideal setting, we could mathematically derive the regions in", + "type": "text" + }, + { + "bbox": [ + 373, + 304, + 383, + 313 + ], + "score": 0.8, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "that correspond to the typical", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 294, + 327 + ], + "score": 1.0, + "content": "set (e.g. the Gaussian’s annulus) and check if", + "type": "text" + }, + { + "bbox": [ + 294, + 315, + 302, + 324 + ], + "score": 0.8, + "content": "\\tilde { \\pmb x }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "resides within that region. Unfortunately, finding", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "score": 1.0, + "content": "these regions is analytically intractable for neural-network-based generative models. A practical", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 336, + 481, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 355, + 348 + ], + "score": 1.0, + "content": "implementation of Equation 3 requires computing the entropy", + "type": "text" + }, + { + "bbox": [ + 356, + 336, + 399, + 348 + ], + "score": 0.93, + "content": "\\mathbb { H } [ p ( \\bar { \\mathbf { x } } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 336, + 471, + 348 + ], + "score": 1.0, + "content": "and the threshold", + "type": "text" + }, + { + "bbox": [ + 471, + 338, + 477, + 346 + ], + "score": 0.63, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 336, + 481, + 348 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 360, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "Entropy Estimator The entropy of DGMs is not available in closed-form and therefore we resort", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 504, + 383 + ], + "score": 1.0, + "content": "to the following sampling-based approximation. Recall from Subsection 2 that the AEP states that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 382, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 504, + 394 + ], + "score": 1.0, + "content": "the sample entropy will converge to the true entropy as the number of samples grows. Since we have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "access to the model and can drawn a large number of samples from it, the empirical entropy should", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 404, + 318, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 318, + 418 + ], + "score": 1.0, + "content": "be a good approximation for the true model entropy:", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 421, + 439, + 456 + ], + "lines": [ + { + "bbox": [ + 172, + 421, + 439, + 456 + ], + "spans": [ + { + "bbox": [ + 172, + 421, + 439, + 456 + ], + "score": 0.95, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\int _ { \\pmb { \\chi } } p ( \\mathbf { x } ; \\pmb { \\theta } ) [ - \\log p ( \\mathbf { x } ; \\pmb { \\theta } ) ] d \\mathbf { x } \\approx \\frac { 1 } { S } \\sum _ { s = 1 } ^ { S } - \\log p ( \\hat { \\pmb { x } } _ { s } ; \\pmb { \\theta } )", + "type": "interline_equation", + "image_path": "14c1f0841b368232bb25d1fec6a2524ec411461658127c0bfa0cb52084378341.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 172, + 421, + 439, + 432.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 172, + 432.6666666666667, + 439, + 444.33333333333337 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 172, + 444.33333333333337, + 439, + 456.00000000000006 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 133, + 474 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 462, + 187, + 474 + ], + "score": 0.93, + "content": "\\hat { \\pmb { x } } _ { s } \\sim p ( { \\bf x } ; { \\pmb \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 462, + 505, + 474 + ], + "score": 1.0, + "content": ". However, in preliminary experiments (reported in Appendix E.1) we observed", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "markedly better OOD detection when using an alternative estimator known as the resubstitution", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "estimator (Beirlant et al., 1997). This estimator uses the training set for calculating the expectation:", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 501, + 417, + 535 + ], + "lines": [ + { + "bbox": [ + 193, + 501, + 417, + 535 + ], + "spans": [ + { + "bbox": [ + 193, + 501, + 417, + 535 + ], + "score": 0.94, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\approx \\mathbb { H } _ { \\mathrm { R E S U B } } ^ { N } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ; \\pmb { \\theta } ) .", + "type": "interline_equation", + "image_path": "da6f43d8b04e383a1472abc1a28e9ac525648241fc241baf0834b0226e005e2c.jpg" + } + ] + } + ], + "index": 31.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 501, + 417, + 518.0 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 193, + 518.0, + 417, + 535.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 542, + 411, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 410, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 350, + 555 + ], + "score": 1.0, + "content": "This approximation should be good as well since we assume", + "type": "text" + }, + { + "bbox": [ + 350, + 543, + 360, + 552 + ], + "score": 0.84, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 541, + 410, + 555 + ], + "score": 1.0, + "content": "to be large.4", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 565, + 506, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 419, + 579 + ], + "score": 1.0, + "content": "Setting the OOD-Threshold with the Bootstrap Concerning the threshold", + "type": "text" + }, + { + "bbox": [ + 419, + 569, + 424, + 577 + ], + "score": 0.66, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 565, + 505, + 579 + ], + "score": 1.0, + "content": ", we propose setting", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "its value through simulation—by constructing a bootstrap confidence interval (BCI) (Efron, 1992;", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 589, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 297, + 605 + ], + "score": 1.0, + "content": "Arcones & Gine, 1992) for the null hypothesis", + "type": "text" + }, + { + "bbox": [ + 298, + 589, + 396, + 603 + ], + "score": 0.92, + "content": "H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 589, + 506, + 605 + ], + "score": 1.0, + "content": ", with the alternative being", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 601, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 107, + 601, + 203, + 616 + ], + "score": 0.9, + "content": "H _ { 1 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 603, + 506, + 617 + ], + "score": 1.0, + "content": ". 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\\theta ) - \\hat { { \\mathbb H } } _ { \\mathtt { R E S U B } } ^ { N } [ p ( { \\bf x } ; \\theta ) ] \\right| = \\hat { \\epsilon } _ { k }", + "type": "interline_equation", + "image_path": "6d34586c03881078b5631e5535dfc0f995ab38876d12e3f6bc77709750415ef9.jpg" + } + ] + } + ], + "index": 42.5, + "virtual_lines": [ + { + "bbox": [ + 201, + 668, + 409, + 685.5 + ], + "spans": [], + "index": 42 + }, + { + "bbox": [ + 201, + 685.5, + 409, + 703.0 + ], + "spans": [], + "index": 43 + } + ] + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 711, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 118, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 118, + 708, + 506, + 724 + ], + "score": 1.0, + "content": "4The bias and variance of the resubstitution estimator are hard to characterize for DGMs. The work of Joe", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 441, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 441, + 732 + ], + "score": 1.0, + "content": "(1989) is most related, describing its properties under multivariate kernel density estimators.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "4", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 312, + 94 + ], + "lines": [], + "index": 0, + "bbox_fs": [ + 105, + 81, + 314, + 95 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 144, + 100, + 465, + 135 + ], + "lines": [ + { + "bbox": [ + 144, + 100, + 465, + 135 + ], + "spans": [ + { + "bbox": [ + 144, + 100, + 465, + 135 + ], + "score": 0.92, + "content": "\\mathrm { i } \\mathrm { \\cdot ~ } \\left| \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\widetilde { x } _ { m } ; 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Yet it is not uncommon to sacrifice consistency", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 256, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 505, + 270 + ], + "score": 1.0, + "content": "for generality when testing GoF (e.g. Chi-square vs Kolmogorov-Smirnov tests (Haberman, 1988)).", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 178, + 506, + 270 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 282, + 248, + 293 + ], + "lines": [ + { + "bbox": [ + 105, + 281, + 250, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 250, + 295 + ], + "score": 1.0, + "content": "3.3 IMPLEMENTATION DETAILS", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 303, + 505, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 303, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 373, + 315 + ], + "score": 1.0, + "content": "In an ideal setting, we could mathematically derive the regions in", + "type": "text" + }, + { + "bbox": [ + 373, + 304, + 383, + 313 + ], + "score": 0.8, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 303, + 505, + 315 + ], + "score": 1.0, + "content": "that correspond to the typical", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 294, + 327 + ], + "score": 1.0, + "content": "set (e.g. the Gaussian’s annulus) and check if", + "type": "text" + }, + { + "bbox": [ + 294, + 315, + 302, + 324 + ], + "score": 0.8, + "content": "\\tilde { \\pmb x }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "resides within that region. Unfortunately, finding", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "score": 1.0, + "content": "these regions is analytically intractable for neural-network-based generative models. 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Recall from Subsection 2 that the AEP states that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 382, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 504, + 394 + ], + "score": 1.0, + "content": "the sample entropy will converge to the true entropy as the number of samples grows. Since we have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "access to the model and can drawn a large number of samples from it, the empirical entropy should", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 404, + 318, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 318, + 418 + ], + "score": 1.0, + "content": "be a good approximation for the true model entropy:", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 360, + 505, + 418 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 421, + 439, + 456 + ], + "lines": [ + { + "bbox": [ + 172, + 421, + 439, + 456 + ], + "spans": [ + { + "bbox": [ + 172, + 421, + 439, + 456 + ], + "score": 0.95, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\int _ { \\pmb { \\chi } } p ( \\mathbf { x } ; \\pmb { \\theta } ) [ - \\log p ( \\mathbf { x } ; \\pmb { \\theta } ) ] d \\mathbf { x } \\approx \\frac { 1 } { S } \\sum _ { s = 1 } ^ { S } - \\log p ( \\hat { \\pmb { x } } _ { s } ; \\pmb { \\theta } )", + "type": "interline_equation", + "image_path": "14c1f0841b368232bb25d1fec6a2524ec411461658127c0bfa0cb52084378341.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 172, + 421, + 439, + 432.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 172, + 432.6666666666667, + 439, + 444.33333333333337 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 172, + 444.33333333333337, + 439, + 456.00000000000006 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 496 + ], + "lines": [ + { + "bbox": [ + 106, + 462, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 133, + 474 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 462, + 187, + 474 + ], + "score": 0.93, + "content": "\\hat { \\pmb { x } } _ { s } \\sim p ( { \\bf x } ; { \\pmb \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 462, + 505, + 474 + ], + "score": 1.0, + "content": ". However, in preliminary experiments (reported in Appendix E.1) we observed", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "markedly better OOD detection when using an alternative estimator known as the resubstitution", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "estimator (Beirlant et al., 1997). This estimator uses the training set for calculating the expectation:", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 462, + 505, + 496 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 501, + 417, + 535 + ], + "lines": [ + { + "bbox": [ + 193, + 501, + 417, + 535 + ], + "spans": [ + { + "bbox": [ + 193, + 501, + 417, + 535 + ], + "score": 0.94, + "content": "\\mathbb { H } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] \\approx \\mathbb { H } _ { \\mathrm { R E S U B } } ^ { N } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ] = \\frac { 1 } { N } \\sum _ { n = 1 } ^ { N } - \\log p ( \\pmb { x } _ { n } ; \\pmb { \\theta } ) .", + "type": "interline_equation", + "image_path": "da6f43d8b04e383a1472abc1a28e9ac525648241fc241baf0834b0226e005e2c.jpg" + } + ] + } + ], + "index": 31.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 501, + 417, + 518.0 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 193, + 518.0, + 417, + 535.0 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 542, + 411, + 554 + ], + "lines": [ + { + "bbox": [ + 106, + 541, + 410, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 350, + 555 + ], + "score": 1.0, + "content": "This approximation should be good as well since we assume", + "type": "text" + }, + { + "bbox": [ + 350, + 543, + 360, + 552 + ], + "score": 0.84, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 541, + 410, + 555 + ], + "score": 1.0, + "content": "to be large.4", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 106, + 541, + 410, + 555 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 565, + 506, + 663 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 419, + 579 + ], + "score": 1.0, + "content": "Setting the OOD-Threshold with the Bootstrap Concerning the threshold", + "type": "text" + }, + { + "bbox": [ + 419, + 569, + 424, + 577 + ], + "score": 0.66, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 565, + 505, + 579 + ], + "score": 1.0, + "content": ", we propose setting", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "its value through simulation—by constructing a bootstrap confidence interval (BCI) (Efron, 1992;", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 589, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 297, + 605 + ], + "score": 1.0, + "content": "Arcones & Gine, 1992) for the null hypothesis", + "type": "text" + }, + { + "bbox": [ + 298, + 589, + 396, + 603 + ], + "score": 0.92, + "content": "H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 589, + 506, + 605 + ], + "score": 1.0, + "content": ", with the alternative being", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 601, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 107, + 601, + 203, + 616 + ], + "score": 0.9, + "content": "H _ { 1 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M } [ p ( \\mathbf { x } ; \\pmb { \\theta } ) ]", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 603, + 506, + 617 + ], + "score": 1.0, + "content": ". 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If we reject the null, then we decide that the sample does not reside in the typical set and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 141 + ], + "score": 1.0, + "content": "therefore is OOD. The complete procedure is summarized in Algorithm 1 in Appendix B. Observe", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "score": 1.0, + "content": "that nearly all of the computation can be performed offline before any test set is received, including", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 507, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 306, + 164 + ], + "score": 1.0, + "content": "all bootstrap simulations. The rejection threshold", + "type": "text" + }, + { + "bbox": [ + 307, + 150, + 321, + 162 + ], + "score": 0.9, + "content": "\\epsilon _ { \\alpha } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 149, + 418, + 164 + ], + "score": 1.0, + "content": "depends on a particular", + "type": "text" + }, + { + "bbox": [ + 419, + 151, + 430, + 160 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 149, + 448, + 164 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 449, + 152, + 457, + 160 + ], + "score": 0.76, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 149, + 507, + 164 + ], + "score": 1.0, + "content": "setting, but", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 174 + ], + "score": 1.0, + "content": "these computations can be done in parallel across multiple machines. The most expensive test-time", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 194, + 185 + ], + "score": 1.0, + "content": "operation is obtaining", + "type": "text" + }, + { + "bbox": [ + 195, + 172, + 240, + 184 + ], + "score": 0.95, + "content": "\\log p ( \\tilde { \\pmb { x } } , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 172, + 347, + 185 + ], + "score": 1.0, + "content": ". After this is done, only an", + "type": "text" + }, + { + "bbox": [ + 348, + 172, + 375, + 184 + ], + "score": 0.94, + "content": "\\mathcal { O } ( M )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 172, + 506, + 185 + ], + "score": 1.0, + "content": "operation to sum the likelihoods", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 154, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 154, + 196 + ], + "score": 1.0, + "content": "is required.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 108, + 210, + 211, + 223 + ], + "lines": [ + { + "bbox": [ + 105, + 209, + 213, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 213, + 224 + ], + "score": 1.0, + "content": "4 RELATED WORK", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 234, + 505, + 377 + ], + "lines": [ + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "score": 1.0, + "content": "Goodness-of-Fit Tests As mentioned in Section 3.1, many of the traditional GoF tests are not", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "applicable to the DGMs and high-dimensional data sets that we consider since CDFs and EDFs are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 257, + 504, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 504, + 268 + ], + "score": 1.0, + "content": "both intractable in this setting. Kernelized Stein discrepancy (Chwialkowski et al., 2016; Liu et al.,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "2016) is a recently-proposed GoF test that can scale to the DGM regime, and we compare against", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "it in the experiments. Several works have proposed GoF tests based on entropy (Gokhale, 1983;", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "score": 1.0, + "content": "Parzen, 1990)—e.g. for normal (Vasicek, 1976), uniform (Dudewicz & Van Der Meulen, 1981), and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 300, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 312 + ], + "score": 1.0, + "content": "exponential (Crzcgorzewski & Wirczorkowski, 1999) distributions. However, these tests are derived", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "from maximum entropy results and not motivated from typicality. There are also directed GoF tests", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "such as ones based on likelihood ratios (Neyman & Pearson, 1933; Wilks, 1938) or discrepancies", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "such as KL divergence (Noughabi & Arghami, 2013). These tests require an explicit definition of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 343, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 107, + 346, + 113, + 356 + ], + "score": 0.59, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 343, + 506, + 357 + ], + "score": 1.0, + "content": ", which may be difficult in many DGM-appropriate scenarios. Yet the recent work of Ren et al.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 366, + 368 + ], + "score": 1.0, + "content": "(2019) does apply likelihood ratios to PixelCNNs by constructing", + "type": "text" + }, + { + "bbox": [ + 366, + 357, + 373, + 367 + ], + "score": 0.69, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "such that it models a background", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 336, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 336, + 378 + ], + "score": 1.0, + "content": "process (i.e. some perturbed version of the original data).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 389, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "Typical and Minimum Volume Sets We are aware of only two previous works that use a notion of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "typicality for GoF tests or OOD detection. Sabeti & Hst-Madsen (2019) propose a typicality frame-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "work based on minimum description length. They deem data as ‘atypical’ if it can be represented in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 422, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 506, + 435 + ], + "score": 1.0, + "content": "less bits than one would expect under the generative model. While our frameworks share the same", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "conceptual foundation, Sabeti & Hst-Madsen (2019)’s implementation relies on strong parametric", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 444, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 456 + ], + "score": 1.0, + "content": "assumptions and cannot be generalized to deep models (without drastic approximations). Choi et al.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "(2019), the second work, leverages normalizing flows to test for typicality by transforming the data", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 465, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 479 + ], + "score": 1.0, + "content": "to a normal distribution and then deeming points outside the annulus to be anomalous. This ap-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "proach restricts the generative model to be a Gaussian normalizing flow whereas ours is applicable", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "to any generative model with a computable likelihood. Our work is also related to the concept of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "minimum volume (MV) sets (Sager, 1979; Polonik, 1997; Garcia et al., 2003). MV sets have been", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 509, + 504, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 504, + 522 + ], + "score": 1.0, + "content": "used for GoF testing (Polonik, 1999; Glazer et al., 2012) and to detect outliers (Platt et al., 2001;", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "Scott & Nowak, 2006; Clemenc¸on et al. ´ , 2018). However, we are not aware of any work that scales", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 532, + 423, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 423, + 544 + ], + "score": 1.0, + "content": "MV-set-based methodologies to the degree required to be applicable to DGMs.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 555, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "Generative Models and Outlier Detection Probabilistic but non-test-based techniques have also", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "score": 1.0, + "content": "been widely employed to discover outliers and anomalies (Pimentel et al., 2014). One of the most", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "common is to use a (one-sided) threshold on the density function to classify points as OOD (Bar-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 587, + 504, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 504, + 600 + ], + "score": 1.0, + "content": "nett et al., 1994); this idea is used in Tarassenko et al. (1995) Bishop (1994), and Parra et al.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "(1996), among others. Other work has applied more sophisticated techniques to density function", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 505, + 622 + ], + "score": 1.0, + "content": "evaluations—for instance, Clifton et al. (2014) applies extreme value theory. Yet this work and all", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "score": 1.0, + "content": "others of which we are aware do not identify points with abnormally high density as OOD. Thus", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 632, + 504, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 504, + 644 + ], + "score": 1.0, + "content": "they would fail in the settings presented by Nalisnick et al. (2019). As for work focusing on DGMs", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "score": 1.0, + "content": "in particular, most previous work proposes training improvements to make the model more robust.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "For instance, Hendrycks et al. (2019) show that robustness and uncertainty quantification w.r.t. out-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "score": 1.0, + "content": "liers can be improved by exposing the model to an auxiliary data set (a proxy for OOD data) during", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "training. As for post-training outlier and OOD detection, Choi et al. (2019) proposes using an en-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "score": 1.0, + "content": "semble of models to compute the Watanabe-Akaike information criterion (WAIC). However, there", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "are no rigorous arguments for why WAIC should quantify GoF. Skv ˇ ara et al. ´ (2018) proposes using", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "a VAE’s conditional likelihood as an outlier criterion, finding that this works well only when the", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "score": 1.0, + "content": "hyperparameters can be tuned using anomalous data. 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If we reject the null, then we decide that the sample does not reside in the typical set and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 506, + 141 + ], + "score": 1.0, + "content": "therefore is OOD. The complete procedure is summarized in Algorithm 1 in Appendix B. Observe", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 505, + 152 + ], + "score": 1.0, + "content": "that nearly all of the computation can be performed offline before any test set is received, including", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 149, + 507, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 306, + 164 + ], + "score": 1.0, + "content": "all bootstrap simulations. The rejection threshold", + "type": "text" + }, + { + "bbox": [ + 307, + 150, + 321, + 162 + ], + "score": 0.9, + "content": "\\epsilon _ { \\alpha } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 149, + 418, + 164 + ], + "score": 1.0, + "content": "depends on a particular", + "type": "text" + }, + { + "bbox": [ + 419, + 151, + 430, + 160 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 149, + 448, + 164 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 449, + 152, + 457, + 160 + ], + "score": 0.76, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 149, + 507, + 164 + ], + "score": 1.0, + "content": "setting, but", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 174 + ], + "score": 1.0, + "content": "these computations can be done in parallel across multiple machines. The most expensive test-time", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 172, + 194, + 185 + ], + "score": 1.0, + "content": "operation is obtaining", + "type": "text" + }, + { + "bbox": [ + 195, + 172, + 240, + 184 + ], + "score": 0.95, + "content": "\\log p ( \\tilde { \\pmb { x } } , \\pmb { \\theta } )", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 172, + 347, + 185 + ], + "score": 1.0, + "content": ". After this is done, only an", + "type": "text" + }, + { + "bbox": [ + 348, + 172, + 375, + 184 + ], + "score": 0.94, + "content": "\\mathcal { O } ( M )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 172, + 506, + 185 + ], + "score": 1.0, + "content": "operation to sum the likelihoods", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 154, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 154, + 196 + ], + "score": 1.0, + "content": "is required.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5, + "bbox_fs": [ + 102, + 81, + 507, + 196 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 210, + 211, + 223 + ], + "lines": [ + { + "bbox": [ + 105, + 209, + 213, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 213, + 224 + ], + "score": 1.0, + "content": "4 RELATED WORK", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 234, + 505, + 377 + ], + "lines": [ + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 505, + 246 + ], + "score": 1.0, + "content": "Goodness-of-Fit Tests As mentioned in Section 3.1, many of the traditional GoF tests are not", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 258 + ], + "score": 1.0, + "content": "applicable to the DGMs and high-dimensional data sets that we consider since CDFs and EDFs are", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 257, + 504, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 504, + 268 + ], + "score": 1.0, + "content": "both intractable in this setting. Kernelized Stein discrepancy (Chwialkowski et al., 2016; Liu et al.,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "2016) is a recently-proposed GoF test that can scale to the DGM regime, and we compare against", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "it in the experiments. Several works have proposed GoF tests based on entropy (Gokhale, 1983;", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 289, + 505, + 301 + ], + "score": 1.0, + "content": "Parzen, 1990)—e.g. for normal (Vasicek, 1976), uniform (Dudewicz & Van Der Meulen, 1981), and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 300, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 312 + ], + "score": 1.0, + "content": "exponential (Crzcgorzewski & Wirczorkowski, 1999) distributions. However, these tests are derived", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "from maximum entropy results and not motivated from typicality. There are also directed GoF tests", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 335 + ], + "score": 1.0, + "content": "such as ones based on likelihood ratios (Neyman & Pearson, 1933; Wilks, 1938) or discrepancies", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 506, + 346 + ], + "score": 1.0, + "content": "such as KL divergence (Noughabi & Arghami, 2013). These tests require an explicit definition of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 343, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 107, + 346, + 113, + 356 + ], + "score": 0.59, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 343, + 506, + 357 + ], + "score": 1.0, + "content": ", which may be difficult in many DGM-appropriate scenarios. Yet the recent work of Ren et al.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 355, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 366, + 368 + ], + "score": 1.0, + "content": "(2019) does apply likelihood ratios to PixelCNNs by constructing", + "type": "text" + }, + { + "bbox": [ + 366, + 357, + 373, + 367 + ], + "score": 0.69, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 355, + 505, + 368 + ], + "score": 1.0, + "content": "such that it models a background", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 366, + 336, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 336, + 378 + ], + "score": 1.0, + "content": "process (i.e. some perturbed version of the original data).", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 234, + 506, + 378 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 389, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "Typical and Minimum Volume Sets We are aware of only two previous works that use a notion of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 414 + ], + "score": 1.0, + "content": "typicality for GoF tests or OOD detection. Sabeti & Hst-Madsen (2019) propose a typicality frame-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "work based on minimum description length. They deem data as ‘atypical’ if it can be represented in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 422, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 506, + 435 + ], + "score": 1.0, + "content": "less bits than one would expect under the generative model. While our frameworks share the same", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "conceptual foundation, Sabeti & Hst-Madsen (2019)’s implementation relies on strong parametric", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 444, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 505, + 456 + ], + "score": 1.0, + "content": "assumptions and cannot be generalized to deep models (without drastic approximations). Choi et al.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "(2019), the second work, leverages normalizing flows to test for typicality by transforming the data", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 465, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 479 + ], + "score": 1.0, + "content": "to a normal distribution and then deeming points outside the annulus to be anomalous. This ap-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 489 + ], + "score": 1.0, + "content": "proach restricts the generative model to be a Gaussian normalizing flow whereas ours is applicable", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "to any generative model with a computable likelihood. Our work is also related to the concept of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "minimum volume (MV) sets (Sager, 1979; Polonik, 1997; Garcia et al., 2003). MV sets have been", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 509, + 504, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 504, + 522 + ], + "score": 1.0, + "content": "used for GoF testing (Polonik, 1999; Glazer et al., 2012) and to detect outliers (Platt et al., 2001;", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "Scott & Nowak, 2006; Clemenc¸on et al. ´ , 2018). However, we are not aware of any work that scales", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 532, + 423, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 423, + 544 + ], + "score": 1.0, + "content": "MV-set-based methodologies to the degree required to be applicable to DGMs.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 389, + 506, + 544 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 555, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "Generative Models and Outlier Detection Probabilistic but non-test-based techniques have also", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 505, + 577 + ], + "score": 1.0, + "content": "been widely employed to discover outliers and anomalies (Pimentel et al., 2014). One of the most", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 589 + ], + "score": 1.0, + "content": "common is to use a (one-sided) threshold on the density function to classify points as OOD (Bar-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 587, + 504, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 504, + 600 + ], + "score": 1.0, + "content": "nett et al., 1994); this idea is used in Tarassenko et al. (1995) Bishop (1994), and Parra et al.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 611 + ], + "score": 1.0, + "content": "(1996), among others. Other work has applied more sophisticated techniques to density function", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 610, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 505, + 622 + ], + "score": 1.0, + "content": "evaluations—for instance, Clifton et al. (2014) applies extreme value theory. Yet this work and all", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 633 + ], + "score": 1.0, + "content": "others of which we are aware do not identify points with abnormally high density as OOD. Thus", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 632, + 504, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 504, + 644 + ], + "score": 1.0, + "content": "they would fail in the settings presented by Nalisnick et al. (2019). As for work focusing on DGMs", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 655 + ], + "score": 1.0, + "content": "in particular, most previous work proposes training improvements to make the model more robust.", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 666 + ], + "score": 1.0, + "content": "For instance, Hendrycks et al. (2019) show that robustness and uncertainty quantification w.r.t. out-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 505, + 678 + ], + "score": 1.0, + "content": "liers can be improved by exposing the model to an auxiliary data set (a proxy for OOD data) during", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "training. As for post-training outlier and OOD detection, Choi et al. (2019) proposes using an en-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 505, + 699 + ], + "score": 1.0, + "content": "semble of models to compute the Watanabe-Akaike information criterion (WAIC). However, there", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "are no rigorous arguments for why WAIC should quantify GoF. Skv ˇ ara et al. ´ (2018) proposes using", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "a VAE’s conditional likelihood as an outlier criterion, finding that this works well only when the", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 506, + 732 + ], + "score": 1.0, + "content": "hyperparameters can be tuned using anomalous data. As far as we are aware, we are the first to", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "apply a hypothesis testing framework to the problem of OOD or anomaly detection for DGMs. As", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 502, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 502, + 106 + ], + "score": 1.0, + "content": "mentioned above, Ren et al. (2019) use likelihood ratios, but they do not perform a hypothesis test.", + "type": "text", + "cross_page": true + } + ], + "index": 1 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 554, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "apply a hypothesis testing framework to the problem of OOD or anomaly detection for DGMs. As", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 502, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 502, + 106 + ], + "score": 1.0, + "content": "mentioned above, Ren et al. (2019) use likelihood ratios, but they do not perform a hypothesis test.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 108, + 121, + 200, + 133 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 201, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 201, + 135 + ], + "score": 1.0, + "content": "5 EXPERIMENTS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 146, + 505, + 212 + ], + "lines": [ + { + "bbox": [ + 106, + 145, + 505, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 505, + 159 + ], + "score": 1.0, + "content": "We now evaluate our typicality test’s OOD detection abilities, focusing in particular on the image", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 156, + 505, + 170 + ], + "spans": [ + { + "bbox": [ + 105, + 156, + 505, + 170 + ], + "score": 1.0, + "content": "data set pairs highlighted by Nalisnick et al. (2019). We use the same three generative models as they", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 168, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 505, + 180 + ], + "score": 1.0, + "content": "did—Glow (Kingma & Dhariwal, 2018), PixelCNN (van den Oord et al., 2016), and Rosca et al.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 178, + 504, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 504, + 191 + ], + "score": 1.0, + "content": "(2018)’s VAE architecture—attempting to replicate training and evaluation as closely as possible.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "See Appendix C for a full description of model architectures and training. See Appendix D for more", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 200, + 478, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 435, + 213 + ], + "score": 1.0, + "content": "details on evaluation. We consider the following baselines5; all statistical tests use", + "type": "text" + }, + { + "bbox": [ + 436, + 201, + 474, + 211 + ], + "score": 0.89, + "content": "\\alpha = 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 200, + 478, + 213 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 104, + 222, + 506, + 481 + ], + "lines": [ + { + "bbox": [ + 104, + 221, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 505, + 235 + ], + "score": 1.0, + "content": "1. t-test: We apply a two-sample students’ t-test to check for a difference in means in the em-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 117, + 233, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 117, + 233, + 423, + 245 + ], + "score": 1.0, + "content": "pirical likelihoods. In terms of Equation 3, this baseline will reject for any", + "type": "text" + }, + { + "bbox": [ + 424, + 233, + 450, + 243 + ], + "score": 0.88, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 233, + 505, + 245 + ], + "score": 1.0, + "content": ", and thus we", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 116, + 244, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 116, + 244, + 505, + 256 + ], + "score": 1.0, + "content": "expect it to be overly conservative. Moreover, this test does not have access to validation data and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 118, + 255, + 424, + 267 + ], + "spans": [ + { + "bbox": [ + 118, + 255, + 424, + 267 + ], + "score": 1.0, + "content": "therefore improvements upon it can be attributed to our bootstrap procedure.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "2. Kolmogorov-Smirnov test (KS-test): We apply a two-sample KS-test to the likeli-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 116, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 116, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "hood EDFs. This test is stronger than our typicality test since it is checking for equivalence in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 117, + 292, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 117, + 292, + 505, + 304 + ], + "score": 1.0, + "content": "all moments whereas ours (and the t-test) is restricted to the first moment. In turn, this test has a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 116, + 302, + 402, + 316 + ], + "spans": [ + { + "bbox": [ + 116, + 302, + 262, + 316 + ], + "score": 1.0, + "content": "greater computational complexity—", + "type": "text" + }, + { + "bbox": [ + 262, + 302, + 316, + 315 + ], + "score": 0.92, + "content": "\\mathcal { O } ( M \\log M )", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 302, + 370, + 316 + ], + "score": 1.0, + "content": "compared to", + "type": "text" + }, + { + "bbox": [ + 370, + 302, + 398, + 315 + ], + "score": 0.92, + "content": "\\mathcal { O } ( M )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 302, + 402, + 316 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "3. Maximum Mean Discrepancy (MMD): We apply a two-sample MMD (Gretton et al.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 116, + 327, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 116, + 327, + 505, + 342 + ], + "score": 1.0, + "content": "2012) test to the data directly. Yet we incorporate the generative model by using a Fisher ker-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 116, + 339, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 116, + 339, + 505, + 353 + ], + "score": 1.0, + "content": "nel (Jaakkola & Haussler, 1999). We also apply the same bootstrap procedure on validation data", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 116, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 116, + 350, + 369, + 363 + ], + "score": 1.0, + "content": "to construct the test statistic. MMD has greater runtime still at", + "type": "text" + }, + { + "bbox": [ + 369, + 350, + 410, + 362 + ], + "score": 0.92, + "content": "\\mathcal { O } ( \\bar { N M d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 350, + 505, + 363 + ], + "score": 1.0, + "content": ". It also requires access", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 117, + 362, + 383, + 373 + ], + "spans": [ + { + "bbox": [ + 117, + 362, + 383, + 373 + ], + "score": 1.0, + "content": "to (a subset of) the training data at test-time, which is undesirable.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 103, + 375, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 103, + 375, + 505, + 389 + ], + "score": 1.0, + "content": "4. Kernelized Stein Discrepancy (KSD): We apply KSD (Liu et al., 2016) to test for", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 117, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 117, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "GoF to the generative model and again use a Fisher kernel and the bootstrap procedure on vali-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 116, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 116, + 397, + 239, + 411 + ], + "score": 1.0, + "content": "dation data. KSD has runtime", + "type": "text" + }, + { + "bbox": [ + 239, + 398, + 276, + 410 + ], + "score": 0.93, + "content": "\\mathcal { O } ( M ^ { 2 } d )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 397, + 505, + 411 + ], + "score": 1.0, + "content": ". While we have ignored the construction of the kernel in", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 117, + 409, + 500, + 422 + ], + "spans": [ + { + "bbox": [ + 117, + 409, + 500, + 422 + ], + "score": 1.0, + "content": "the runtime analysis, KSD is the most costly since it requires computing three model gradients.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 103, + 423, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 103, + 423, + 505, + 438 + ], + "score": 1.0, + "content": "5. Annulus Method: We use a modified version of Choi et al. (2019)’s annulus method applied", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 116, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 116, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "to Gaussian normalizing flows. Like them, we classify something as OOD based on its distance√", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 117, + 446, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 117, + 447, + 218, + 460 + ], + "score": 1.0, + "content": "to the sphere with radius", + "type": "text" + }, + { + "bbox": [ + 219, + 446, + 234, + 459 + ], + "score": 0.93, + "content": "\\sqrt { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 447, + 505, + 460 + ], + "score": 1.0, + "content": ". This is essentially performing our test but via closed-form expres-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 115, + 457, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 115, + 457, + 505, + 473 + ], + "score": 1.0, + "content": "sions for entropy made available by the Gaussian base distribution. We use the same bootstrap", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 116, + 469, + 345, + 482 + ], + "spans": [ + { + "bbox": [ + 116, + 469, + 335, + 482 + ], + "score": 1.0, + "content": "procedure on validation data to set the ‘slack’ variable", + "type": "text" + }, + { + "bbox": [ + 336, + 472, + 341, + 479 + ], + "score": 0.47, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 469, + 345, + 482 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 493, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 493, + 504, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 504, + 506 + ], + "score": 1.0, + "content": "Grayscale Images We first evaluate our typicality test on grayscale images. We trained a Glow,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "PixelCNN, and VAE each on the FashionMNIST training split and tested OOD detection using the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "score": 1.0, + "content": "FashionMNIST, MNIST, and NotMNIST test splits. We use the FashionMNIST test split to evaluate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "for type-I error (incorrect rejection of the null) and the MNIST and NotMNIST splits for type-II error", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "(incorrect rejection of the alternative). In Figure 2 we show the empirical distribution of likelihoods", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 548, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 505, + 561 + ], + "score": 1.0, + "content": "over each data set for each model. We see the same phenomenon as reported by Nalisnick et al.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "(2019)—namely, that the MNIST OOD test set (green) has a higher likelihood than the training set", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "(black). Lower-sided thresholding (Bishop, 1994) would clearly fail to detect the OOD sets. Table 1", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 359, + 593 + ], + "score": 1.0, + "content": "reports a comparison against baselines, showing the fraction of", + "type": "text" + }, + { + "bbox": [ + 359, + 581, + 371, + 591 + ], + "score": 0.84, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 582, + 505, + 593 + ], + "score": 1.0, + "content": "-sized batches classified as OOD.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "score": 1.0, + "content": "The IN-DIST. column reports the value for the FashionMNIST test set and ideally this number", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 603, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 615 + ], + "score": 1.0, + "content": "should be 0.00; any deviation from zero corresponds to type-I error. Conversely, the MNIST and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "NOTMNIST columns should be 1.00, and any deviation corresponds to type-II error. We see that for", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 107, + 623, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 107, + 625, + 137, + 635 + ], + "score": 0.89, + "content": "M = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 623, + 505, + 638 + ], + "score": 1.0, + "content": "all tests find it hard to reject the null hypothesis, which is not surprising given the overlap in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 461, + 648 + ], + "score": 1.0, + "content": "the histograms in Figure 2. The exceptions are the annulus method for NotMNIST-Glow", + "type": "text" + }, + { + "bbox": [ + 461, + 636, + 485, + 647 + ], + "score": 0.83, + "content": "( 9 6 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 635, + 506, + 648 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 257, + 659 + ], + "score": 1.0, + "content": "typicality test for MNIST-PixelCNN", + "type": "text" + }, + { + "bbox": [ + 258, + 646, + 282, + 658 + ], + "score": 0.86, + "content": "( 5 6 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 646, + 506, + 659 + ], + "score": 1.0, + "content": ", and all methods except KS-test for NotMNIST-VAE.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 658, + 504, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 504, + 669 + ], + "score": 1.0, + "content": "One failure mode for almost all methods is NotMNIST for the PixelCNN. None of the likelihood-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "based tests can distinguish NotMNIST as OOD due to the near perfect overlap in histograms shown", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 678, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 506, + 693 + ], + "score": 1.0, + "content": "in Figure 2(b). KSD and especially MMD are able to perform better in this case due to having access", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 691, + 504, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 504, + 703 + ], + "score": 1.0, + "content": "to the original feature-space representations (in addition to the generative model). Yet, surprisingly,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 394, + 714 + ], + "score": 1.0, + "content": "KSD and MMD perform comparatively poorly for MNIST, especially at", + "type": "text" + }, + { + "bbox": [ + 395, + 702, + 430, + 712 + ], + "score": 0.9, + "content": "M = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 701, + 447, + 714 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 702, + 483, + 712 + ], + "score": 0.9, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 701, + 505, + 714 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 40.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 26, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 115, + 721, + 492, + 732 + ], + "lines": [ + { + "bbox": [ + 117, + 718, + 492, + 734 + ], + "spans": [ + { + "bbox": [ + 117, + 718, + 492, + 734 + ], + "score": 1.0, + "content": "5We could not replicate the performance of WAIC as reported by Choi et al. (2019). See Appendix E.2.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 310, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 504, + 105 + ], + "lines": [], + "index": 0.5, + "bbox_fs": [ + 105, + 82, + 505, + 106 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 121, + 200, + 133 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 201, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 201, + 135 + ], + "score": 1.0, + "content": "5 EXPERIMENTS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 146, + 505, + 212 + ], + "lines": [ + { + "bbox": [ + 106, + 145, + 505, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 505, + 159 + ], + "score": 1.0, + "content": "We now evaluate our typicality test’s OOD detection abilities, focusing in particular on the image", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 156, + 505, + 170 + ], + "spans": [ + { + "bbox": [ + 105, + 156, + 505, + 170 + ], + "score": 1.0, + "content": "data set pairs highlighted by Nalisnick et al. (2019). We use the same three generative models as they", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 168, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 505, + 180 + ], + "score": 1.0, + "content": "did—Glow (Kingma & Dhariwal, 2018), PixelCNN (van den Oord et al., 2016), and Rosca et al.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 178, + 504, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 504, + 191 + ], + "score": 1.0, + "content": "(2018)’s VAE architecture—attempting to replicate training and evaluation as closely as possible.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "See Appendix C for a full description of model architectures and training. See Appendix D for more", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 200, + 478, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 435, + 213 + ], + "score": 1.0, + "content": "details on evaluation. We consider the following baselines5; all statistical tests use", + "type": "text" + }, + { + "bbox": [ + 436, + 201, + 474, + 211 + ], + "score": 0.89, + "content": "\\alpha = 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 200, + 478, + 213 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 145, + 505, + 213 + ] + }, + { + "type": "list", + "bbox": [ + 104, + 222, + 506, + 481 + ], + "lines": [ + { + "bbox": [ + 104, + 221, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 104, + 221, + 505, + 235 + ], + "score": 1.0, + "content": "1. t-test: We apply a two-sample students’ t-test to check for a difference in means in the em-", + "type": "text" + } + ], + "index": 9, + "is_list_start_line": true + }, + { + "bbox": [ + 117, + 233, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 117, + 233, + 423, + 245 + ], + "score": 1.0, + "content": "pirical likelihoods. In terms of Equation 3, this baseline will reject for any", + "type": "text" + }, + { + "bbox": [ + 424, + 233, + 450, + 243 + ], + "score": 0.88, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 233, + 505, + 245 + ], + "score": 1.0, + "content": ", and thus we", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 116, + 244, + 505, + 256 + ], + "spans": [ + { + "bbox": [ + 116, + 244, + 505, + 256 + ], + "score": 1.0, + "content": "expect it to be overly conservative. Moreover, this test does not have access to validation data and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 118, + 255, + 424, + 267 + ], + "spans": [ + { + "bbox": [ + 118, + 255, + 424, + 267 + ], + "score": 1.0, + "content": "therefore improvements upon it can be attributed to our bootstrap procedure.", + "type": "text" + } + ], + "index": 12, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 505, + 282 + ], + "score": 1.0, + "content": "2. Kolmogorov-Smirnov test (KS-test): We apply a two-sample KS-test to the likeli-", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 116, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 116, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "hood EDFs. This test is stronger than our typicality test since it is checking for equivalence in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 117, + 292, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 117, + 292, + 505, + 304 + ], + "score": 1.0, + "content": "all moments whereas ours (and the t-test) is restricted to the first moment. In turn, this test has a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 116, + 302, + 402, + 316 + ], + "spans": [ + { + "bbox": [ + 116, + 302, + 262, + 316 + ], + "score": 1.0, + "content": "greater computational complexity—", + "type": "text" + }, + { + "bbox": [ + 262, + 302, + 316, + 315 + ], + "score": 0.92, + "content": "\\mathcal { O } ( M \\log M )", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 302, + 370, + 316 + ], + "score": 1.0, + "content": "compared to", + "type": "text" + }, + { + "bbox": [ + 370, + 302, + 398, + 315 + ], + "score": 0.92, + "content": "\\mathcal { O } ( M )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 302, + 402, + 316 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 16, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "3. Maximum Mean Discrepancy (MMD): We apply a two-sample MMD (Gretton et al.,", + "type": "text" + } + ], + "index": 17, + "is_list_start_line": true + }, + { + "bbox": [ + 116, + 327, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 116, + 327, + 505, + 342 + ], + "score": 1.0, + "content": "2012) test to the data directly. Yet we incorporate the generative model by using a Fisher ker-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 116, + 339, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 116, + 339, + 505, + 353 + ], + "score": 1.0, + "content": "nel (Jaakkola & Haussler, 1999). We also apply the same bootstrap procedure on validation data", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 116, + 350, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 116, + 350, + 369, + 363 + ], + "score": 1.0, + "content": "to construct the test statistic. MMD has greater runtime still at", + "type": "text" + }, + { + "bbox": [ + 369, + 350, + 410, + 362 + ], + "score": 0.92, + "content": "\\mathcal { O } ( \\bar { N M d } )", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 350, + 505, + 363 + ], + "score": 1.0, + "content": ". It also requires access", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 117, + 362, + 383, + 373 + ], + "spans": [ + { + "bbox": [ + 117, + 362, + 383, + 373 + ], + "score": 1.0, + "content": "to (a subset of) the training data at test-time, which is undesirable.", + "type": "text" + } + ], + "index": 21, + "is_list_end_line": true + }, + { + "bbox": [ + 103, + 375, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 103, + 375, + 505, + 389 + ], + "score": 1.0, + "content": "4. Kernelized Stein Discrepancy (KSD): We apply KSD (Liu et al., 2016) to test for", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 117, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 117, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "GoF to the generative model and again use a Fisher kernel and the bootstrap procedure on vali-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 116, + 397, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 116, + 397, + 239, + 411 + ], + "score": 1.0, + "content": "dation data. KSD has runtime", + "type": "text" + }, + { + "bbox": [ + 239, + 398, + 276, + 410 + ], + "score": 0.93, + "content": "\\mathcal { O } ( M ^ { 2 } d )", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 397, + 505, + 411 + ], + "score": 1.0, + "content": ". While we have ignored the construction of the kernel in", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 117, + 409, + 500, + 422 + ], + "spans": [ + { + "bbox": [ + 117, + 409, + 500, + 422 + ], + "score": 1.0, + "content": "the runtime analysis, KSD is the most costly since it requires computing three model gradients.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 103, + 423, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 103, + 423, + 505, + 438 + ], + "score": 1.0, + "content": "5. Annulus Method: We use a modified version of Choi et al. (2019)’s annulus method applied", + "type": "text" + } + ], + "index": 26, + "is_list_start_line": true + }, + { + "bbox": [ + 116, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 116, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "to Gaussian normalizing flows. Like them, we classify something as OOD based on its distance√", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 117, + 446, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 117, + 447, + 218, + 460 + ], + "score": 1.0, + "content": "to the sphere with radius", + "type": "text" + }, + { + "bbox": [ + 219, + 446, + 234, + 459 + ], + "score": 0.93, + "content": "\\sqrt { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 447, + 505, + 460 + ], + "score": 1.0, + "content": ". This is essentially performing our test but via closed-form expres-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 115, + 457, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 115, + 457, + 505, + 473 + ], + "score": 1.0, + "content": "sions for entropy made available by the Gaussian base distribution. We use the same bootstrap", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 116, + 469, + 345, + 482 + ], + "spans": [ + { + "bbox": [ + 116, + 469, + 335, + 482 + ], + "score": 1.0, + "content": "procedure on validation data to set the ‘slack’ variable", + "type": "text" + }, + { + "bbox": [ + 336, + 472, + 341, + 479 + ], + "score": 0.47, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 469, + 345, + 482 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30, + "is_list_end_line": true + } + ], + "index": 19.5, + "bbox_fs": [ + 103, + 221, + 505, + 482 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 493, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 106, + 493, + 504, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 504, + 506 + ], + "score": 1.0, + "content": "Grayscale Images We first evaluate our typicality test on grayscale images. We trained a Glow,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 505, + 516 + ], + "score": 1.0, + "content": "PixelCNN, and VAE each on the FashionMNIST training split and tested OOD detection using the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "score": 1.0, + "content": "FashionMNIST, MNIST, and NotMNIST test splits. We use the FashionMNIST test split to evaluate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "for type-I error (incorrect rejection of the null) and the MNIST and NotMNIST splits for type-II error", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "(incorrect rejection of the alternative). In Figure 2 we show the empirical distribution of likelihoods", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 548, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 505, + 561 + ], + "score": 1.0, + "content": "over each data set for each model. We see the same phenomenon as reported by Nalisnick et al.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "(2019)—namely, that the MNIST OOD test set (green) has a higher likelihood than the training set", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "(black). Lower-sided thresholding (Bishop, 1994) would clearly fail to detect the OOD sets. Table 1", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 359, + 593 + ], + "score": 1.0, + "content": "reports a comparison against baselines, showing the fraction of", + "type": "text" + }, + { + "bbox": [ + 359, + 581, + 371, + 591 + ], + "score": 0.84, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 582, + 505, + 593 + ], + "score": 1.0, + "content": "-sized batches classified as OOD.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 604 + ], + "score": 1.0, + "content": "The IN-DIST. column reports the value for the FashionMNIST test set and ideally this number", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 603, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 615 + ], + "score": 1.0, + "content": "should be 0.00; any deviation from zero corresponds to type-I error. Conversely, the MNIST and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "NOTMNIST columns should be 1.00, and any deviation corresponds to type-II error. We see that for", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 107, + 623, + 505, + 638 + ], + "spans": [ + { + "bbox": [ + 107, + 625, + 137, + 635 + ], + "score": 0.89, + "content": "M = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 623, + 505, + 638 + ], + "score": 1.0, + "content": "all tests find it hard to reject the null hypothesis, which is not surprising given the overlap in", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 461, + 648 + ], + "score": 1.0, + "content": "the histograms in Figure 2. The exceptions are the annulus method for NotMNIST-Glow", + "type": "text" + }, + { + "bbox": [ + 461, + 636, + 485, + 647 + ], + "score": 0.83, + "content": "( 9 6 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 635, + 506, + 648 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 257, + 659 + ], + "score": 1.0, + "content": "typicality test for MNIST-PixelCNN", + "type": "text" + }, + { + "bbox": [ + 258, + 646, + 282, + 658 + ], + "score": 0.86, + "content": "( 5 6 \\% )", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 646, + 506, + 659 + ], + "score": 1.0, + "content": ", and all methods except KS-test for NotMNIST-VAE.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 658, + 504, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 504, + 669 + ], + "score": 1.0, + "content": "One failure mode for almost all methods is NotMNIST for the PixelCNN. None of the likelihood-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "based tests can distinguish NotMNIST as OOD due to the near perfect overlap in histograms shown", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 678, + 506, + 693 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 506, + 693 + ], + "score": 1.0, + "content": "in Figure 2(b). KSD and especially MMD are able to perform better in this case due to having access", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 691, + 504, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 504, + 703 + ], + "score": 1.0, + "content": "to the original feature-space representations (in addition to the generative model). Yet, surprisingly,", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 701, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 701, + 394, + 714 + ], + "score": 1.0, + "content": "KSD and MMD perform comparatively poorly for MNIST, especially at", + "type": "text" + }, + { + "bbox": [ + 395, + 702, + 430, + 712 + ], + "score": 0.9, + "content": "M = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 701, + 447, + 714 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 448, + 702, + 483, + 712 + ], + "score": 0.9, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 701, + 505, + 714 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "score": 1.0, + "content": "annulus method was unable to detect MNIST, which we found surprising given its close relationship", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "to our typicality test, which does perform well. Yet Choi et al. (2019) note that Gaussian normalizing", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "score": 1.0, + "content": "flows do not necessarily make the latent space normally distributed, and our typicality test may be", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 513, + 476, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 476, + 523 + ], + "score": 1.0, + "content": "able to use information from the volume element that is not available to the annulus method.", + "type": "text", + "cross_page": true + } + ], + "index": 14 + } + ], + "index": 40.5, + "bbox_fs": [ + 104, + 493, + 506, + 714 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 110, + 85, + 503, + 190 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 85, + 503, + 190 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 85, + 503, + 190 + ], + "spans": [ + { + "bbox": [ + 110, + 85, + 503, + 190 + ], + "score": 0.965, + "type": "image", + "image_path": "6255daa222d1a45ebfc0c184b37dfe1577181a8f5e67dbf51fe3ee72c4d6cc3c.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 110, + 85, + 503, + 120.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 110, + 120.0, + 503, + 155.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 110, + 155.0, + 503, + 190.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 192, + 506, + 226 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 191, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 505, + 206 + ], + "score": 1.0, + "content": "Figure 2: Empirical Distribution of Likelihoods. The above figure shows the histogram of log-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 202, + 506, + 217 + ], + "score": 1.0, + "content": "likelihoods for FashionMNIST (train, test), MNIST (test), and NotMNIST (test) for the (a) Glow,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 214, + 222, + 227 + ], + "spans": [ + { + "bbox": [ + 106, + 214, + 222, + 227 + ], + "score": 1.0, + "content": "(b) PixelCNN, and (c) VAE.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "table", + "bbox": [ + 106, + 269, + 506, + 456 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 247, + 504, + 273 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 246, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 272, + 261 + ], + "score": 1.0, + "content": "Table 1: Grayscale Images: Fraction of", + "type": "text" + }, + { + "bbox": [ + 273, + 248, + 284, + 258 + ], + "score": 0.49, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 246, + 506, + 261 + ], + "score": 1.0, + "content": "-Sized Batches Classified as OOD. The in-distribution", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 258, + 444, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 444, + 272 + ], + "score": 1.0, + "content": "column reflects type-I error and the MNIST and NotMNIST columns reflect type-II.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 269, + 506, + 456 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 269, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 506, + 456 + ], + "score": 0.98, + "html": "
METHODIN-DIST.M=2 MNISTM=10M=25
NOTMNIST|IN-DIST.MNISTNOTMNISTIN-DIST.MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
t-Test0.01±.000.08±.000.06±.000.01±.001.00±.000.67±.010.01±.001.00±.000.99±.00
KS-Test0.00±.000.00±.000.00±.000.01±.001.00±.000.61±.010.00±.001.00±.000.98±.01
Max Mean Dis.0.05±.020.17±.060.04±.030.02±.020.63±.120.37±.240.04±.041.00±.001.00±.00
Kern. Stein Dis.0.05±.050.16±.140.01±.010.01±.010.21±.110.01±.000.02±.030.76±.210.00±.00
Annulus Method0.01±.010.00±.000.96±.030.02±.000.00±.001.00±.000.03±.030.00±.001.00±.00
PixelCNN Trained on FashionMNIST
Typicality Test0.03±.010.56±.130.01±.000.04±.021.00±.000.01±.010.05±.031.00±.000.01±.01
t-Test0.01±.000.23±.000.00±.000.01±.001.00±.000.00±.000.02±.001.00±.000.00±.00
KS-Test0.00±.000.00±.000.00±.000.02±.001.00±.000.00±.000.04±.001.00±.000.01±.00
Max Mean Dis.0.02±.000.05±.010.36±.050.05±.020.27±.061.00±.000.06±.040.59±.101.00±.00
Kern. Stein Dis.0.01±.000.05±.020.08±.030.02±.010.29±.140.61±.200.05±.020.70±.110.99±.01
VAETrained on FashionMNIST
Typicality Test0.03±.010.37±.050.99±.000.04±.020.94±.021.00±.000.04±.030.96±.011.00±.00
t-Test KS-Test0.01±.000.20±.000.99±.000.02±.000.93±.001.00±.000.02±.000.96±.001.00±.00
0.00±.000.00±.000.00±.000.02±.001.00±.001.00±.000.02±.001.00±.001.00±.00
Max Mean Dis. Kern. Stein Dis.0.03±.020.16±.070.73±.010.03±.040.41±.161.00±.00 1.00±.000.01±.010.64±.051.00±.00
0.04±.010.05±.010.74±.000.11±.040.17±.010.06±.040.37±.031.00±.00
", + "type": "table", + "image_path": "383ca153e91757984a7c72da554764271c383584c9633f0ddf1e7748ae819ac7.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 106, + 269, + 506, + 331.3333333333333 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 106, + 331.3333333333333, + 506, + 393.66666666666663 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 106, + 393.66666666666663, + 506, + 455.99999999999994 + ], + "spans": [], + "index": 10 + } + ] + } + ], + "index": 7.75 + }, + { + "type": "text", + "bbox": [ + 107, + 479, + 505, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 505, + 492 + ], + "score": 1.0, + "content": "annulus method was unable to detect MNIST, which we found surprising given its close relationship", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 505, + 503 + ], + "score": 1.0, + "content": "to our typicality test, which does perform well. Yet Choi et al. (2019) note that Gaussian normalizing", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 505, + 514 + ], + "score": 1.0, + "content": "flows do not necessarily make the latent space normally distributed, and our typicality test may be", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 513, + 476, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 476, + 523 + ], + "score": 1.0, + "content": "able to use information from the volume element that is not available to the annulus method.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 539, + 505, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "Natural Images We next turn to data sets of natural images—in particular SVHN, CIFAR-10, and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 505, + 562 + ], + "score": 1.0, + "content": "ImageNet. We train Glow on SVHN, CIFAR-10, and ImageNet and use the two non-training sets for", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "OOD evaluation. We found using MMD and KSD to be too expensive to make OOD decisions in an", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 291, + 585 + ], + "score": 1.0, + "content": "online system. Table 2 reports the fraction of", + "type": "text" + }, + { + "bbox": [ + 292, + 573, + 304, + 582 + ], + "score": 0.81, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "-sized batches classified as OOD. We see that our", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 596 + ], + "score": 1.0, + "content": "method (first row, bolded) is able to easily detect the OOD sets for SVHN, rejecting size-two batches", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 594, + 505, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 157, + 606 + ], + "score": 1.0, + "content": "at the rate of", + "type": "text" + }, + { + "bbox": [ + 157, + 594, + 185, + 605 + ], + "score": 0.91, + "content": "9 8 \\% +", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 594, + 258, + 606 + ], + "score": 1.0, + "content": "while having only", + "type": "text" + }, + { + "bbox": [ + 258, + 594, + 273, + 605 + ], + "score": 0.89, + "content": "1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 594, + 505, + 606 + ], + "score": 1.0, + "content": "type-I error. 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The hardest case is Glow trained on ImageNet: the KS-test performed best", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 625, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 117, + 640 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 117, + 627, + 156, + 637 + ], + "score": 0.9, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 625, + 178, + 640 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 179, + 627, + 198, + 638 + ], + "score": 0.89, + "content": "8 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 625, + 270, + 640 + ], + "score": 1.0, + "content": ", followed by the", + "type": "text" + }, + { + "bbox": [ + 270, + 628, + 279, + 637 + ], + "score": 0.32, + "content": "\\mathbf { t - }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 625, + 370, + 640 + ], + "score": 1.0, + "content": "and typicality tests at", + "type": "text" + }, + { + "bbox": [ + 371, + 627, + 390, + 638 + ], + "score": 0.89, + "content": "7 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 625, + 410, + 640 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 410, + 627, + 430, + 637 + ], + "score": 0.88, + "content": "7 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 625, + 505, + 640 + ], + "score": 1.0, + "content": "respectively. The", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "annulus method again had varying performance, being conspicuously inferior at detecting SVHN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "for the CIFAR and ImageNet models while having the best performance on ImageNet for the CIFAR", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 659, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 673 + ], + "score": 1.0, + "content": "model. We report additional results in Appendix E.3 for our method, showing performance for all", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 670, + 339, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 160, + 683 + ], + "score": 0.88, + "content": "M \\in [ 1 , 1 5 0 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 670, + 339, + 683 + ], + "score": 1.0, + "content": "and when using CIFAR-100 as an OOD set.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 688, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Lastly, we report two challenging cases worthy of note and further attention. 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METHODIN-DIST.M=2 MNISTM=10M=25
NOTMNIST|IN-DIST.MNISTNOTMNISTIN-DIST.MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
t-Test0.01±.000.08±.000.06±.000.01±.001.00±.000.67±.010.01±.001.00±.000.99±.00
KS-Test0.00±.000.00±.000.00±.000.01±.001.00±.000.61±.010.00±.001.00±.000.98±.01
Max Mean Dis.0.05±.020.17±.060.04±.030.02±.020.63±.120.37±.240.04±.041.00±.001.00±.00
Kern. Stein Dis.0.05±.050.16±.140.01±.010.01±.010.21±.110.01±.000.02±.030.76±.210.00±.00
Annulus Method0.01±.010.00±.000.96±.030.02±.000.00±.001.00±.000.03±.030.00±.001.00±.00
PixelCNN Trained on FashionMNIST
Typicality Test0.03±.010.56±.130.01±.000.04±.021.00±.000.01±.010.05±.031.00±.000.01±.01
t-Test0.01±.000.23±.000.00±.000.01±.001.00±.000.00±.000.02±.001.00±.000.00±.00
KS-Test0.00±.000.00±.000.00±.000.02±.001.00±.000.00±.000.04±.001.00±.000.01±.00
Max Mean Dis.0.02±.000.05±.010.36±.050.05±.020.27±.061.00±.000.06±.040.59±.101.00±.00
Kern. Stein Dis.0.01±.000.05±.020.08±.030.02±.010.29±.140.61±.200.05±.020.70±.110.99±.01
VAETrained on FashionMNIST
Typicality Test0.03±.010.37±.050.99±.000.04±.020.94±.021.00±.000.04±.030.96±.011.00±.00
t-Test KS-Test0.01±.000.20±.000.99±.000.02±.000.93±.001.00±.000.02±.000.96±.001.00±.00
0.00±.000.00±.000.00±.000.02±.001.00±.001.00±.000.02±.001.00±.001.00±.00
Max Mean Dis. Kern. Stein Dis.0.03±.020.16±.070.73±.010.03±.040.41±.161.00±.00 1.00±.000.01±.010.64±.051.00±.00
0.04±.010.05±.010.74±.000.11±.040.17±.010.06±.040.37±.031.00±.00
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We train Glow on SVHN, CIFAR-10, and ImageNet and use the two non-training sets for", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 505, + 574 + ], + "score": 1.0, + "content": "OOD evaluation. We found using MMD and KSD to be too expensive to make OOD decisions in an", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 291, + 585 + ], + "score": 1.0, + "content": "online system. Table 2 reports the fraction of", + "type": "text" + }, + { + "bbox": [ + 292, + 573, + 304, + 582 + ], + "score": 0.81, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "-sized batches classified as OOD. 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The hardest case is Glow trained on ImageNet: the KS-test performed best", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 625, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 117, + 640 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 117, + 627, + 156, + 637 + ], + "score": 0.9, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 625, + 178, + 640 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 179, + 627, + 198, + 638 + ], + "score": 0.89, + "content": "8 9 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 625, + 270, + 640 + ], + "score": 1.0, + "content": ", followed by the", + "type": "text" + }, + { + "bbox": [ + 270, + 628, + 279, + 637 + ], + "score": 0.32, + "content": "\\mathbf { t - }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 625, + 370, + 640 + ], + "score": 1.0, + "content": "and typicality tests at", + "type": "text" + }, + { + "bbox": [ + 371, + 627, + 390, + 638 + ], + "score": 0.89, + "content": "7 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 625, + 410, + 640 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 410, + 627, + 430, + 637 + ], + "score": 0.88, + "content": "7 4 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 625, + 505, + 640 + ], + "score": 1.0, + "content": "respectively. The", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 506, + 651 + ], + "score": 1.0, + "content": "annulus method again had varying performance, being conspicuously inferior at detecting SVHN", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "for the CIFAR and ImageNet models while having the best performance on ImageNet for the CIFAR", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 659, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 505, + 673 + ], + "score": 1.0, + "content": "model. We report additional results in Appendix E.3 for our method, showing performance for all", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 670, + 339, + 683 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 160, + 683 + ], + "score": 0.88, + "content": "M \\in [ 1 , 1 5 0 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 670, + 339, + 683 + ], + "score": 1.0, + "content": "and when using CIFAR-100 as an OOD set.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 539, + 506, + 683 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 688, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Lastly, we report two challenging cases worthy of note and further attention. Figure 3(a) shows", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 698, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 453, + 712 + ], + "score": 1.0, + "content": "our method applied to Glow when trained on CIFAR-10, tested on CIFAR-100. The", + "type": "text" + }, + { + "bbox": [ + 453, + 701, + 460, + 710 + ], + "score": 0.8, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 698, + 506, + 712 + ], + "score": 1.0, + "content": "-axis again", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 710, + 506, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 313, + 721 + ], + "score": 1.0, + "content": "shows fraction of batches reported as OOD and the", + "type": "text" + }, + { + "bbox": [ + 313, + 712, + 320, + 720 + ], + "score": 0.77, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 710, + 398, + 721 + ], + "score": 1.0, + "content": "-axis the batch size", + "type": "text" + }, + { + "bbox": [ + 398, + 710, + 410, + 720 + ], + "score": 0.64, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 710, + 447, + 721 + ], + "score": 1.0, + "content": ". 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Yet this result is not surprising given that CIFAR-", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 687, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 100, + 505, + 253 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 153, + 89, + 454, + 100 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 153, + 89, + 455, + 102 + ], + "spans": [ + { + "bbox": [ + 153, + 89, + 455, + 102 + ], + "score": 1.0, + "content": "Table 2: Natural Images: Fraction of M-Sized Batches Classified as OOD.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table_body", + "bbox": [ + 106, + 100, + 505, + 253 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 253 + ], + "score": 0.981, + "html": "
METHODSVHNM=2 CIFAR-10IMAGENETSVHNM=10 CIFAR-10IMAGENET|M=25 CIFAR-10
SVHNIMAGENET
Glow Trained on SVHN
Typicality Test0.01±.000.98±.001.00±.000.00±.001.00±.001.00±.000.02±.001.00±.001.00±.00
t-Test0.00±.000.95±.001.00±.000.04±.001.00±.001.00±.000.03±.001.00±.001.00±.00
KS-Test0.00±.000.00±.000.00±.000.08±.001.00±.001.00±.000.03±.001.00±.001.00±.00
Annulus Method0.02±.010.70±.051.00±.000.02±.011.00±.001.00±.000.00±.001.00±.001.00±.00
Glow Trained on CIFAR-10
Typicality Test0.42±.090.01±.010.64±.041.00±.000.01±.011.00±.001.00±.000.01±.011.00±.00
t-Test0.44±.010.01±.000.65±.001.00±.000.02±.001.00±.001.00±.000.02±.001.00±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.01±.000.98±.001.00±.000.01±.001.00±.00
Annulus Method0.09±.030.02±.000.87±.050.19±.010.03±.001.00±.000.35±.020.04±.001.00±.00
Glow Trained on ImageNet
Typicality Test0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
t-Test0.76±.000.02±.000.01±.001.00±.000.18±.010.01±.001.00±.000.72±.010.01±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.29±.010.01±.001.00±.000.89±.010.02±.00
Annulus Method0.00±.000.03±.000.02±.010.02±.020.15±.040.02±.000.16±.040.57±.120.02±.00
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More interesting is the case of Glow trained on CelebA, tested on CIFAR-10 and CIFAR-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "100. Figure 3(b) shows the histogram of log-likelihoods: all distributions peak at nearly the same", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 210, + 321 + ], + "score": 1.0, + "content": "value. The distribution of", + "type": "text" + }, + { + "bbox": [ + 210, + 310, + 216, + 318 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 307, + 383, + 321 + ], + "score": 1.0, + "content": "observed during the bootstrap procedure", + "type": "text" + }, + { + "bbox": [ + 384, + 308, + 425, + 318 + ], + "score": 0.87, + "content": "M = 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 307, + 505, + 321 + ], + "score": 1.0, + "content": ") is shown in Figure", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 304, + 331 + ], + "score": 1.0, + "content": "3(c), with the red and black dotted lines denoting", + "type": "text" + }, + { + "bbox": [ + 305, + 319, + 311, + 329 + ], + "score": 0.39, + "content": "\\hat { \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 319, + 484, + 331 + ], + "score": 1.0, + "content": "computed using the whole set. We see that", + "type": "text" + }, + { + "bbox": [ + 484, + 319, + 490, + 329 + ], + "score": 0.37, + "content": "\\hat { \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "the OOD set is even less than the in-distribution’s, meaning that it would be impossible to reliably", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "reject the OOD data while not rejecting the in-distribution test set as well. Interestingly, PixelCNN", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "and VAE do not have as dramatic of an overlap in likelihoods—a phenomenon that can also be", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 363, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 505, + 374 + ], + "score": 1.0, + "content": "observed in Figure 2—which implies that the ability to detect OOD sets does not only depend on the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "data involved but the models as well. Some models may have likelihood functions that are reliably", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 384, + 376, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 376, + 397 + ], + "score": 1.0, + "content": "discriminative, and this presents an intriguing area for future work.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9 + }, + { + "type": "image", + "bbox": [ + 109, + 411, + 501, + 529 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 411, + 501, + 529 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 411, + 501, + 529 + ], + "spans": [ + { + "bbox": [ + 109, + 411, + 501, + 529 + ], + "score": 0.968, + "type": "image", + "image_path": "9ca02de438f58f6e6b49dd426979e6fca608b7c7a81667c852ad457b52d4b33a.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 109, + 411, + 501, + 450.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 109, + 450.3333333333333, + 501, + 489.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 109, + 489.66666666666663, + 501, + 529.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 151, + 533, + 457, + 545 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 150, + 532, + 458, + 546 + ], + "spans": [ + { + "bbox": [ + 150, + 532, + 458, + 546 + ], + "score": 1.0, + "content": "Figure 3: Challenging Cases: CIFAR-10 vs CIFAR-100, CelebA vs CIFAR’s.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + } + ], + "index": 17.0 + }, + { + "type": "title", + "bbox": [ + 108, + 569, + 293, + 582 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 296, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 296, + 585 + ], + "score": 1.0, + "content": "6 DISCUSSION AND CONCLUSIONS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "We have presented a model-agnostic and computationally efficient statistical test for OOD inputs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "derived from the concept of typical sets. In the experiments we showed that the proposed test is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "especially well-suited to DGMs, identifying the OOD set for SVHN vs CIFAR-10 vs ImageNet", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 357, + 642 + ], + "score": 1.0, + "content": "(Nalisnick et al., 2019) with high accuracy (while maintaining", + "type": "text" + }, + { + "bbox": [ + 358, + 628, + 384, + 640 + ], + "score": 0.89, + "content": "\\leq 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "type-I error). In this work we", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 639, + 506, + 655 + ], + "spans": [ + { + "bbox": [ + 104, + 639, + 208, + 655 + ], + "score": 1.0, + "content": "used the null hypothesis", + "type": "text" + }, + { + "bbox": [ + 208, + 639, + 275, + 654 + ], + "score": 0.93, + "content": "H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 639, + 506, + 655 + ], + "score": 1.0, + "content": ", which was necessary since we assumed access to only", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 653, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 505, + 665 + ], + "score": 1.0, + "content": "one training data set. One avenue for future work is to use auxiliary data sets (Hendrycks et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 662, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 286, + 681 + ], + "score": 1.0, + "content": "2019) to construct a test statistic for the null", + "type": "text" + }, + { + "bbox": [ + 287, + 663, + 349, + 678 + ], + "score": 0.93, + "content": "H _ { 0 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 662, + 507, + 681 + ], + "score": 1.0, + "content": ", as would be proper for safety-critical", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "applications. In our experiments we also noticed two cases—PixelCNN trained on FashionMNIST,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "tested on NotMNIST and Glow trained on CelebA, tested on CIFAR—in which the empirical distri-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "score": 1.0, + "content": "butions of in- and out-of-distribution likelihoods matched near perfectly. Thus use of the likelihood", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 709, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 721 + ], + "score": 1.0, + "content": "distribution produced by DGMs has a fundamental limitation that is seemingly worse than what was", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 721, + 249, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 249, + 732 + ], + "score": 1.0, + "content": "reported by Nalisnick et al. 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METHODSVHNM=2 CIFAR-10IMAGENETSVHNM=10 CIFAR-10IMAGENET|M=25 CIFAR-10
SVHNIMAGENET
Glow Trained on SVHN
Typicality Test0.01±.000.98±.001.00±.000.00±.001.00±.001.00±.000.02±.001.00±.001.00±.00
t-Test0.00±.000.95±.001.00±.000.04±.001.00±.001.00±.000.03±.001.00±.001.00±.00
KS-Test0.00±.000.00±.000.00±.000.08±.001.00±.001.00±.000.03±.001.00±.001.00±.00
Annulus Method0.02±.010.70±.051.00±.000.02±.011.00±.001.00±.000.00±.001.00±.001.00±.00
Glow Trained on CIFAR-10
Typicality Test0.42±.090.01±.010.64±.041.00±.000.01±.011.00±.001.00±.000.01±.011.00±.00
t-Test0.44±.010.01±.000.65±.001.00±.000.02±.001.00±.001.00±.000.02±.001.00±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.01±.000.98±.001.00±.000.01±.001.00±.00
Annulus Method0.09±.030.02±.000.87±.050.19±.010.03±.001.00±.000.35±.020.04±.001.00±.00
Glow Trained on ImageNet
Typicality Test0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
t-Test0.76±.000.02±.000.01±.001.00±.000.18±.010.01±.001.00±.000.72±.010.01±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.29±.010.01±.001.00±.000.89±.010.02±.00
Annulus Method0.00±.000.03±.000.02±.010.02±.020.15±.040.02±.000.16±.040.57±.120.02±.00
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More interesting is the case of Glow trained on CelebA, tested on CIFAR-10 and CIFAR-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 506, + 310 + ], + "score": 1.0, + "content": "100. Figure 3(b) shows the histogram of log-likelihoods: all distributions peak at nearly the same", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 307, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 210, + 321 + ], + "score": 1.0, + "content": "value. The distribution of", + "type": "text" + }, + { + "bbox": [ + 210, + 310, + 216, + 318 + ], + "score": 0.69, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 307, + 383, + 321 + ], + "score": 1.0, + "content": "observed during the bootstrap procedure", + "type": "text" + }, + { + "bbox": [ + 384, + 308, + 425, + 318 + ], + "score": 0.87, + "content": "M = 2 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 307, + 505, + 321 + ], + "score": 1.0, + "content": ") is shown in Figure", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 319, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 319, + 304, + 331 + ], + "score": 1.0, + "content": "3(c), with the red and black dotted lines denoting", + "type": "text" + }, + { + "bbox": [ + 305, + 319, + 311, + 329 + ], + "score": 0.39, + "content": "\\hat { \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 319, + 484, + 331 + ], + "score": 1.0, + "content": "computed using the whole set. We see that", + "type": "text" + }, + { + "bbox": [ + 484, + 319, + 490, + 329 + ], + "score": 0.37, + "content": "\\hat { \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 319, + 505, + 331 + ], + "score": 1.0, + "content": "for", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 505, + 342 + ], + "score": 1.0, + "content": "the OOD set is even less than the in-distribution’s, meaning that it would be impossible to reliably", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "reject the OOD data while not rejecting the in-distribution test set as well. Interestingly, PixelCNN", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 352, + 505, + 363 + ], + "score": 1.0, + "content": "and VAE do not have as dramatic of an overlap in likelihoods—a phenomenon that can also be", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 363, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 505, + 374 + ], + "score": 1.0, + "content": "observed in Figure 2—which implies that the ability to detect OOD sets does not only depend on the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 505, + 386 + ], + "score": 1.0, + "content": "data involved but the models as well. Some models may have likelihood functions that are reliably", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 384, + 376, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 376, + 397 + ], + "score": 1.0, + "content": "discriminative, and this presents an intriguing area for future work.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 275, + 506, + 397 + ] + }, + { + "type": "image", + "bbox": [ + 109, + 411, + 501, + 529 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 411, + 501, + 529 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 411, + 501, + 529 + ], + "spans": [ + { + "bbox": [ + 109, + 411, + 501, + 529 + ], + "score": 0.968, + "type": "image", + "image_path": "9ca02de438f58f6e6b49dd426979e6fca608b7c7a81667c852ad457b52d4b33a.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 109, + 411, + 501, + 450.3333333333333 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 109, + 450.3333333333333, + 501, + 489.66666666666663 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 109, + 489.66666666666663, + 501, + 529.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 151, + 533, + 457, + 545 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 150, + 532, + 458, + 546 + ], + "spans": [ + { + "bbox": [ + 150, + 532, + 458, + 546 + ], + "score": 1.0, + "content": "Figure 3: Challenging Cases: CIFAR-10 vs CIFAR-100, CelebA vs CIFAR’s.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + } + ], + "index": 17.0 + }, + { + "type": "title", + "bbox": [ + 108, + 569, + 293, + 582 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 296, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 296, + 585 + ], + "score": 1.0, + "content": "6 DISCUSSION AND CONCLUSIONS", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "We have presented a model-agnostic and computationally efficient statistical test for OOD inputs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 606, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 506, + 619 + ], + "score": 1.0, + "content": "derived from the concept of typical sets. In the experiments we showed that the proposed test is", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 630 + ], + "score": 1.0, + "content": "especially well-suited to DGMs, identifying the OOD set for SVHN vs CIFAR-10 vs ImageNet", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 357, + 642 + ], + "score": 1.0, + "content": "(Nalisnick et al., 2019) with high accuracy (while maintaining", + "type": "text" + }, + { + "bbox": [ + 358, + 628, + 384, + 640 + ], + "score": 0.89, + "content": "\\leq 1 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "type-I error). In this work we", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 639, + 506, + 655 + ], + "spans": [ + { + "bbox": [ + 104, + 639, + 208, + 655 + ], + "score": 1.0, + "content": "used the null hypothesis", + "type": "text" + }, + { + "bbox": [ + 208, + 639, + 275, + 654 + ], + "score": 0.93, + "content": "H _ { 0 } : \\widetilde { \\pmb { X } } \\in \\mathcal { A } _ { \\epsilon } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 639, + 506, + 655 + ], + "score": 1.0, + "content": ", which was necessary since we assumed access to only", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 653, + 505, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 653, + 505, + 665 + ], + "score": 1.0, + "content": "one training data set. One avenue for future work is to use auxiliary data sets (Hendrycks et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 662, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 662, + 286, + 681 + ], + "score": 1.0, + "content": "2019) to construct a test statistic for the null", + "type": "text" + }, + { + "bbox": [ + 287, + 663, + 349, + 678 + ], + "score": 0.93, + "content": "H _ { 0 } : \\widetilde { X } \\notin \\mathcal { A } _ { \\epsilon } ^ { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 662, + 507, + 681 + ], + "score": 1.0, + "content": ", as would be proper for safety-critical", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "applications. In our experiments we also noticed two cases—PixelCNN trained on FashionMNIST,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "tested on NotMNIST and Glow trained on CelebA, tested on CIFAR—in which the empirical distri-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 710 + ], + "score": 1.0, + "content": "butions of in- and out-of-distribution likelihoods matched near perfectly. 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Alternatively, as", + "type": "text" + }, + { + "bbox": [ + 479, + 524, + 505, + 534 + ], + "score": 0.84, + "content": "M ", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 528, + 366, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 301, + 549 + ], + "score": 0.86, + "content": "\\begin{array} { r } { \\infty , \\frac { 1 } { M } \\sum _ { m = 1 } ^ { M } - \\log p ( \\tilde { \\mathbfit { x } } _ { m } ; \\pmb { \\theta } ) - \\mathbb { E } [ \\log p ( \\tilde { \\mathbf { x } } ; \\pmb { \\theta } ) ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 528, + 366, + 556 + ], + "score": 1.0, + "content": ". 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(2019)’s zero-initialization strategy (last", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "coupling layer set to zero) and in turn did not apply any normalization. Similarly, our convolu-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 472, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 484 + ], + "score": 1.0, + "content": "tional layers were initialized by sampling from the same truncated Normal distribution (Nalisnick", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 482, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 104, + 482, + 505, + 496 + ], + "score": 1.0, + "content": "et al., 2019). For our FashionMNIST experiment, Glow had two blocks of 16 affine coupling lay-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 494, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 506 + ], + "score": 1.0, + "content": "ers (ACLs) (Dinh et al., 2017). The spatial dimension was only squeezed between blocks. For", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "score": 1.0, + "content": "the SVHN, CIFAR-10, and ImageNet models, we used three blocks of 8 ACLs with multi-scale", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "factorization occurring between each block. All ACL transformations used a three-layer highway", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 527, + 456, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 456, + 539 + ], + "score": 1.0, + "content": "network. 200 hidden units were used for fashionMNIST and 400 for all other data sets.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22.5, + "bbox_fs": [ + 104, + 405, + 505, + 539 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 558, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 557, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 447, + 571 + ], + "score": 1.0, + "content": "PixelCNN We trained a GatedPixelCNN (van den Oord et al., 2016) using Adam", + "type": "text" + }, + { + "bbox": [ + 447, + 558, + 487, + 569 + ], + "score": 0.89, + "content": "\\mathrm { 1 \\times 1 0 ^ { - 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 557, + 505, + 571 + ], + "score": 1.0, + "content": "ini-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 228, + 582 + ], + "score": 1.0, + "content": "tial learning rate, decayed by", + "type": "text" + }, + { + "bbox": [ + 228, + 569, + 245, + 581 + ], + "score": 0.52, + "content": "1 / 3", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 569, + 280, + 582 + ], + "score": 1.0, + "content": "at steps", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 297, + 580 + ], + "score": 0.38, + "content": "8 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 569, + 316, + 582 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 316, + 569, + 333, + 580 + ], + "score": 0.34, + "content": "9 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 569, + 505, + 582 + ], + "score": 1.0, + "content": ", 100k total steps) for FashionMNIST and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 151, + 592 + ], + "score": 1.0, + "content": "RMSProp", + "type": "text" + }, + { + "bbox": [ + 151, + 580, + 191, + 591 + ], + "score": 0.9, + "content": "\\bar { ( 1 \\times 1 0 ^ { - 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 580, + 321, + 592 + ], + "score": 1.0, + "content": "initial learning rate, decayed by", + "type": "text" + }, + { + "bbox": [ + 321, + 581, + 337, + 592 + ], + "score": 0.39, + "content": "1 / 3", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "at steps 120k, 180k, and 195k, 200k total", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "steps) for all other data sets. The FashionMNIST network had 5 gated layers (32 features) and a", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 615 + ], + "score": 1.0, + "content": "256-sized skip connection. All other networks used 15 gated layers (128 features) and a 1024-sized", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 613, + 172, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 172, + 625 + ], + "score": 1.0, + "content": "skip connection", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 557, + 506, + 625 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 644, + 504, + 699 + ], + "lines": [ + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "Variational Autoencoder We used the convolutional decoder VAE (Kingma & Welling, 2014)", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "variant described by Rosca et al. (2018). For Fashion MNIST, the decoder contained three convo-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "lutional layers with filter sizes 32, 32, and 256 and stides of 2, 2, and 1. Training was done again", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 167, + 690 + ], + "score": 1.0, + "content": "via RMSProp", + "type": "text" + }, + { + "bbox": [ + 167, + 677, + 207, + 688 + ], + "score": 0.9, + "content": "\\mathrm { 1 \\times 1 0 ^ { - 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "initial learning rate, no decay, 200k total steps). For all other models, we", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 688, + 357, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 357, + 700 + ], + "score": 1.0, + "content": "followed the specifications in Rosca et al. (2018) Appendix K.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 643, + 506, + 700 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 258, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 259, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 259, + 95 + ], + "score": 1.0, + "content": "D EXPERIMENTAL DETAILS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 107, + 505, + 196 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 121 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 121 + ], + "score": 1.0, + "content": "MMD and KSD Kernels We found that MMD and KSD only had good performance when using", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 118, + 505, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 304, + 131 + ], + "score": 1.0, + "content": "the Fisher kernel (Jaakkola & Haussler, 1999):", + "type": "text" + }, + { + "bbox": [ + 304, + 118, + 502, + 131 + ], + "score": 0.89, + "content": "\\begin{array} { r } { k ( \\pmb { x } _ { i } , \\pmb { x } _ { j } ) = \\bar { ( } \\nabla _ { \\pmb { \\theta } } \\log p ( \\hat { \\pmb { x } } _ { i } ; \\pmb { \\theta } ) ) ^ { T } \\nabla _ { \\pmb { \\theta } } \\log p ( \\pmb { x } _ { j } ; \\pmb { \\theta } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 118, + 505, + 131 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 129, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 142 + ], + "score": 1.0, + "content": "All other kernels attempted required substantial tuning to the scale parameters and we did not want", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 505, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 505, + 152 + ], + "score": 1.0, + "content": "to assume access to enough data to perform this tuning. The ineffectiveness of MMD on pixel-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 151, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 506, + 164 + ], + "score": 1.0, + "content": "space has been noted previously (Bikowski et al., 2018). Furthermore, we found the memory cost of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 163, + 504, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 497, + 174 + ], + "score": 1.0, + "content": "implementing the traditional Fisher kernel to be quite costly for Glow, each vector having 2million", + "type": "text" + }, + { + "bbox": [ + 497, + 164, + 504, + 172 + ], + "score": 0.41, + "content": "^ +", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "score": 1.0, + "content": "elements. Hence in the experiments we use the kernel modified such that the derivative is taken w.r.t.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 183, + 483, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 275, + 198 + ], + "score": 1.0, + "content": "the input (making it the likelihood score):", + "type": "text" + }, + { + "bbox": [ + 276, + 184, + 480, + 198 + ], + "score": 0.88, + "content": "\\begin{array} { r } { k ^ { \\prime } ( \\pmb { x } _ { i } , \\pmb { x } _ { j } ) = ( \\nabla _ { \\pmb { x } _ { i } } \\log p ( \\pmb { x } _ { i } ; \\pmb { \\theta } ) ) ^ { T } \\nabla _ { \\pmb { x } _ { j } } \\log p ( \\pmb { x } _ { j } ; \\pmb { \\theta } ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 183, + 483, + 198 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 106, + 210, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "score": 1.0, + "content": "Data Set Splits and Bootstrap Re-Samples For each data set we used the canonical train-test", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "score": 1.0, + "content": "splits. To construct the validation set and perform bootstrapping, we extracted 5, 000 samples from", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 232, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 334, + 244 + ], + "score": 1.0, + "content": "the test split and bootstrap sampled (with replacement)", + "type": "text" + }, + { + "bbox": [ + 334, + 233, + 372, + 243 + ], + "score": 0.9, + "content": "K = 5 0", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 232, + 461, + 244 + ], + "score": 1.0, + "content": "data sets to calculate", + "type": "text" + }, + { + "bbox": [ + 462, + 232, + 482, + 244 + ], + "score": 0.91, + "content": "F ( \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 232, + 506, + 244 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 244, + 504, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 178, + 256 + ], + "score": 1.0, + "content": "didn’t find using", + "type": "text" + }, + { + "bbox": [ + 179, + 244, + 218, + 254 + ], + "score": 0.9, + "content": "K > 5 0", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 244, + 478, + 256 + ], + "score": 1.0, + "content": "to markedly change performance. We then extracted another", + "type": "text" + }, + { + "bbox": [ + 478, + 244, + 504, + 255 + ], + "score": 0.43, + "content": "5 , 0 0 0", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 293, + 267 + ], + "score": 1.0, + "content": "samples from the test split, divided them into", + "type": "text" + }, + { + "bbox": [ + 294, + 255, + 306, + 264 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "-sized batches, and classified each other as OOD", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "or not according to the various tests. We repeated this whole process 10 times, randomizing the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "instances in the validation and testing splits, in order to compute the means and standard deviations", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 287, + 247, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 247, + 299 + ], + "score": 1.0, + "content": "that are reported in Tables 1 and 2.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 347 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 114, + 324 + ], + "score": 0.71, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "-Level In preliminary experiments, we did not find a notable difference in type-II error when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 131, + 337 + ], + "score": 1.0, + "content": "using", + "type": "text" + }, + { + "bbox": [ + 131, + 325, + 171, + 335 + ], + "score": 0.87, + "content": "\\alpha = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 324, + 183, + 337 + ], + "score": 1.0, + "content": "vs", + "type": "text" + }, + { + "bbox": [ + 184, + 325, + 223, + 335 + ], + "score": 0.89, + "content": "\\alpha = 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 324, + 506, + 337 + ], + "score": 1.0, + "content": ". Using the latter slightly improved type-I error and thus we used that", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 336, + 276, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 276, + 348 + ], + "score": 1.0, + "content": "value for all experiments and all methods.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + }, + { + "type": "title", + "bbox": [ + 107, + 365, + 244, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 245, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 245, + 380 + ], + "score": 1.0, + "content": "E ADDITIONAL RESULTS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 108, + 392, + 287, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 289, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 289, + 405 + ], + "score": 1.0, + "content": "E.1 COMPARING ENTROPY ESTIMATORS", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 413, + 505, + 512 + ], + "lines": [ + { + "bbox": [ + 106, + 414, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 505, + 425 + ], + "score": 1.0, + "content": "In the tables below, we report results comparing the two entropy estimators considered—the Monte", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 436 + ], + "score": 1.0, + "content": "Carlo approximation with samples from the model (Equation 4) vs the resubstitution estimator", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "(Equation 5). We see that the samples-based estimator performs better in only one setting, Fash-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 209, + 459 + ], + "score": 1.0, + "content": "ionMNIST vs MNIST at", + "type": "text" + }, + { + "bbox": [ + 209, + 447, + 241, + 457 + ], + "score": 0.9, + "content": "M = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 445, + 505, + 459 + ], + "score": 1.0, + "content": ". In all other cases, the resubstitution estimator performs equally", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 458, + 504, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 504, + 468 + ], + "score": 1.0, + "content": "well or better. In fact, the samples-based estimator could not detect NotMNIST as OOD at all, hav-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 122, + 482 + ], + "score": 1.0, + "content": "ing", + "type": "text" + }, + { + "bbox": [ + 122, + 468, + 137, + 479 + ], + "score": 0.86, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 468, + 169, + 482 + ], + "score": 1.0, + "content": "even at", + "type": "text" + }, + { + "bbox": [ + 170, + 469, + 207, + 479 + ], + "score": 0.91, + "content": "M = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 468, + 225, + 482 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 469, + 262, + 479 + ], + "score": 0.91, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 468, + 505, + 482 + ], + "score": 1.0, + "content": ". This inferior performance is mostly due to the distribution", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "score": 1.0, + "content": "of likelihoods being more diffuse when computed with samples. 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The in-distribution", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 545, + 444, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 444, + 557 + ], + "score": 1.0, + "content": "column reflects type-I error and the MNIST and NotMNIST columns reflect type-II.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 556, + 504, + 602 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 556, + 504, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 504, + 602 + ], + "score": 0.969, + "html": "
METHODIN-DIST.M=2 MNISTNOTMNISTIN-DIST.M=10 MNISTNOTMNISTIN-DIST.M=25 MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test w/Data0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
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METHODSVHNM=2 CIFAR-10IN-DIST.SVHNM=10 CIFAR-10IN-DIST.SVHNM=25 CIFAR-10IN-DIST.
Glow Trained on ImageNet
Typicality Test w/ Data0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
Typicality Test w/ Samples0.29±.080.02±.010.01±.001.00±.000.16±.050.01±.011.00±.000.73±.080.01±.01
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The ineffectiveness of MMD on pixel-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 151, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 506, + 164 + ], + "score": 1.0, + "content": "space has been noted previously (Bikowski et al., 2018). Furthermore, we found the memory cost of", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 163, + 504, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 497, + 174 + ], + "score": 1.0, + "content": "implementing the traditional Fisher kernel to be quite costly for Glow, each vector having 2million", + "type": "text" + }, + { + "bbox": [ + 497, + 164, + 504, + 172 + ], + "score": 0.41, + "content": "^ +", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "score": 1.0, + "content": "elements. Hence in the experiments we use the kernel modified such that the derivative is taken w.r.t.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 183, + 483, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 275, + 198 + ], + "score": 1.0, + "content": "the input (making it the likelihood score):", + "type": "text" + }, + { + "bbox": [ + 276, + 184, + 480, + 198 + ], + "score": 0.88, + "content": "\\begin{array} { r } { k ^ { \\prime } ( \\pmb { x } _ { i } , \\pmb { x } _ { j } ) = ( \\nabla _ { \\pmb { x } _ { i } } \\log p ( \\pmb { x } _ { i } ; \\pmb { \\theta } ) ) ^ { T } \\nabla _ { \\pmb { x } _ { j } } \\log p ( \\pmb { x } _ { j } ; \\pmb { \\theta } ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 183, + 483, + 198 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 105, + 506, + 198 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 210, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 505, + 222 + ], + "score": 1.0, + "content": "Data Set Splits and Bootstrap Re-Samples For each data set we used the canonical train-test", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 506, + 235 + ], + "score": 1.0, + "content": "splits. To construct the validation set and perform bootstrapping, we extracted 5, 000 samples from", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 232, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 232, + 334, + 244 + ], + "score": 1.0, + "content": "the test split and bootstrap sampled (with replacement)", + "type": "text" + }, + { + "bbox": [ + 334, + 233, + 372, + 243 + ], + "score": 0.9, + "content": "K = 5 0", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 232, + 461, + 244 + ], + "score": 1.0, + "content": "data sets to calculate", + "type": "text" + }, + { + "bbox": [ + 462, + 232, + 482, + 244 + ], + "score": 0.91, + "content": "F ( \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 232, + 506, + 244 + ], + "score": 1.0, + "content": ". We", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 244, + 504, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 178, + 256 + ], + "score": 1.0, + "content": "didn’t find using", + "type": "text" + }, + { + "bbox": [ + 179, + 244, + 218, + 254 + ], + "score": 0.9, + "content": "K > 5 0", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 244, + 478, + 256 + ], + "score": 1.0, + "content": "to markedly change performance. We then extracted another", + "type": "text" + }, + { + "bbox": [ + 478, + 244, + 504, + 255 + ], + "score": 0.43, + "content": "5 , 0 0 0", + "type": "inline_equation" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 254, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 254, + 293, + 267 + ], + "score": 1.0, + "content": "samples from the test split, divided them into", + "type": "text" + }, + { + "bbox": [ + 294, + 255, + 306, + 264 + ], + "score": 0.79, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 254, + 506, + 267 + ], + "score": 1.0, + "content": "-sized batches, and classified each other as OOD", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "or not according to the various tests. We repeated this whole process 10 times, randomizing the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 277, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 505, + 289 + ], + "score": 1.0, + "content": "instances in the validation and testing splits, in order to compute the means and standard deviations", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 287, + 247, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 247, + 299 + ], + "score": 1.0, + "content": "that are reported in Tables 1 and 2.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 210, + 506, + 299 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 347 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 114, + 324 + ], + "score": 0.71, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "-Level In preliminary experiments, we did not find a notable difference in type-II error when", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 324, + 506, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 131, + 337 + ], + "score": 1.0, + "content": "using", + "type": "text" + }, + { + "bbox": [ + 131, + 325, + 171, + 335 + ], + "score": 0.87, + "content": "\\alpha = 0 . 9 5", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 324, + 183, + 337 + ], + "score": 1.0, + "content": "vs", + "type": "text" + }, + { + "bbox": [ + 184, + 325, + 223, + 335 + ], + "score": 0.89, + "content": "\\alpha = 0 . 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 324, + 506, + 337 + ], + "score": 1.0, + "content": ". Using the latter slightly improved type-I error and thus we used that", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 336, + 276, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 336, + 276, + 348 + ], + "score": 1.0, + "content": "value for all experiments and all methods.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 313, + 506, + 348 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 365, + 244, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 245, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 245, + 380 + ], + "score": 1.0, + "content": "E ADDITIONAL RESULTS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "title", + "bbox": [ + 108, + 392, + 287, + 403 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 289, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 289, + 405 + ], + "score": 1.0, + "content": "E.1 COMPARING ENTROPY ESTIMATORS", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 413, + 505, + 512 + ], + "lines": [ + { + "bbox": [ + 106, + 414, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 505, + 425 + ], + "score": 1.0, + "content": "In the tables below, we report results comparing the two entropy estimators considered—the Monte", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 424, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 436 + ], + "score": 1.0, + "content": "Carlo approximation with samples from the model (Equation 4) vs the resubstitution estimator", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "(Equation 5). We see that the samples-based estimator performs better in only one setting, Fash-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 445, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 209, + 459 + ], + "score": 1.0, + "content": "ionMNIST vs MNIST at", + "type": "text" + }, + { + "bbox": [ + 209, + 447, + 241, + 457 + ], + "score": 0.9, + "content": "M = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 445, + 505, + 459 + ], + "score": 1.0, + "content": ". In all other cases, the resubstitution estimator performs equally", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 458, + 504, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 504, + 468 + ], + "score": 1.0, + "content": "well or better. In fact, the samples-based estimator could not detect NotMNIST as OOD at all, hav-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 468, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 122, + 482 + ], + "score": 1.0, + "content": "ing", + "type": "text" + }, + { + "bbox": [ + 122, + 468, + 137, + 479 + ], + "score": 0.86, + "content": "0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 468, + 169, + 482 + ], + "score": 1.0, + "content": "even at", + "type": "text" + }, + { + "bbox": [ + 170, + 469, + 207, + 479 + ], + "score": 0.91, + "content": "M = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 468, + 225, + 482 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 469, + 262, + 479 + ], + "score": 0.91, + "content": "M = 2 5", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 468, + 505, + 482 + ], + "score": 1.0, + "content": ". This inferior performance is mostly due to the distribution", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 493 + ], + "score": 1.0, + "content": "of likelihoods being more diffuse when computed with samples. 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The in-distribution", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 545, + 444, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 444, + 557 + ], + "score": 1.0, + "content": "column reflects type-I error and the MNIST and NotMNIST columns reflect type-II.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 556, + 504, + 602 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 556, + 504, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 504, + 602 + ], + "score": 0.969, + "html": "
METHODIN-DIST.M=2 MNISTNOTMNISTIN-DIST.M=10 MNISTNOTMNISTIN-DIST.M=25 MNISTNOTMNIST
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We", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 376, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 376, + 137 + ], + "score": 1.0, + "content": "attempted to reproduce Choi et al.’s Figure 3, which shows SVHN", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 376, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 376, + 149 + ], + "score": 1.0, + "content": "having lower and more dispersed scores than CIFAR-10. 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Two differences", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 171, + 503, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 503, + 183 + ], + "score": 1.0, + "content": "between our Glow implementation and theirs were that they use Adam (vs RMSprop) and early", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 181, + 401, + 193 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 401, + 193 + ], + "score": 1.0, + "content": "stopping on a validation set. 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We also report evaluations using CIFAR-100 as an OOD set.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "image_body", + "bbox": [ + 110, + 263, + 504, + 650 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 263, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 110, + 263, + 504, + 650 + ], + "score": 0.975, + "type": "image", + "image_path": "51f727bbd866271aba6a9f2ab6d0704c474a835325e64227cb2f5ce44c7494dc.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 110, + 263, + 504, + 392.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 110, + 392.0, + 504, + 521.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 110, + 521.0, + 504, + 650.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 661, + 505, + 695 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 468, + 673 + ], + "score": 1.0, + "content": "Figure 4: Natural Image OOD Detection for Glow. The above plots show the fraction of", + "type": "text" + }, + { + "bbox": [ + 468, + 662, + 480, + 671 + ], + "score": 0.8, + "content": "M .", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 661, + 505, + 673 + ], + "score": 1.0, + "content": "-sized", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 672, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 672, + 505, + 684 + ], + "score": 1.0, + "content": "batches rejected for three Glow models trained on SVHN, CIFAR-10, and ImageNet. The OOD", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 684, + 395, + 696 + ], + "spans": [ + { + "bbox": [ + 106, + 684, + 395, + 696 + ], + "score": 1.0, + "content": "distribution data sets are these three training sets as well as CIFAR-100.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19 + } + ], + "index": 16 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 309, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2020", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "15", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 376, + 159 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 376, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 376, + 95 + ], + "score": 1.0, + "content": "We did not include WAIC because we were not able to replicate", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 377, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 377, + 105 + ], + "score": 1.0, + "content": "the results of Choi et al. 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We", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 376, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 376, + 137 + ], + "score": 1.0, + "content": "attempted to reproduce Choi et al.’s Figure 3, which shows SVHN", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 376, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 376, + 149 + ], + "score": 1.0, + "content": "having lower and more dispersed scores than CIFAR-10. We did", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 376, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 376, + 160 + ], + "score": 1.0, + "content": "not observe this: all SVHN WAIC scores overlap with or are higher", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 159, + 503, + 171 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 503, + 171 + ], + "score": 1.0, + "content": "than CIFAR-10’s, meaning that SVHN can not be distinguished as the OOD set. Two differences", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 171, + 503, + 183 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 503, + 183 + ], + "score": 1.0, + "content": "between our Glow implementation and theirs were that they use Adam (vs RMSprop) and early", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 181, + 401, + 193 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 401, + 193 + ], + "score": 1.0, + "content": "stopping on a validation set. We found neither difference affected results.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 81, + 377, + 160 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 160, + 502, + 192 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 106, + 159, + 503, + 193 + ], + "lines_deleted": true + }, + { + "type": "image", + "bbox": [ + 383, + 73, + 503, + 149 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 383, + 73, + 503, + 149 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 383, + 73, + 503, + 149 + ], + "spans": [ + { + "bbox": [ + 383, + 73, + 503, + 149 + ], + "score": 0.954, + "type": "image", + "image_path": "e7ee42e31e3995f63e1417b04418cd596cb8bdc29340e0cf0b8432ee65a8b445.jpg" + } + ] + } + ], + "index": 10.5, + "virtual_lines": [ + { + "bbox": [ + 383, + 73, + 503, + 111.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 383, + 111.0, + 503, + 149.0 + ], + "spans": [], + "index": 11 + } + ] + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 107, + 206, + 235, + 217 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 236, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 236, + 219 + ], + "score": 1.0, + "content": "E.3 VARYING M FOR GLOW", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "image", + "bbox": [ + 110, + 263, + 504, + 650 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 106, + 226, + 504, + 249 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 364, + 239 + ], + "score": 1.0, + "content": "Figure 4 reports results for our typicality test on Glow, varying", + "type": "text" + }, + { + "bbox": [ + 364, + 227, + 376, + 237 + ], + "score": 0.51, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "from [1, 150]. Table 2’s results", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 237, + 437, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 437, + 250 + ], + "score": 1.0, + "content": "are a subset of these. We also report evaluations using CIFAR-100 as an OOD set.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "image_body", + "bbox": [ + 110, + 263, + 504, + 650 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 110, + 263, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 110, + 263, + 504, + 650 + ], + "score": 0.975, + "type": "image", + "image_path": "51f727bbd866271aba6a9f2ab6d0704c474a835325e64227cb2f5ce44c7494dc.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 110, + 263, + 504, + 392.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 110, + 392.0, + 504, + 521.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 110, + 521.0, + 504, + 650.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 661, + 505, + 695 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 661, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 468, + 673 + ], + "score": 1.0, + "content": "Figure 4: Natural Image OOD Detection for Glow. The above plots show the fraction of", + "type": "text" + }, + { + "bbox": [ + 468, + 662, + 480, + 671 + ], + "score": 0.8, + "content": "M .", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 661, + 505, + 673 + ], + "score": 1.0, + "content": "-sized", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 672, + 505, + 684 + ], + "spans": [ + { + "bbox": [ + 106, + 672, + 505, + 684 + ], + "score": 1.0, + "content": "batches rejected for three Glow models trained on SVHN, CIFAR-10, and ImageNet. 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METHODIN-DIST.M=2 MNISTM=10M=25
NOTMNIST|IN-DIST.MNISTNOTMNISTIN-DIST.MNISTNOTMNIST
Glow Trained on FashionMNIST
Typicality Test0.02±.010.14±.100.08±.040.02±.021.00±.000.69±.110.01±.001.00±.001.00±.00
t-Test0.01±.000.08±.000.06±.000.01±.001.00±.000.67±.010.01±.001.00±.000.99±.00
KS-Test0.00±.000.00±.000.00±.000.01±.001.00±.000.61±.010.00±.001.00±.000.98±.01
Max Mean Dis.0.05±.020.17±.060.04±.030.02±.020.63±.120.37±.240.04±.041.00±.001.00±.00
Kern. Stein Dis.0.05±.050.16±.140.01±.010.01±.010.21±.110.01±.000.02±.030.76±.210.00±.00
Annulus Method0.01±.010.00±.000.96±.030.02±.000.00±.001.00±.000.03±.030.00±.001.00±.00
PixelCNN Trained on FashionMNIST
Typicality Test0.03±.010.56±.130.01±.000.04±.021.00±.000.01±.010.05±.031.00±.000.01±.01
t-Test0.01±.000.23±.000.00±.000.01±.001.00±.000.00±.000.02±.001.00±.000.00±.00
KS-Test0.00±.000.00±.000.00±.000.02±.001.00±.000.00±.000.04±.001.00±.000.01±.00
Max Mean Dis.0.02±.000.05±.010.36±.050.05±.020.27±.061.00±.000.06±.040.59±.101.00±.00
Kern. Stein Dis.0.01±.000.05±.020.08±.030.02±.010.29±.140.61±.200.05±.020.70±.110.99±.01
VAETrained on FashionMNIST
Typicality Test0.03±.010.37±.050.99±.000.04±.020.94±.021.00±.000.04±.030.96±.011.00±.00
t-Test KS-Test0.01±.000.20±.000.99±.000.02±.000.93±.001.00±.000.02±.000.96±.001.00±.00
0.00±.000.00±.000.00±.000.02±.001.00±.001.00±.000.02±.001.00±.001.00±.00
Max Mean Dis. Kern. Stein Dis.0.03±.020.16±.070.73±.010.03±.040.41±.161.00±.00 1.00±.000.01±.010.64±.051.00±.00
0.04±.010.05±.010.74±.000.11±.040.17±.010.06±.040.37±.031.00±.00
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METHODSVHNM=2 CIFAR-10IMAGENETSVHNM=10 CIFAR-10IMAGENET|M=25 CIFAR-10
SVHNIMAGENET
Glow Trained on SVHN
Typicality Test0.01±.000.98±.001.00±.000.00±.001.00±.001.00±.000.02±.001.00±.001.00±.00
t-Test0.00±.000.95±.001.00±.000.04±.001.00±.001.00±.000.03±.001.00±.001.00±.00
KS-Test0.00±.000.00±.000.00±.000.08±.001.00±.001.00±.000.03±.001.00±.001.00±.00
Annulus Method0.02±.010.70±.051.00±.000.02±.011.00±.001.00±.000.00±.001.00±.001.00±.00
Glow Trained on CIFAR-10
Typicality Test0.42±.090.01±.010.64±.041.00±.000.01±.011.00±.001.00±.000.01±.011.00±.00
t-Test0.44±.010.01±.000.65±.001.00±.000.02±.001.00±.001.00±.000.02±.001.00±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.01±.000.98±.001.00±.000.01±.001.00±.00
Annulus Method0.09±.030.02±.000.87±.050.19±.010.03±.001.00±.000.35±.020.04±.001.00±.00
Glow Trained on ImageNet
Typicality Test0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
t-Test0.76±.000.02±.000.01±.001.00±.000.18±.010.01±.001.00±.000.72±.010.01±.00
KS-Test0.00±.000.00±.000.00±.001.00±.000.29±.010.01±.001.00±.000.89±.010.02±.00
Annulus Method0.00±.000.03±.000.02±.010.02±.020.15±.040.02±.000.16±.040.57±.120.02±.00
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METHODIN-DIST.M=2 MNISTNOTMNISTIN-DIST.M=10 MNISTNOTMNISTIN-DIST.M=25 MNISTNOTMNIST
Glow Trained on FashionMNIST
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Typicality Test w/ Samples0.02±.010.44±.170.00±.000.03±.031.00±.000.00±.000.06±.051.00±.000.00±.00
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Glow Trained on ImageNet
Typicality Test w/ Data0.78±.080.02±.010.01±.001.00±.000.20±.060.01±.011.00±.000.74±.050.01±.01
Typicality Test w/ Samples0.29±.080.02±.010.01±.001.00±.000.16±.050.01±.011.00±.000.73±.080.01±.01
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+ ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jordan Alexander † ‡ Stanford University ", + "bbox": [ + 671, + 143, + 818, + 174 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Pieter Abbeel UC Berkeley ", + "bbox": [ + 333, + 194, + 431, + 222 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anca D. Dragan UC Berkeley ", + "bbox": [ + 573, + 194, + 687, + 222 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 260, + 544, + 273 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Reinforcement learning (RL) agents optimize only the features specified in a reward function and are indifferent to anything left out inadvertently. This means that we must not only specify what to do, but also the much larger space of what not to do. It is easy to forget these preferences, since these preferences are already satisfied in our environment. This motivates our key insight: when a robot is deployed in an environment that humans act in, the state of the environment is already optimized for what humans want. We can therefore use this implicit preference information from the state to fill in the blanks. We develop an algorithm based on Maximum Causal Entropy IRL and use it to evaluate the idea in a suite of proof-of-concept environments designed to show its properties. We find that information from the initial state can be used to infer both side effects that should be avoided as well as preferences for how the environment should be organized. Our code can be found at https://github.com/HumanCompatibleAI/rlsp. ", + "bbox": [ + 232, + 292, + 766, + 473 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 506, + 336, + 521 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep reinforcement learning (deep RL) has been shown to succeed at a wide variety of complex tasks given a correctly specified reward function. Unfortunately, for many real-world tasks it can be challenging to specify a reward function that captures human preferences, particularly the preference for avoiding unnecessary side effects while still accomplishing the goal (Amodei et al., 2016). As a result, there has been much recent work (Christiano et al., 2017; Fu et al., 2017; Sadigh et al., 2017) that aims to learn specifications for tasks a robot should perform. ", + "bbox": [ + 174, + 537, + 825, + 622 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Typically when learning about what people want and don’t want, we look to human action as evidence: what reward they specify (Hadfield-Menell et al., 2017), how they perform a task (Ziebart et al., 2010; Fu et al., 2017), what choices they make (Christiano et al., 2017; Sadigh et al., 2017), or how they rate certain options (Daniel et al., 2014). Here, we argue that there is an additional source of information that is potentially rather helpful, but that we have been ignoring thus far: ", + "bbox": [ + 176, + 630, + 825, + 699 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The key insight of this paper is that when a robot is deployed in an environment that humans have been acting in, the state of the environment is already optimized for what humans want. ", + "bbox": [ + 230, + 714, + 766, + 756 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "For example, consider an environment in which a household robot must navigate to a goal location without breaking any vases in its path, illustrated in Figure 1. The human operator, Alice, asks the robot to go to the purple door, forgetting to specify that it should also avoid breaking vases along the way. However, since the robot has been deployed in a state that only contains unbroken vases, it can infer that while acting in the environment (prior to robot’s deployment), Alice was using one of the relatively few policies that do not break vases, and so must have cared about keeping vases intact. ", + "bbox": [ + 174, + 772, + 826, + 854 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/f9aa5b013d6e89cceeedb74ce4122761126fe5629ca0ebfb51a700904a443afc.jpg", + "image_caption": [ + "Figure 1: An illustration of learning preferences from an initial state. Alice attempts to accomplish a goal in an environment with an easily breakable vase in the center. The robot observes the state of the environment, $s _ { 0 }$ , after Alice has acted for some time from an even earlier state $s _ { - T }$ . It considers multiple possible human reward functions, and infers that states where vases are intact usually occur when Alice’s reward penalizes breaking vases. In contrast, it doesn’t matter much what the reward function says about carpets, as we would observe the same final state either way. Note that while we consider a specific $s _ { - T }$ for clarity here, the robot could also reason using a distribution over $s _ { - T }$ . " + ], + "image_footnote": [], + "bbox": [ + 173, + 99, + 823, + 287 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The initial state $s _ { 0 }$ can contain information about arbitrary preferences, including tasks that the robot should actively perform. For example, if the robot observes a basket full of apples near an apple tree, it can reasonably infer that Alice wants to harvest apples. However, $s _ { 0 }$ is particularly useful for inferring which side effects humans care about. Recent approaches avoid unnecessary side effects by penalizing changes from an inaction baseline (Krakovna et al., 2018; Turner, 2018). However, this penalizes all side effects. The inaction baseline is appealing precisely because the initial state has already been optimized for human preferences, and action is more likely to ruin $s _ { 0 }$ than inaction. If our robot infers preferences from $s _ { 0 }$ , it can avoid negative side effects while allowing positive ones. ", + "bbox": [ + 174, + 424, + 825, + 536 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "This work is about highlighting the potential of this observation, and as such makes unrealistic assumptions, such as known dynamics and hand-coded features. Given just $s _ { 0 }$ , these assumptions are necessary: without dynamics, it is hard to tell whether some feature of $s _ { 0 }$ was created by humans or not. Nonetheless, we are optimistic that these assumptions can be relaxed, so that this insight can be used to improve deep RL systems. We suggest some approaches in our discussion. ", + "bbox": [ + 174, + 542, + 825, + 613 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our contributions are threefold. First, we identify the state of the world at initialization as a source of information about human preferences. Second, we leverage this insight to derive an algorithm, Reward Learning by Simulating the Past (RLSP), which infers reward from initial state based on a Maximum Causal Entropy (Ziebart et al., 2010) model of human behavior. Third, we demonstrate the properties and limitations of RLSP on a suite of proof-of-concept environments: we use it to avoid side effects, as well as to learn implicit preferences that require active action. In Figure 1 the robot moves to the purple door without breaking the vase, despite the lack of a penalty for breaking vases. ", + "bbox": [ + 174, + 619, + 825, + 717 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 738, + 341, + 755 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Preference learning. Much recent work has learned preferences from different sources of data, such as demonstrations (Ziebart et al., 2010; Ramachandran and Amir, 2007; Ho and Ermon, 2016; Fu et al., 2017; Finn et al., 2016), comparisons (Christiano et al., 2017; Sadigh et al., 2017; Wirth et al., 2017), ratings (Daniel et al., 2014), human reinforcement signals (Knox and Stone, 2009; Warnell et al., 2017; MacGlashan et al., 2017), proxy rewards (Hadfield-Menell et al., 2017), etc. We suggest preference learning with a new source of data: the state of the environment when the robot is first deployed. It can also be seen as a variant of Maximum Causal Entropy Inverse Reinforcement Learning (Ziebart et al., 2010): while inverse reinforcement learning (IRL) requires demonstrations, or at least state sequences without actions (Edwards et al., 2018; Yu et al., 2018), we learn a reward function from a single state, albeit with the simplifying assumption of known dynamics. This can also be seen as an instance of IRL from summary data (Kangasra¨asi ¨ o and Kaski, 2018). ¨ ", + "bbox": [ + 173, + 770, + 826, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Frame properties. The frame problem in AI (McCarthy and Hayes, 1981) refers to the issue that we must specify what stays the same in addition to what changes. In formal verification, this manifests as a requirement to explicitly specify the many quantities that the program does not change (Andreescu, 2017). Analogously, rewards are likely to specify what to do (the task), but may forget to say what not to do (the frame properties). One of our goals is to infer frame properties automatically. ", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Side effects. An impact penalty can mitigate reward specification problems, since it penalizes unnecessary “large” changes (Armstrong and Levinstein, 2017). We could penalize a reduction in the number of reachable states (Krakovna et al., 2018) or attainable utility (Turner, 2018). However, such approaches will penalize all irreversible effects, including ones that humans want. In contrast, by taking a preference inference approach, we can infer which effects humans care about. ", + "bbox": [ + 174, + 180, + 825, + 251 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Goal states as specifications. Desired behavior in RL can be specified with an explicitly chosen goal state (Kaelbling, 1993; Schaul et al., 2015; Nair et al., 2018; Bahdanau et al., 2018; Andrychowicz et al., 2017). In our setting, the robot observes the initial state $s _ { 0 }$ where it starts acting, which is not explicitly chosen by the designer, but nonetheless contains preference information. ", + "bbox": [ + 174, + 257, + 825, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 PRELIMINARIES ", + "text_level": 1, + "bbox": [ + 176, + 332, + 339, + 348 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A finite-horizon Markov decision process (MDP) is a tuple $\\mathcal { M } = \\langle \\mathcal { S } , \\mathcal { A } , \\mathcal { T } , r , T \\rangle$ , where $s$ is the set of states, $\\mathcal { A }$ is the set of actions, $\\mathcal { T } : \\mathcal { S } \\times \\mathcal { A } \\times \\mathcal { S } \\mapsto [ 0 , 1 ]$ is the transition probability function, $r : S \\mapsto \\mathbb { R }$ is the reward function, and $T \\in \\mathbb { Z } _ { + }$ is the finite planning horizon. We consider MDPs where the reward is linear in features, and does not depend on action: ${ \\bf \\nabla } _ { r ( s ; \\theta ) } = \\theta ^ { T } f ( s )$ , where $\\theta$ are the parameters defining the reward function and $f$ computes features of a given state. ", + "bbox": [ + 173, + 362, + 825, + 433 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Inverse Reinforcement Learning (IRL). In IRL, the aim is to infer the reward function $r$ given an MDP without reward $\\mathcal { M } \\backslash r$ and expert demonstrations $\\mathcal { D } = \\{ \\tau _ { 1 } , . . . , \\tau _ { n } \\}$ , where each $\\tau _ { i } =$ $( s _ { 0 } , a _ { 0 } , . . . , s _ { T } , a _ { T } )$ is a trajectory sampled from the expert policy acting in the MDP. It is assumed that each $\\tau _ { i }$ is feasible, so that $\\mathcal { T } ( s _ { j + 1 } \\mid s _ { j } , a _ { j } ) > 0$ for every $j$ . ", + "bbox": [ + 173, + 439, + 825, + 497 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Maximum Causal Entropy IRL (MCEIRL). As human demonstrations are rarely optimal, Ziebart et al. (2010) models the expert as a Boltzmann-rational agent that maximizes total reward and causal entropy of the policy. This leads to the policy $\\pi _ { t } ( a \\mathbin | \\mathbin { \\bar { \\ s } } , \\theta ) = \\exp ( Q _ { t } ( s , a ; \\theta ) - V _ { t } ( s ; \\theta ) )$ , where $\\begin{array} { r } { V _ { t } ( s ; \\bar { \\theta } ) = \\ln \\bar { \\sum _ { a } } e x p ( Q _ { t } ( s , a ; \\theta ) ) } \\end{array}$ plays the role of a normalizing constant. Intuitively, the expert is assumed to act close to randomly when the difference in expected total reward across the actions is small, but nearly always chooses the best action when it leads to a substantially higher expected return. The soft Bellman backup for the state-action value function $Q$ is the same as usual, and is given by $\\begin{array} { r } { Q _ { t } ( s , a ; \\theta ) = \\theta ^ { T } f ( s ) \\dot { + } \\sum _ { s ^ { \\prime } } \\mathcal { T } ( s ^ { \\prime } \\mid s , a ) V _ { t + 1 } ( s ^ { \\prime } ; \\theta ) } \\end{array}$ . ", + "bbox": [ + 173, + 502, + 825, + 616 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The likelihood of a trajectory $\\tau$ given the reward parameters $\\theta$ is: ", + "bbox": [ + 174, + 621, + 599, + 636 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/7cfc152e4be4fde691180dad1779040f07fabb24064ddc339ba05c0e2d639997.jpg", + "text": "$$\np ( \\tau \\mid \\theta ) = p ( s _ { 0 } ) \\bigg ( \\prod _ { t = 0 } ^ { T - 1 } \\mathcal { T } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } , \\theta ) \\bigg ) \\pi _ { T } ( a _ { T } \\mid s _ { T } , \\theta ) .\n$$", + "text_format": "latex", + "bbox": [ + 267, + 636, + 728, + 679 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "MCEIRL finds the reward parameters $\\theta ^ { * }$ that maximize the log-likelihood of the demonstrations: ", + "bbox": [ + 171, + 686, + 805, + 702 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/a3101ef998c3639a6abc16bbcf006b73699ff84652bdbf8ab86810f262546113.jpg", + "text": "$$\n\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln { p ( \\mathcal { D } \\mid \\theta ) } = \\operatorname * { a r g m a x } _ { \\theta } \\sum _ { i } \\sum _ { t } \\ln { \\pi } _ { t } ( a _ { i , t } \\mid s _ { i , t } , \\theta ) .\n$$", + "text_format": "latex", + "bbox": [ + 284, + 703, + 712, + 736 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "$\\theta ^ { * }$ gives rise to a policy whose feature expectations match those of the expert demonstrations. ", + "bbox": [ + 171, + 736, + 784, + 751 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "4 REWARD LEARNING BY SIMULATING THE PAST ", + "text_level": 1, + "bbox": [ + 174, + 770, + 602, + 786 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We solve the problem of learning the reward function of an expert Alice given a single final state of her trajectory; we refer to this problem as IRL from a single state. Formally, we aim to infer Alice’s reward $\\theta$ given an environment $\\mathcal { M } \\backslash r$ and the last state of the expert’s trajectory $s _ { 0 }$ . ", + "bbox": [ + 174, + 799, + 826, + 843 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Formulation. To adapt MCEIRL to the one state setting we modify the observation model from Equation 1. Since we only have a single end state $s _ { 0 }$ of the trajectory $\\tau _ { 0 } = ( s _ { - T } , a _ { - T } , . . . , s _ { 0 } , a _ { 0 } )$ , we marginalize over all of the other variables in the trajectory: ", + "bbox": [ + 173, + 849, + 825, + 892 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/065b93dcef7e94dc7a9152b0cdf474f1e87717a4c5b648a64ec9ff737f837d86.jpg", + "text": "$$\np ( s _ { 0 } \\mid \\theta ) = \\sum _ { s _ { - T } , a _ { - T } , \\ldots s _ { - 1 } , a _ { - 1 } , a _ { 0 } } p ( \\tau _ { 0 } \\mid \\theta ) ,\n$$", + "text_format": "latex", + "bbox": [ + 357, + 892, + 638, + 928 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $p ( \\tau _ { 0 } \\mid \\theta )$ is given in Equation 1. We could invert this and sample from $p ( \\theta \\mid s _ { 0 } )$ ; the resulting algorithm is presented in Appendix C, but is relatively noisy and slow. We instead find the MLE: ", + "bbox": [ + 169, + 103, + 823, + 132 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/732f1e12c3b704ad20b701bd39fcca06f814b544817a233ea711da5c873530d3.jpg", + "text": "$$\n\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) .\n$$", + "text_format": "latex", + "bbox": [ + 410, + 135, + 588, + 152 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Solution. Similarly to MCEIRL, we use a gradient ascent algorithm to solve the IRL from one state problem. We explain the key steps here and give the full derivation in Appendix B. First, we express the gradient in terms of the gradients of trajectories: ", + "bbox": [ + 174, + 162, + 825, + 205 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/b07403e7291f5719fb786bcc33a1c61247e32b2f7d62d63d35dcf75a80915360.jpg", + "text": "$$\n\\nabla _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) = \\sum _ { \\tau _ { - T ; - 1 } } p ( \\tau _ { - T ; - 1 } \\mid s _ { 0 } , \\theta ) \\nabla _ { \\theta } \\ln p ( \\tau _ { - T ; 0 } \\mid \\theta ) .\n$$", + "text_format": "latex", + "bbox": [ + 295, + 220, + 700, + 257 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "This has a nice interpretation – compute the Maximum Causal Entropy gradients for each trajectory, and then take their weighted sum, where each weight is the probability of the trajectory given the evidence $s _ { 0 }$ and current reward $\\theta$ . We derive the exact gradient for a trajectory instead of the approximate one in Ziebart et al. (2010) in Appendix A and substitute it in to get: ", + "bbox": [ + 173, + 263, + 825, + 320 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/3c3dd560fb7fc26c5273af374de72dbaad050a46607321c932fbb3e972b1df22.jpg", + "text": "$$\n\\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { \\tau _ { - } , \\tau _ { : - 1 } } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - T } ^ { - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) \\right] ,\n$$", + "text_format": "latex", + "bbox": [ + 181, + 342, + 795, + 386 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where we have suppressed the dependence on $\\theta$ for readability. $\\mathcal { F } _ { t } ( s _ { t } )$ denotes the expected features when starting at $s _ { t }$ at time $t$ and acting until time 0 under the policy implied by $\\theta$ . ", + "bbox": [ + 174, + 397, + 823, + 426 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Since we combine gradients from simulated past trajectories, we name our algorithm Reward Learning by Simulating the Past (RLSP). The algorithm computes the gradient using dynamic programming, detailed in Appendix B. We can easily incorporate a prior on $\\theta$ by adding the gradient of the log prior to the gradient in Equation 5. ", + "bbox": [ + 174, + 433, + 825, + 488 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5 EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 508, + 315, + 525 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Evaluation of RLSP is non-trivial. The inferred reward is very likely to assign state $s _ { 0 }$ maximal reward, since it was inferred under the assumption that when Alice optimized the reward she ended up at $s _ { 0 }$ . If the robot then starts in state $s _ { 0 }$ , if a no-op action is available (as it often is), the RLSP reward is likely to incentivize no-ops, which is not very interesting. ", + "bbox": [ + 174, + 539, + 825, + 594 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Ultimately, we hope to use RLSP to correct badly specified instructions or reward functions. So, we created a suite of environments with a true reward $R _ { \\mathrm { t r u e } }$ , a specified reward $R _ { \\mathrm { s p e c } }$ , Alice’s first state $s _ { - T }$ , and the robot’s initial state $s _ { 0 }$ , where $R _ { \\mathrm { s p e c } }$ ignores some aspect(s) of $R _ { \\mathrm { t r u e } }$ . RLSP is used to infer a reward $\\theta _ { \\mathrm { A l i c e } }$ from $s _ { 0 }$ , which is then combined with the specified reward to get a final reward $\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }$ . (We considered another method for combining rewards; see Appendix D for details.) We inspect the inferred reward qualitatively and measure the expected amount of true reward obtained when planning with $\\theta _ { \\mathrm { f i n a l } }$ , as a fraction of the expected true reward from the optimal policy. We tune the hyperparameter $\\lambda$ controlling the tradeoff between $R _ { \\mathrm { s p e c } }$ and the human reward for all algorithms, including baselines. We use a Gaussian prior over the reward parameters. ", + "bbox": [ + 174, + 602, + 825, + 728 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.1 BASELINES", + "text_level": 1, + "bbox": [ + 174, + 743, + 294, + 757 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Specified reward policy $\\pi _ { \\mathbf { s p e c } }$ . We act as if the true reward is exactly the specified reward. ", + "bbox": [ + 173, + 768, + 766, + 785 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Policy that penalizes deviations πdeviation. This baseline minimizes change by penalizing deviations from the observed features $f ( s _ { 0 } )$ , giving $R _ { \\mathrm { f i n a l } } ( s ) = \\theta _ { \\mathrm { s p e c } } ^ { T } f ( s ) + \\lambda \\vert \\vert f ( s ) ^ { } - \\bar { f ( s _ { 0 } ) } \\vert \\vert$ . ", + "bbox": [ + 173, + 790, + 821, + 821 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Relative reachability policy πreachability. Relative reachability (Krakovna et al., 2018) considers a change to be negative when it decreases coverage, relative to what would have happened had the agent done nothing. Here, coverage is a measure of how easily states can be reached from the current state. We compare against the variant of relative reachability that uses undiscounted coverage and a baseline policy where the agent takes no-op actions, as in the original paper. Relative reachability requires known dynamics but not a handcoded featurization. A version of relative reachability that operates in feature space instead of state space would behave similarly. ", + "bbox": [ + 173, + 825, + 825, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "5.2 COMPARISON TO BASELINES", + "text_level": 1, + "bbox": [ + 176, + 103, + 413, + 117 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We compare RLSP to our baselines with the assumption of known $s _ { - T }$ , because it makes it easier to analyze RLSP’s properties. We consider the case of unknown $s _ { - T }$ in Section 5.3. We summarize the results in Table 1, and show the environments and trajectories in Figure 2. ", + "bbox": [ + 174, + 128, + 825, + 172 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/be1e64af6af0d651ba69204daf5c5f4e1adcb4f92b4ff788d19542245e588aa2.jpg", + "table_caption": [ + "Table 1: Performance of algorithms on environments designed to test particular properties. " + ], + "table_footnote": [], + "table_body": "
Side effects RoomEnv effect Toy trainImplicitreward Apple collectionDesirable effect BatteriesUnseen effect Far away vase
Tspec×Easy √Hard
Tdeviation Treachabilityxx/xxx~ ~ 厂xxx √
", + "bbox": [ + 174, + 210, + 823, + 311 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/5bc1b06f0cdfb776a4e0850326a57f20ab09faf9e97b0af2a2156e6de40728b7.jpg", + "image_caption": [ + "Figure 2: Evaluation of RLSP on our environments. Silhouettes indicate the initial position of an object or agent, while filled in version indicate their positions after an agent has acted. The first row depicts the information given to RLSP. The second row shows the trajectory taken by the robot when following the policy $\\pi _ { \\mathrm { s p e c } }$ that is optimal for $\\theta _ { \\mathrm { s p e c } }$ . The third row shows the trajectory taken when following the policy $\\pi _ { \\mathrm { R L S P } }$ that is optimal for $\\dot { \\theta } _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }$ . (a) Side effects: Room with vase (b) Distinguishing environment effects: Toy train (c) Implicit reward: Apple collection (d) Desirable side effect: Batteries (e) “Unseen” side effect: Room with far away vase. " + ], + "image_footnote": [], + "bbox": [ + 173, + 338, + 821, + 731 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Side effects: Room with vase (Figure 2a). The room tests whether the robot can avoid breaking a vase as a side effect of going to the purple door. There are features for the number of broken vases, standing on a carpet, and each door location. Since Alice didn’t walk over the vase, RLSP infers a negative reward on broken vases, and a small positive reward on carpets (since paths to the top door usually involve carpets). So, $\\pi _ { \\mathrm { R L S P } }$ successfully avoids breaking the vase. The penalties also achieve the desired behavior: πdeviation avoids breaking the vase since it would change the “number of broken vases” feature, while relative reachability avoids breaking the vase since doing so would result in all states with intact vases becoming unreachable. ", + "bbox": [ + 174, + 854, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Distinguishing environment effects: Toy train (Figure 2b). To test whether algorithms can distinguish between effects caused by the agent and effects caused by the environment, as suggested in Krakovna et al. (2018), we add a toy train that moves along a predefined track. The train breaks if the agent steps on it. We add a new feature indicating whether the train is broken and new features for each possible train location. As before, the specified reward only has a positive weight on the purple door, while the true reward also penalizes broken trains and vases. ", + "bbox": [ + 174, + 152, + 825, + 236 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "RLSP infers a negative reward on broken vases and broken trains, for the same reason as before. It also infers not to put any weight on any particular train location, even though it changes frequently, because it doesn’t help explain $s _ { 0 }$ . As a result, $\\pi _ { \\mathrm { R L S P } }$ walks over a carpet, but not a vase or a train. πdeviation immediately breaks the train to keep the train location the same. πreachability deduces that breaking the train is irreversible, and so follows the same trajectory as πRLSP. ", + "bbox": [ + 174, + 243, + 825, + 313 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Implicit reward: Apple collection (Figure 2d). This environment tests whether the algorithms can learn tasks implicit in $s _ { 0 }$ . There are three trees that grow apples, as well as a basket for collecting apples, and the goal is for the robot to harvest apples. However, the specified reward is zero: the robot must infer the task from the observed state. We have features for the number of apples in baskets, the number of apples on trees, whether the robot is carrying an apple, and each location that the agent could be in. $s _ { 0 }$ has two apples in the basket, while $s _ { - T }$ has none. ", + "bbox": [ + 174, + 320, + 825, + 404 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "$\\pi _ { \\mathrm { s p e c } }$ is arbitrary since every policy is optimal for the zero reward. πdeviation does nothing, achieving zero reward, since its reward can never be positive. πreachability also does not harvest apples. RLSP infers a positive reward on apples in baskets, a negative reward for apples on trees, and a small positive reward for carrying apples. Despite the spurious weights, $\\pi _ { \\mathrm { R L S P } }$ harvests apples as desired. ", + "bbox": [ + 176, + 410, + 825, + 467 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Desirable side effect: Batteries (Figure $2 c$ ). This environment tests whether the algorithms can tell when a side effect is allowed. We take the toy train environment, remove vases and carpets, and add batteries. The robot can pick up batteries and put them into the (now unbreakable) toy train, but the batteries are never replenished. If the train runs for 10 timesteps without a new battery, it stops operating. There are features for the number of batteries, whether the train is operational, each train location, and each door location. There are two batteries at $s _ { - T }$ but only one at $s _ { 0 }$ . The true reward incentivizes an operational train and being at the purple door. We consider two variants for the task reward – an “easy” case, where the task reward equals the true reward, and a “hard” case, where the task reward only rewards being at the purple door. ", + "bbox": [ + 174, + 473, + 825, + 598 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Unsurprisingly, $\\pi _ { \\mathrm { s p e c } }$ succeeds at the easy case, and fails on the hard case by allowing the train to run out of power. Both πdeviation and πreachability see the action of putting a battery in the train as a side effect to be penalized, and so neither can solve the hard case. They penalize picking up the batteries, and so only solve the easy case if the penalty weight is small. RLSP sees that one battery is gone and that the train is operational, and infers that Alice wants the train to be operational and doesn’t want batteries (since a preference against batteries and a preference for an operational train are nearly indistinguishable). So, it solves both the easy and the hard case, with πRLSP picking up the battery, then staying at the purple door except to deliver the battery to the train. ", + "bbox": [ + 173, + 606, + 825, + 717 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "“Unseen” side effect: Room with far away vase (Figure 2e). This environment demonstrates a limitation of our algorithm: it cannot identify side effects that Alice would never have triggered. In this room, the vase is nowhere close to the shortest path from the Alice’s original position to her goal, but is on the path to the robot’s goal. Since our baselines don’t care about the trajectory the human takes, they all perform as before: $\\pi _ { \\mathrm { s p e c } }$ walks over the vase, while $\\pi _ { \\mathrm { d e v i a t i o n } }$ and πreachability both avoid it. Our method infers a near zero weight on the broken vase feature, since it is not present on any reasonable trajectory to the goal, and so breaks it when moving to the goal. Note that this only applies when Alice is known to be at the bottom left corner at $s _ { - T }$ : if we have a uniform prior over $s _ { - T }$ (considered in Section 5.3) then we do consider trajectories where vases are broken. ", + "bbox": [ + 173, + 723, + 825, + 848 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5.3 COMPARISON BETWEEN KNOWING $s _ { - T }$ VS. A DISTRIBUTION OVER $s _ { - T }$ ", + "text_level": 1, + "bbox": [ + 176, + 869, + 705, + 882 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "So far, we have considered the setting where the robot knows $s _ { - T }$ , since it is easier to analyze what happens. However, typically we will not know $s _ { - T }$ , and will instead have some prior over $s _ { - T }$ . Here, we compare RLSP in two settings: perfect knowledge of $s _ { - T }$ (as in Section 5.2), and a uniform distribution over all states. ", + "bbox": [ + 174, + 895, + 821, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 823, + 131 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Side effects: Room with vase (Figure 2a) and toy train (Figure $2 b$ ). In both room with vase and toy train, RLSP learns a smaller negative reward on broken vases when using a uniform prior. This is because RLSP considers many more feasible trajectories when using a uniform prior, many of which do not give Alice a chance to break the vase, as in Room with far away vase in Section 5.2. In room with vase, the small positive reward on carpets changes to a near-zero negative reward on carpets. With known $s _ { - T }$ , RLSP overfits to the few consistent trajectories, which usually go over carpets, whereas with a uniform prior it considers many more trajectories that often don’t go over carpets, and so it correctly infers a near-zero weight. In toy train, the negative reward on broken trains becomes slightly more negative, while other features remain approximately the same. This may be because when Alice starts out closer to the toy train, she has more of an opportunity to break it, compared to the known $s _ { - T }$ case. ", + "bbox": [ + 174, + 138, + 825, + 291 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Implicit preference: Apple collection (Figure 2d). Here, a uniform prior leads to a smaller positive weight on the number of apples in baskets compared to the case with known $s _ { - T }$ . Intuitively, this is because RLSP is considering cases where $s _ { - T }$ already has one or two apples in the basket, which implies that Alice has collected fewer apples and so must have been less interested in them. States where the basket starts with three or more apples are inconsistent with the observed $s _ { 0 }$ and so are not considered. Following the inferred reward still leads to good apple harvesting behavior. ", + "bbox": [ + 174, + 299, + 825, + 382 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Desirable side effects: Batteries (Figure $2 c$ ). With the uniform prior, we see the same behavior as in Apple collection, where RLSP with a uniform prior learns a slightly smaller negative reward on the batteries, since it considers states $s _ { - T }$ where the battery was already gone. In addition, due to the particular setup the battery must have been given to the train two timesteps prior, which means that in any state where the train started with very little charge, it was allowed to die even though a battery could have been provided before, leading to a near-zero positive weight on the train losing charge. Despite this, RLSP successfully delivers the battery to the train in both easy and hard cases. ", + "bbox": [ + 174, + 388, + 825, + 487 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "“Unseen” side effect: Room with far away vase (Figure 2e). With a uniform prior, we “see” the side effect: if Alice started at the purple door, then the shortest trajectory to the black door would break a vase. As a result, πRLSP successfully avoids the vase (whereas it previously did not). Here, uncertainty over the initial state $s _ { - T }$ can counterintuitively improve the results, because it increases the diversity of trajectories considered, which prevents RLSP from “overfitting” to the few trajectories consistent with a known $s _ { - T }$ and $s _ { 0 }$ . ", + "bbox": [ + 173, + 493, + 825, + 577 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Overall, RLSP is quite robust to the use of a uniform prior over $s _ { - T }$ , suggesting that we do not need to be particularly careful in the design of that prior. ", + "bbox": [ + 174, + 584, + 823, + 613 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.4 ROBUSTNESS TO THE CHOICE OF ALICE’S PLANNING HORIZON ", + "text_level": 1, + "bbox": [ + 176, + 632, + 650, + 646 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We investigate how RLSP performs when assuming the wrong value of Alice’s planning horizon $T$ . We vary the value of $T$ assumed by RLSP, and report the true return achieved by $\\pi _ { \\mathrm { R L S P } }$ obtained using the inferred reward and a fixed horizon for the robot to act. For this experiment, we used a uniform prior over $s _ { - T }$ , since with known $s _ { - T }$ , RLSP often detects that the given $s _ { - T }$ and $s _ { 0 }$ are incompatible (when $T$ is misspecified). The results are presented in Figure 3. ", + "bbox": [ + 173, + 659, + 821, + 728 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The performance worsens when RLSP assumes that Alice had a smaller planning horizon than she actually had. Intuitively, if we assume that Alice has only taken one or two actions ever, then even if we knew the actions they could have been in service of many goals, and so we end up quite uncertain about Alice’s reward. ", + "bbox": [ + 174, + 736, + 611, + 805 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "When the assumed $T$ is larger than the true horizon, RLSP correctly infers things the robot should not do. Knowing that the vase was not broken for longer than $T$ timesteps is more evidence to suspect that Alice cared about not breaking the vase. However, overestimated $T$ leads to worse performance at inferring implicit preferences, as in the Apples environment. If we assume Alice has only collected two apples in 100 timesteps, she must not have cared about them much, since she could have collected many more. The batteries environment is unusual – assuming that Alice has been acting for 100 timesteps, the only explanation for the observed $s _ { 0 }$ is that Alice waited until the $9 8 \\mathrm { t h }$ timestep to put the battery into the train. This is not particularly consistent with any reward function, and performance degrades. ", + "bbox": [ + 174, + 813, + 611, + 924 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/6b3a606294f2021c91c945d45ed1bd8c8aa90d0b1c89de72e8a4bf50375e9ceb.jpg", + "image_caption": [ + "Figure 3: Reward achieved by $\\pi _ { \\mathrm { R L S P } }$ , as a fraction of the expected reward of the optimal policy, for different values of Alice’s planning horizon $T$ . " + ], + "image_footnote": [], + "bbox": [ + 622, + 752, + 823, + 843 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Overall, $T$ is an important parameter and needs to be set appropriately. However, even when $T$ is misspecified, performance degrades gracefully to what would have happened if we optimized $\\theta _ { \\mathrm { s p e c } }$ by itself, so RLSP does not hurt. In addition, if $T$ is larger than it should be, then RLSP still tends to accurately infer parts of the reward that specify what not to do. ", + "bbox": [ + 174, + 152, + 825, + 208 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6 LIMITATIONS AND FUTURE WORK ", + "text_level": 1, + "bbox": [ + 176, + 231, + 485, + 246 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Summary. Our key insight is that when a robot is deployed, the state that it observes has already been optimized to satisfy human preferences. This explains our preference for a policy that generally avoids side effects. We formalized this by assuming that Alice has been acting in the environment prior to the robot’s deployment. We developed an algorithm, RLSP, that computes a MAP estimate of Alice’s reward function. The robot then acts according to a tradeoff between Alice’s reward function and the specified reward function. Our evaluation showed that information from the initial state can be used to successfully infer side effects to avoid as well as tasks to complete, though there are cases in which we cannot infer the relevant preferences. While we believe this is an important step forward, there is still much work to be done to make this accurate and practical. ", + "bbox": [ + 174, + 262, + 825, + 387 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Realistic environments. The primary avenue for future work is to scale to realistic environments, where we cannot enumerate states, we don’t know dynamics, and the reward function may be nonlinear. This could be done by adapting existing IRL algorithms (Fu et al., 2017; Ho and Ermon, 2016; Finn et al., 2016). Unknown dynamics is particularly challenging, since we cannot learn dynamics from a single state observation. While acting in the environment, we would have to learn a dynamics model or an inverse dynamics model that can be used to simulate the past, and update the learned preferences as our model improves over time. Alternatively, if we use unsupervised skill learning (Achiam et al., 2018; Eysenbach et al., 2018; Nair et al., 2018) or exploration (Burda et al., 2018), or learn a goal-conditioned policy (Schaul et al., 2015; Andrychowicz et al., 2017), we could compare the explored states with the observed $s _ { 0 }$ . ", + "bbox": [ + 174, + 395, + 825, + 534 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Hyperparameter choice. While our evaluation showed that RLSP is reasonably robust to the choice of planning horizon $T$ and prior over $s _ { - T }$ , this may be specific to our gridworlds. In the real world, we often make long term hierarchical plans, and if we don’t observe the entire plan (corresponding to a choice of $\\mathrm { T }$ that is too small) it seems possible that we infer bad rewards, especially if we have an uninformative prior over $s _ { - T }$ . We do not know whether this will be a problem, and if so how bad it will be, and hope to investigate it in future work with more realistic environments. ", + "bbox": [ + 174, + 541, + 825, + 625 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Conflicts between $\\theta _ { \\mathbf { s p e c } }$ and $\\theta _ { \\mathbf { A l i c e } }$ . RLSP allows us to infer $\\theta _ { \\mathrm { A l i c e } }$ from $s _ { 0 }$ , which we must somehow combine with $\\theta _ { \\mathrm { s p e c } }$ to produce a reward $\\theta _ { \\mathrm { f i n a l } }$ for the robot to optimize. $\\theta _ { \\mathrm { A l i c e } }$ will usually prefer the status quo of keeping the state similar to $s _ { 0 }$ , while $\\theta _ { \\mathrm { s p e c } }$ will probably incentivize some change to the state, leading to conflict. We traded off between the two by optimizing their sum, but future work could improve upon this. For example, $\\theta _ { \\mathrm { A l i c e } }$ could be decomposed into $\\theta _ { \\mathrm { A l i c e , t a s k } }$ , which says which task Alice is performing (“go to the black door”), and $\\theta _ { \\mathrm { f r a m e } }$ , which consists of the frame conditions (“don’t break vases”). The robot then optimizes $\\theta _ { \\mathrm { f r a m e } } + \\lambda \\theta _ { \\mathrm { s p e c } }$ . This requires some way of performing the decomposition. We could model the human as pursuing multiple different subgoals, or the environment as being created by multiple humans with different goals. $\\theta _ { \\mathrm { f r a m e } }$ would be shared, while $\\theta _ { \\mathrm { t a s k } }$ would vary, allowing us to distinguish between them. However, combination may not be the answer – instead, perhaps the robot ought to use the inferred reward to inform Alice of any conflicts and actively query her for more information, along the lines of Amin et al. (2017). ", + "bbox": [ + 174, + 631, + 825, + 797 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Learning tasks to perform. The apples and batteries environments demonstrate that RLSP can learn preferences that require the robot to actively perform a task. It is not clear that this is desirable, since the robot may perform an inferred task instead of the task Alice explicitly sets for it. ", + "bbox": [ + 176, + 805, + 820, + 847 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Preferences that are not a result of human optimization. While the initial state is optimized for human preferences, this may not be a result of human optimization, as assumed in this paper. For example, we prefer that the atmosphere contain oxygen for us to breathe. The atmosphere meets this preference in spite of human action, and so RLSP would not infer this preference. While this is of limited relevance for household robots, it may become important for more capable AI systems. ", + "bbox": [ + 174, + 854, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 104, + 326, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We thank the researchers at the Center for Human Compatible AI for valuable feedback. 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Given a trajectory $\\tau _ { T } = s _ { 0 } a _ { 0 } \\ldots s _ { T } a _ { T }$ , we seek the gradient $\\nabla _ { \\boldsymbol { \\theta } } \\ln { p ( \\tau _ { T } ) }$ . We assume that the expert has been acting according to the maximum causal entropy IRL model given in Section 3 (where we have dropped $\\theta$ from the notation for clarity): ", + "bbox": [ + 173, + 133, + 826, + 205 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/171ffd2c296ae745db7aae83fca20f88e2a3d40f94f2de1e407495a50b74767e.jpg", + "text": "$$\n\\begin{array} { r l r } & { \\displaystyle \\pi _ { t } ( a \\mid s ) = \\exp ( Q _ { t } ( s , a ) - V _ { t } ( s ) ) , } & \\\\ & { \\displaystyle V _ { t } ( s ) = \\ln \\sum _ { a } \\exp ( Q _ { t } ( s , a ) ) } & { \\qquad \\mathrm { f o r ~ } 1 \\leq t \\leq T , } \\\\ & { \\displaystyle Q _ { t } ( s , a ) = \\theta ^ { T } f ( s ) + \\sum _ { s ^ { \\prime } } \\mathcal { T } ( s ^ { \\prime } \\mid s , a ) V _ { t + 1 } ( s ^ { \\prime } ) } & { \\qquad \\mathrm { f o r ~ } 1 \\leq t \\leq T , } \\\\ & { \\displaystyle V _ { T + 1 } ( s ) = 0 . } & \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 254, + 233, + 745, + 343 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "In the following, unless otherwise specified, all expectations over states and actions use the probability distribution over trajectories from the above model, starting from the state and action just prior. For example, Es0T ,a0T [X (s0T , a0T )] = Ps0 ,a0 $\\begin{array} { r } { \\mathbb { E } _ { s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } } \\left[ \\bar { X } ( s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } ) \\right] = \\sum _ { s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } } \\mathcal { T } ( s _ { T } ^ { \\prime } \\mid s _ { T - 1 } , a _ { T - 1 } ) \\pi _ { T } ( a _ { T } ^ { \\prime } \\mid s _ { T } ^ { \\prime } ) X ( s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } ) } \\end{array}$ . In addition, for all probability distributions over states and actions, we drop the dependence on $\\theta$ for readability, so the probability of reaching state $s _ { T }$ is written as $p ( { \\boldsymbol { s } } _ { T } )$ instead of $p ( s _ { T } \\mid \\theta )$ . ", + "bbox": [ + 173, + 356, + 826, + 431 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "First, we compute the gradient of $V _ { t } ( s )$ . We have $\\nabla _ { \\boldsymbol { \\theta } } V _ { T + 1 } ( s ) = 0$ , and for $0 \\leq t \\leq T$ ", + "bbox": [ + 173, + 435, + 740, + 452 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/dfcd39e852cf3bb36fdbfa7de70c630171d81b0f91bbf2d989849d62cc85d185.jpg", + "text": "$$\n\\begin{array} { r l } & { \\nabla _ { \\theta } V _ { \\lfloor \\epsilon ( s ) \\rfloor } } \\\\ & = \\nabla _ { \\theta } \\log \\Big [ \\operatorname* { m i n } _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } _ { \\epsilon ^ { \\prime } } ( \\epsilon _ { s } , a _ { \\epsilon } ^ { \\prime } ) \\big \\} } \\\\ & { \\quad \\times _ { \\epsilon ^ { \\prime } } ^ { \\epsilon ^ { \\prime } } } \\\\ & { = \\frac { 1 } { \\exp { [ ( V _ { \\epsilon } ( s _ { \\epsilon } ) ) ] } } \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\in \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) } } \\\\ & { = \\frac { 1 } { \\exp { [ ( V _ { \\epsilon } ( s _ { \\epsilon } ) ) ] } } \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\in \\mathcal { V } _ { \\epsilon } } \\Big [ \\theta ^ { T } \\int ( s _ { \\epsilon } ) + \\mathbb { E } _ { s _ { \\epsilon } ^ { \\prime } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } ( \\epsilon ^ { \\prime } \\cup s , a _ { \\epsilon } ^ { \\prime } ) } \\left[ V _ { \\epsilon + 1 } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\right] \\Big ] } \\\\ & = \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\sim \\mathcal { V } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) \\in \\mathcal { F } _ { \\epsilon } ( s _ { \\epsilon } ) \\sim \\mathbb { V } _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\sim \\mathcal { V } ( \\epsilon | a _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) \\left[ V _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) - V _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\right] } \\\\ & = \\sum _ \\epsilon ^ { \\prime } \\in \\mathcal { F } ( a _ { \\epsilon } ^ { \\prime } \\mid s _ { \\epsilon } ) \\in \\mathcal { F } _ { \\epsilon } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } _ { \\epsilon } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } _ \\epsilon \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 223, + 479, + 776, + 722 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Unrolling the recursion, we get that the gradient is the expected feature counts under the policy implied by $\\theta$ from $s _ { t }$ onwards, which we could prove using induction. Define: ", + "bbox": [ + 174, + 734, + 825, + 763 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/2d6bd3c9c6a66b7a81143eda11e917cc400ce526d656211d95bc61400f05cbf1.jpg", + "text": "$$\n\\mathcal { F } _ { t } ( s _ { t } ) \\equiv f ( s _ { t } ) + \\mathbb { E } _ { a _ { t : T - 1 } ^ { \\prime } , s _ { t + 1 : T } ^ { \\prime } } \\left[ \\sum _ { t ^ { \\prime } = t + 1 } ^ { T } f ( s _ { t ^ { \\prime } } ^ { \\prime } ) \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 334, + 782, + 663, + 827 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Then we have: ", + "bbox": [ + 173, + 840, + 271, + 854 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/9ea3a772b0a836d4c47704eae4e4a1e0a38aa3127ae5ee68f1bc8471a66ee063.jpg", + "text": "$$\n\\nabla _ { \\boldsymbol { \\theta } } V _ { t } ( s _ { t } ) = \\mathcal { F } _ { t } ( s _ { t } ) .\n$$", + "text_format": "latex", + "bbox": [ + 431, + 878, + 566, + 895 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We can now calculate the gradient we actually care about: ", + "bbox": [ + 173, + 909, + 553, + 924 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/6f2893fe1ef5f1e808ba5ef6fa85afc0329cd6753f6ae5f024b6858bfaeab379.jpg", + "text": "$$\n\\begin{array} { l } { { \\nabla _ { 0 } \\ln p ( \\hat { \\rho } _ { T } ) } } \\\\ { { { } } } \\\\ { { \\displaystyle = \\nabla _ { \\theta } \\left[ \\ln p ( s _ { 0 } ) + \\sum _ { k = 0 } ^ { T } \\ln \\pi ( i \\alpha _ { k } \\mid s _ { k } ) + \\sum _ { t = 0 } ^ { T - 1 } \\ln \\pi ( s _ { t + 1 } \\mid s _ { k } , \\alpha _ { k } ) \\right] } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\ln \\pi _ { \\ell } ( \\alpha _ { \\ell } \\mid s _ { \\ell } ) } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ Q _ { \\ell } ( s _ { \\ell } , \\alpha _ { \\ell } ) - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ \\theta ^ { \\ell } J ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell + 1 } } \\left[ \\mathbb { V } _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\left( f ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell - 1 } } \\left[ \\nabla _ { \\theta } V _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - \\nabla _ { \\theta } V _ { \\ell } ( s _ { \\ell } ) \\right) . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 204, + 121, + 620, + 362 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "only $\\pi _ { t }$ depends on $\\theta$ ", + "bbox": [ + 650, + 199, + 794, + 214 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The last term of the summation is $f ( s _ { T } ) + \\mathbb { E } _ { s _ { T + 1 } ^ { \\prime } } \\left[ \\nabla _ { \\theta } V _ { T + 1 } ( s _ { T + 1 } ^ { \\prime } ) \\right] - \\nabla _ { \\theta } V _ { T } ( s _ { T } )$ , which simplifies to $f ( s _ { T } ) + 0 - \\mathcal { F } _ { T } ( s _ { T } ) = f ( s _ { T } ) - f ( s _ { T } ) = { \\bar { 0 } }$ , so we can drop it. Thus, our gradient is: ", + "bbox": [ + 173, + 369, + 825, + 405 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/24efddef4ab9f4e8740ecc947e7d55a71ade700f47ff74d384e40ae4d291026d.jpg", + "text": "$$\n\\nabla _ { \\theta } \\ln p ( \\tau _ { T } ) = \\sum _ { t = 0 } ^ { T - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 294, + 420, + 702, + 463 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "This is the gradient we will use in Appendix $\\mathbf { B }$ , but a little more manipulation allows us to compare with the gradient in Ziebart et al. (2010). We reintroduce the terms that we cancelled above: ", + "bbox": [ + 173, + 470, + 823, + 501 + ], + "page_idx": 11 + }, + { + "type": "equation", + "img_path": "images/6d4f57dc6225f25fd837e64abbd9f1b358a7c0ed880a350251c1d3d34b2bcdd8.jpg", + "text": "$$\n\\begin{array} { r l } & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) + \\left( \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] \\right) - \\left( \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) } \\\\ & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\left( \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 235, + 542, + 767, + 632 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Ziebart et al. (2010) states that the gradient is given by the expert policy feature expectations minus the learned policy feature expectations, and in practice uses the feature expectations from demonstrations to approximate the expert policy feature expectations. Assuming we have $N$ trajectories $\\{ \\tau _ { i } \\}$ , the gradient would be $\\begin{array} { r } { \\Big ( \\frac { 1 } { N } \\sum _ { i } \\sum _ { t = 0 } ^ { T } f ( s _ { t , i } ) \\Big ) - \\mathbb { E } _ { s _ { 0 } } \\left[ \\mathscr { F } _ { 0 } ( s _ { 0 } ) \\right] } \\end{array}$ . The first term matches our first term exactly. Our second term matches the second term in the limit of sufficiently many trajectories, so that the starting states $s _ { 0 }$ follow the distribution $p ( s _ { 0 } )$ . Our third term converges to zero with sufficiently many trajectories, since any $s _ { t } , a _ { t }$ pair in a demonstration will be present sufficiently often that the empirical counts of $s _ { t + 1 }$ will match the expected proportions prescribed by $\\mathcal { T } ( \\cdot \\mid s _ { t } , \\mathbf { \\bar { \\alpha } } { a } _ { t } )$ . ", + "bbox": [ + 173, + 640, + 826, + 762 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "In a deterministic environment, we have $\\begin{array} { r } { \\mathcal { T } ( s _ { t + 1 } ^ { \\prime } \\mid s _ { t } , a _ { t } ) = 1 [ s _ { t + 1 } ^ { \\prime } = s _ { t + 1 } ] } \\end{array}$ since only one transition is possible. Thus, the third term is zero and even for one trajectory the gradient reduces to $\\begin{array} { r l } { { ( \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) ) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) } } & { { } } \\end{array}$ . This differs from the gradient in Ziebart et al. (2010) only in that it computes feature expectations from the observed starting state $s _ { 0 }$ instead of the MDP distribution over initial states $p ( s _ { 0 } )$ . ", + "bbox": [ + 173, + 767, + 826, + 848 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "In a stochastic environment, the third term need not be zero, and corrects for the “bias” in the observed states $s _ { t + 1 }$ . Intuitively, when the expert chose action $a _ { t }$ , she did not know which next state $s _ { t + 1 } ^ { \\prime }$ would arise, but the first term of our gradient upweights the particular next state $s _ { t + 1 }$ that we observed. The third term downweights the future value of the observed state and upweights the future value of all other states, all in proportion to their prior probability $\\mathcal { T } ( s _ { t + 1 } ^ { \\prime } \\mid s _ { t } , \\bar { a _ { t } } )$ . ", + "bbox": [ + 174, + 853, + 825, + 925 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B ", + "text_level": 1, + "bbox": [ + 174, + 102, + 191, + 117 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "This section provides a derivation of the gradient $\\nabla _ { \\theta } \\ln p ( s _ { 0 } )$ , which is needed to solve argmax ${ } _ { \\theta } \\ln p ( s _ { 0 } )$ with gradient ascent. We provide the results first as a quick reference: ", + "bbox": [ + 174, + 132, + 825, + 162 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/c72bb0877bac0399b44b476207d4fd926186833a5a37cd936e497c8368ca6a14.jpg", + "text": "$$\n\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { G _ { 0 } ( s _ { 0 } ) } { p ( s _ { 0 } ) } , } \\\\ & { \\qquad p ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } p ( s _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) , } \\\\ & { G _ { t + 1 } ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) \\bigg ( p ( s _ { t } ) g ( s _ { t } , a _ { t } ) + G _ { t } ( s _ { t } ) \\bigg ) , } \\\\ & { \\qquad g ( s _ { t } , a _ { t } ) = f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ { \\mathcal { F } } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - { \\mathcal { F } } _ { t } ( s _ { t } ) , } \\\\ & { { \\mathcal { F } } _ { t - 1 } ( s _ { t - 1 } ) = f ( s _ { t - 1 } ) + \\displaystyle \\sum _ { a _ { t - 1 } ^ { \\prime } , s _ { t } ^ { \\prime } } { \\pi } _ { t - 1 } ( a _ { t - 1 } ^ { \\prime } \\mid s _ { t - 1 } ) { \\mathcal { T } } ( s _ { t } ^ { \\prime } \\mid s _ { t - 1 } , a _ { t - 1 } ^ { \\prime } ) { \\mathcal { F } } _ { t } ( s _ { t } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 241, + 180, + 754, + 353 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Base cases: first, $p ( s _ { - T } )$ is given, second, $G _ { - T } ( s _ { - T } ) = 0$ , and third, $\\mathcal { F } _ { 0 } ( s _ { 0 } ) = f ( s _ { 0 } )$ . ", + "bbox": [ + 171, + 363, + 743, + 380 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "For the derivation, we start by expressing the gradient in terms of gradients of trajectories, so that we can use the result from Appendix A. Note that, by inspecting the final form of the gradient in Appendix A, we can see that $\\nabla _ { \\theta } p \\big ( \\tau _ { - T : 0 } \\big )$ is independent of $a _ { 0 }$ . Then, we have: ", + "bbox": [ + 174, + 385, + 825, + 428 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/ad7656d9641eed156426649166c0ea1c1f8c96afd3be96f4e9d6d7c89d702e7f.jpg", + "text": "$$\n\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\nabla _ { \\theta } p ( s _ { 0 } ) } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 207, + 446, + 789, + 641 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "This has a nice interpretation – compute the gradient for each trajectory and take the weighted sum, where each weight is the probability of the trajectory given the evidence $s _ { 0 }$ and current reward $\\theta$ . ", + "bbox": [ + 173, + 650, + 825, + 680 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We can rewrite the gradient in Equation 6 as $\\begin{array} { r } { \\nabla _ { \\theta } \\ln p ( \\tau _ { T } ) = \\sum _ { t = 0 } ^ { T - 1 } g ( s _ { t } , a _ { t } ) } \\end{array}$ , where ", + "bbox": [ + 174, + 685, + 720, + 705 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/dfd2793f717d1542e77b699b43ae3a7115f1e487d7050c1060d7a73fded104d5.jpg", + "text": "$$\n\\begin{array} { r } { g ( s _ { t } , a _ { t } ) \\equiv f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 331, + 720, + 666, + 742 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We can now substitute this to get: ", + "bbox": [ + 173, + 750, + 395, + 765 + ], + "page_idx": 12 + }, + { + "type": "equation", + "img_path": "images/17526b98ad6cb7baa5e553cb06f9449b4d1ef4f21bb35834b259940f24a2add6.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\sum _ { s - { T } : - 1 , a - { T } : - 1 } p ( \\tau _ { - T : - 1 } \\mid s _ { 0 } ) \\left( \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right) } \\\\ { = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { s - { T } : - 1 , a - { T } : - 1 } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right] } \\\\ { = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { s - { T } : - 1 , a - { T } : - 1 } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right] . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 274, + 785, + 723, + 922 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Note that we can compute $p ( s _ { t } )$ since we are given the distribution $p ( s _ { - T } )$ and we can use the recursive rule $\\begin{array} { r } { p ( s _ { t + 1 } ) = \\sum _ { s _ { t } , a _ { t } } p ( s _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) \\mathcal { T } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) } \\end{array}$ . ", + "bbox": [ + 171, + 103, + 825, + 135 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In order to compute $g ( s _ { t } , a _ { t } )$ we need to compute $\\mathcal { F } _ { t } ( s _ { t } )$ , which has base case $\\mathcal { F } _ { 0 } ( s _ { 0 } ) = f ( s _ { 0 } )$ and recursive rule: ", + "bbox": [ + 171, + 140, + 825, + 170 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/a4c088d7d3588a8438f60e509fbe0b5173a964e8badf41dbdf8d8287a491742b.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { F } _ { t - 1 } \\big ( s _ { t - 1 } \\big ) } \\\\ & { = f ( s _ { t - 1 } ) + \\mathbb { E } _ { a _ { t - 1 : 1 } ^ { \\prime } , s _ { t } ^ { \\prime } , 0 } \\left[ \\underset { t ^ { \\prime } = t } { \\overset { 0 } { \\sum } } f \\big ( s _ { t ^ { \\prime } } ^ { \\prime } \\big ) \\right] } \\\\ & { = f ( s _ { t - 1 } ) + \\underset { a _ { t - 1 } ^ { \\prime } , s _ { t } ^ { \\prime } } { \\sum } \\pi _ { t - 1 } \\big ( a _ { t - 1 } ^ { \\prime } \\mid s _ { t - 1 } \\big ) \\mathcal { T } \\big ( s _ { t } ^ { \\prime } \\mid s _ { t - 1 } , a _ { t - 1 } ^ { \\prime } \\big ) \\left[ f \\big ( s _ { t } ^ { \\prime } \\big ) + \\mathbb { E } _ { a _ { t - 1 } ^ { \\prime } , s _ { t + 1 : 0 } ^ { \\prime } } \\left[ \\underset { t ^ { \\prime } = t + 1 } { \\overset { 0 } { \\sum } } f \\big ( s _ { t ^ { \\prime } } ^ { \\prime } \\big ) \\right] \\right] } \\\\ & { = f ( s _ { t - 1 } ) + \\underset { a _ { t - 1 } ^ { \\prime } , s _ { t } ^ { \\prime } } { \\sum } \\pi _ { t - 1 } \\big ( a _ { t - 1 } ^ { \\prime } \\mid s _ { t - 1 } \\big ) \\mathcal { T } \\big ( s _ { t } ^ { \\prime } \\mid s _ { t - 1 } , a _ { t - 1 } ^ { \\prime } \\big ) \\mathcal { F } _ { t } \\big ( s _ { t } \\big ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 195, + 823, + 348 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "For the remaining part of the gradient, define $G _ { t }$ such that $\\begin{array} { r } { \\nabla _ { \\theta } \\ln { p ( s _ { 0 } ) } = \\frac { G _ { 0 } ( s _ { 0 } ) } { p ( s _ { 0 } ) } } \\end{array}$ : ", + "bbox": [ + 171, + 361, + 704, + 383 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/2e3a0ee20f1b9449a6086411325b891fe6927d2920c9c4c2c57160325a9d7e03.jpg", + "text": "$$\nG _ { t } ( s _ { t } ) \\equiv \\sum _ { s _ { - T : t - 1 } , a _ { - T : t - 1 } } \\left[ p ( \\tau _ { - T : t - 1 } , s _ { t } ) \\sum _ { t ^ { \\prime } = - T } ^ { t - 1 } g ( s _ { t ^ { \\prime } } , a _ { t ^ { \\prime } } ) \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 297, + 395, + 697, + 440 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We now derive a recursive relation for $G$ : ", + "bbox": [ + 173, + 450, + 446, + 465 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/6f4d30a87fd9289a403ee7032f5b529263959133dd0c3798074ab72024de0415.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { G } _ { + + } [ s _ { + + } ] } \\\\ & { = \\displaystyle \\sum _ { s = - \\infty } \\Bigg [ p ( \\sigma _ { - 2 : s } , s _ { + + } ) \\sum _ { \\psi = - \\infty } ^ { s } g ( s _ { \\psi } , \\sigma _ { \\psi } ) } \\\\ & { \\quad - \\sum _ { s = \\infty } ^ { s } \\gamma _ { s } \\left[ \\mathcal { F } _ { - \\mathcal { R } _ { + + } } ^ { \\prime } , s _ { + + } ) \\sum _ { \\psi = - \\infty } ^ { s } ( s _ { \\psi } , \\sigma _ { \\psi } ) g ( s _ { \\psi } , \\sigma _ { \\psi } ) \\right] } \\\\ & { = \\displaystyle \\sum _ { s \\neq \\infty } \\sum _ { s \\neq \\infty } \\sum _ { s = - \\infty + \\infty - 1 } \\mathcal { F } _ { \\left( s _ { \\psi + + + } \\right. } [ s _ { s _ { \\psi } , \\sigma _ { \\psi } } ] s _ { \\psi } [ \\sigma _ { \\psi } , | s _ { \\psi } | ) ( \\sigma _ { \\psi } - \\mathbb { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal { R } _ { - \\mathcal } { R _ - \\mathcal { R } _ { - \\mathcal } { R _ } } } } } } } } } } } ) } \\Bigg ( g ( s _ { \\psi } , u _ { s } , u _ { s + + } ) + \\displaystyle \\sum _ { s = - \\infty } ^ { - 1 } g ( s _ { \\psi } , \\pi _ { \\psi } ) \\\\ & { = \\displaystyle \\sum _ { s = \\infty } \\Bigg [ \\mathcal { T } _ { \\left( s _ { + + } \\right. } [ s _ { + } , \\sigma _ { s } ] ) \\pi _ { \\mathfrak { c } _ { \\psi } } ( \\sigma _ { \\psi } ) \\left( s _ { \\psi } \\right) \\left( \\displaystyle \\sum _ { s = - \\infty + \\infty - \\infty + \\infty } p ( \\sigma _ { - 2 : s _ { - } \\{ s _ { - } \\} , s _ { \\psi } } ) \\right) g ( s _ { \\psi } , \\sigma _ { \\psi } ) \\Bigg ] } \\\\ & \\quad + \\displaystyle \\sum _ { s = \\infty } \\Bigg [ \\mathcal { T } _ { \\left( s _ { + } \\right. } [ s _ { + } , \\sigma _ { s } ] ) \\pi _ { \\mathfrak { c } _ { \\psi } } ( \\sigma _ { \\psi } ) \\underset { s = \\pm \\infty } { \\sum _ { s = - \\infty } ^ { s } } \\ \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 171, + 491, + 816, + 744 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "For the base case, note that ", + "bbox": [ + 173, + 757, + 352, + 772 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/7f6df65495336089252b4e1138f709e86d3a9f3552c837986eee795e21c94d60.jpg", + "text": "$$\n\\begin{array} { l } { \\tilde { \\mathfrak { r } } _ { - T + 1 } \\big ( \\mathfrak { s } _ { - T + 1 } \\big ) = \\displaystyle \\sum _ { \\substack { s _ { - T } , a _ { - T } } } \\left[ p \\big ( \\mathfrak { s } _ { - T } , a _ { - T } , \\mathfrak { s } _ { - T + 1 } \\big ) g \\big ( \\mathfrak { s } _ { - T } , a _ { - T } , \\mathfrak { s } _ { - T + 1 } \\big ) \\right] } \\\\ { = \\displaystyle \\sum _ { \\substack { s _ { - T } , a _ { - T } } } \\mathcal { T } \\big ( \\mathfrak { s } _ { - T + 1 } \\mid \\mathfrak { s } _ { - T } , a _ { - T } \\big ) \\pi _ { - T } \\big ( a _ { - T } \\mid \\mathfrak { s } _ { - T } \\big ) \\bigg ( p \\big ( \\mathfrak { s } _ { - T } \\big ) g \\big ( \\mathfrak { s } _ { - T } , a _ { - T } , \\mathfrak { s } _ { - T + 1 } \\big ) \\bigg ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 777, + 836, + 856 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Comparing this to the recursive rule, for the base case we can set $G _ { - T } ( s _ { - T } ) = 0$ . ", + "bbox": [ + 171, + 868, + 710, + 885 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "C ", + "text_level": 1, + "bbox": [ + 173, + 102, + 191, + 116 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Instead of estimating the MLE (or MAP if we have a prior) using RLSP, we could approximate the entire posterior distribution. One standard way to address the computational challenges involved with the continuous and high-dimensional nature of $\\theta$ is to use MCMC sampling to sample from $p ( \\theta \\mid s _ { 0 } ) \\propto p ( s _ { 0 } \\mid \\theta ) p ( \\theta )$ . The resulting algorithm resembles Bayesian IRL (Ramachandran and Amir, 2007) and is presented in Algorithm 1. ", + "bbox": [ + 173, + 133, + 825, + 204 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "While this algorithm is less efficient and noisier than RLSP, it gives us an estimate of the full posterior distribution. In our experiments, we collapsed the full distribution into a point estimate by taking the mean. Initial experiments showed that the algorithm was slower and noisier than the gradientbased RLSP, so we did not test it further. However, in future work we could better leverage the full distribution, for example to create risk-averse policies, to identify features that are uncertain, or to identify features that are certain but conflict with the specified reward, after which we could actively query Alice for more information. ", + "bbox": [ + 173, + 210, + 825, + 308 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Algorithm 1 MCMC sampling from the one state IRL posterior ", + "text_level": 1, + "bbox": [ + 174, + 323, + 593, + 338 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Require: MDP $\\mathcal { M }$ , prior $p ( \\theta )$ , step size $\\delta$ \n1: $\\theta \\gets$ random sample $( p ( \\theta ) )$ \n2: $\\pi , V = \\operatorname { s o f t }$ value iteration $( \\mathcal { M } , \\theta )$ \n3: $p \\gets p ( s _ { 0 } \\mid \\theta ) p ( \\theta )$ \n4: repeat \n5: $\\theta ^ { \\prime } \\gets$ random sample $\\left( \\mathcal { N } ( \\theta , \\delta ) \\right)$ \n6: π0, V 0 = soft value iteration $( { \\mathcal { M } } , \\theta ^ { \\prime } )$ . The value function is initialized with $V$ . \n7: $p ^ { \\prime } \\gets p ( s _ { 0 } \\mid \\theta ^ { \\prime } ) p ( \\theta ^ { \\prime } )$ \n8: if random sample $( { \\mathrm { U n i f } } ( 0 , 1 ) ) \\leq \\operatorname* { m i n } ( 1 , \\frac { p ^ { \\prime } } { p } )$ then \n9: $\\theta \\theta ^ { \\prime } ; \\ V V ^ { \\prime }$ \n10: end if \n11: append $\\theta$ to the list of samples \n12: until have generated the desired number of samples ", + "bbox": [ + 178, + 343, + 828, + 532 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/c7573fdcd26b33dcaa2892a029cc2bd0e7b6ea73a9d5666d72622d443f5d6366.jpg", + "image_caption": [ + "Figure 4: Comparison of the Additive and Bayesian methods. We show how the percentage of true reward obtained by $\\pi _ { \\mathrm { R L S P } }$ varies as we change the tradeoff between $\\theta _ { \\mathrm { A l i c e } }$ and $\\theta _ { \\mathrm { s p e c } }$ . The zero temperature case corresponds to traditional value iteration; this often leads to identical behavior and so the lines overlap. So, we also show the results when planning with soft value iteration, varying the softmax temperature, to introduce some noise into the policy. Overall, there is not much difference between the two methods. We did not include the Apples environment because $\\theta _ { \\mathrm { s p e c } }$ is uniformly zero and the Additive and Bayesian methods do exactly the same thing. " + ], + "image_footnote": [], + "bbox": [ + 173, + 99, + 826, + 222 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D COMBINING THE SPECIFIED REWARD WITH THE INFERRED REWARD ", + "text_level": 1, + "bbox": [ + 171, + 361, + 769, + 376 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "In Section 5, we evaluated RLSP by combining the reward it infers with a specified reward to get a final reward $\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }$ . As discussed in Section 6, the problem of combining $\\theta _ { \\mathrm { A l i c e } }$ and $\\theta _ { \\mathrm { s p e c } }$ is difficult, since the two rewards incentivize different behaviors and will conflict. The Additive method above is a simple way of trading off between the two. ", + "bbox": [ + 174, + 391, + 825, + 446 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Both RLSP and the sampling algorithm of Appendix C can incorporate a prior over $\\theta$ . Another way to combine the two rewards is to condition the prior on $\\theta _ { \\mathrm { s p e c } }$ before running the algorithms. In particular, we could replace our prior $P ( \\theta _ { \\mathrm { A l i c e } } )$ with a new prior $P ( \\theta _ { \\mathrm { A l i c e } } \\mid \\theta _ { \\mathrm { s p e c } } )$ , such as a Gaussian distribution centered at $\\theta _ { \\mathrm { s p e c } }$ . When we use this prior, the reward returned by RLSP can be used as the final reward $\\theta _ { \\mathrm { f i n a l } }$ . ", + "bbox": [ + 174, + 454, + 825, + 525 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "It might seem like this is a principled Bayesian method that allows us to combine the two rewards. However, the conflict between the two reward functions still exists. In this formulation, it arises in the new prior $P ( \\theta _ { \\mathrm { A l i c e } } \\mid \\theta _ { \\mathrm { s p e c } } )$ . Modeling this as a Gaussian centered at $\\theta _ { \\mathrm { s p e c } }$ suggests that before knowing $s _ { 0 }$ , it seems likely that $\\theta _ { \\mathrm { A l i c e } }$ is very similar to $\\theta _ { \\mathrm { s p e c } }$ . However, this is not true – Alice is probably providing the reward $\\theta _ { \\mathrm { s p e c } }$ to the robot so that it causes some change to the state that she has optimized, and so it will be predictably different from $\\theta _ { \\mathrm { s p e c } }$ . On the other hand, we do need to put high probability on $\\theta _ { \\mathrm { s p e c } }$ , since otherwise $\\theta _ { \\mathrm { f i n a l } }$ will not incentivize any of the behaviors that $\\theta _ { \\mathrm { s p e c } }$ did. ", + "bbox": [ + 174, + 531, + 825, + 630 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Nonetheless, this is another simple heuristic for how we might combine the two rewards, that manages the tradeoff between $\\theta _ { \\mathrm { s p e c } }$ and $\\theta _ { \\mathrm { A l i c e } }$ . We compared the Additive and Bayesian methods by evaluating their robustness. We vary the parameter that controls the tradeoff and report the true reward obtained by $\\pi _ { \\mathrm { R L S P } }$ , as a fraction of the expected true reward under the optimal policy. For the Bayesian method, we vary the standard deviation $\\sigma$ of the Gaussian prior over $\\theta _ { \\mathrm { A l i c e } }$ that is centered at $\\theta _ { \\mathrm { s p e c } }$ . For the Additive method, the natural choice would be to vary $\\lambda$ ; however, in order to make the results more comparable, we instead set $\\lambda = 1$ and vary the standard deviation of the Gaussian prior used while inferring $\\theta _ { \\mathrm { A l i c e } }$ , which is centered at zero instead of at $\\theta _ { \\mathrm { s p e c } }$ . A larger standard deviation allows $\\theta _ { \\mathrm { A l i c e } }$ to become larger in magnitude (since it is penalized less for deviating from the mean of zero reward), which effectively corresponds to a smaller $\\lambda$ . ", + "bbox": [ + 173, + 636, + 825, + 775 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "While we typically create $\\pi _ { \\mathrm { R L S P } }$ using value iteration, this leads to deterministic policies with very sharp changes in behavior that make it hard to see differences between methods, and so we also show results with soft value iteration, which creates stochastic policies that vary more continuously. As demonstrated in Figure 4, our experiments show that overall the two methods perform very similarly, with some evidence that the Additive method is slightly more robust. The Additive method also has the benefit that it can be applied in situations where the inferred reward and specified reward are over different feature spaces, by creating the final reward $R _ { \\mathrm { f i n a l } } ( s ) = { \\theta _ { \\mathrm { A l i c e } } } ^ { T } f _ { \\mathrm { A l i c e } } ( s ) + \\lambda R _ { \\mathrm { s p e c } } ( s )$ . 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This means that we", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 255, + 470, + 267 + ], + "spans": [ + { + "bbox": [ + 141, + 255, + 470, + 267 + ], + "score": 1.0, + "content": "must not only specify what to do, but also the much larger space of what not to do.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 266, + 470, + 278 + ], + "score": 1.0, + "content": "It is easy to forget these preferences, since these preferences are already satisfied", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 277, + 469, + 288 + ], + "spans": [ + { + "bbox": [ + 141, + 277, + 469, + 288 + ], + "score": 1.0, + "content": "in our environment. 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Our code can be found", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 363, + 402, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 363, + 402, + 378 + ], + "score": 1.0, + "content": "at https://github.com/HumanCompatibleAI/rlsp.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 18, + "bbox_fs": [ + 141, + 233, + 470, + 378 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 401, + 206, + 413 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 208, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 208, + 416 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 426, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "score": 1.0, + "content": "Deep reinforcement learning (deep RL) has been shown to succeed at a wide variety of complex", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "tasks given a correctly specified reward function. Unfortunately, for many real-world tasks it can be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "challenging to specify a reward function that captures human preferences, particularly the preference", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 461, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 506, + 472 + ], + "score": 1.0, + "content": "for avoiding unnecessary side effects while still accomplishing the goal (Amodei et al., 2016). As a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "result, there has been much recent work (Christiano et al., 2017; Fu et al., 2017; Sadigh et al., 2017)", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 483, + 367, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 367, + 494 + ], + "score": 1.0, + "content": "that aims to learn specifications for tasks a robot should perform.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 427, + 506, + 494 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 499, + 505, + 554 + ], + "lines": [ + { + "bbox": [ + 107, + 499, + 507, + 511 + ], + "spans": [ + { + "bbox": [ + 107, + 499, + 507, + 511 + ], + "score": 1.0, + "content": "Typically when learning about what people want and don’t want, we look to human action as evidence:", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 509, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 506, + 523 + ], + "score": 1.0, + "content": "what reward they specify (Hadfield-Menell et al., 2017), how they perform a task (Ziebart et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "2010; Fu et al., 2017), what choices they make (Christiano et al., 2017; Sadigh et al., 2017), or how", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "they rate certain options (Daniel et al., 2014). Here, we argue that there is an additional source of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 542, + 447, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 542, + 447, + 556 + ], + "score": 1.0, + "content": "information that is potentially rather helpful, but that we have been ignoring thus far:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 499, + 507, + 556 + ] + }, + { + "type": "text", + "bbox": [ + 141, + 566, + 469, + 599 + ], + "lines": [ + { + "bbox": [ + 142, + 565, + 470, + 579 + ], + "spans": [ + { + "bbox": [ + 142, + 565, + 470, + 579 + ], + "score": 1.0, + "content": "The key insight of this paper is that when a robot is deployed in an environment", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 141, + 577, + 470, + 589 + ], + "spans": [ + { + "bbox": [ + 141, + 577, + 470, + 589 + ], + "score": 1.0, + "content": "that humans have been acting in, the state of the environment is already optimized", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 141, + 589, + 236, + 600 + ], + "spans": [ + { + "bbox": [ + 141, + 589, + 236, + 600 + ], + "score": 1.0, + "content": "for what humans want.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38, + "bbox_fs": [ + 141, + 565, + 470, + 600 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 506, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 624 + ], + "score": 1.0, + "content": "For example, consider an environment in which a household robot must navigate to a goal location", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "without breaking any vases in its path, illustrated in Figure 1. The human operator, Alice, asks the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "robot to go to the purple door, forgetting to specify that it should also avoid breaking vases along the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "way. However, since the robot has been deployed in a state that only contains unbroken vases, it can", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "infer that while acting in the environment (prior to robot’s deployment), Alice was using one of the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 666, + 498, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 498, + 679 + ], + "score": 1.0, + "content": "relatively few policies that do not break vases, and so must have cared about keeping vases intact.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 611, + 506, + 679 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 79, + 504, + 228 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 79, + 504, + 228 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 79, + 504, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 504, + 228 + ], + "score": 0.971, + "type": "image", + "image_path": "f9aa5b013d6e89cceeedb74ce4122761126fe5629ca0ebfb51a700904a443afc.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 79, + 504, + 128.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 128.66666666666666, + 504, + 178.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 178.33333333333331, + 504, + 227.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 236, + 505, + 314 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "Figure 1: An illustration of learning preferences from an initial state. Alice attempts to accomplish a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 248, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 259 + ], + "score": 1.0, + "content": "goal in an environment with an easily breakable vase in the center. 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It considers", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 269, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 506, + 282 + ], + "score": 1.0, + "content": "multiple possible human reward functions, and infers that states where vases are intact usually occur", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "when Alice’s reward penalizes breaking vases. In contrast, it doesn’t matter much what the reward", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "function says about carpets, as we would observe the same final state either way. Note that while we", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 301, + 498, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 182, + 317 + ], + "score": 1.0, + "content": "consider a specific", + "type": "text" + }, + { + "bbox": [ + 183, + 304, + 201, + 314 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 301, + 475, + 317 + ], + "score": 1.0, + "content": "for clarity here, the robot could also reason using a distribution over", + "type": "text" + }, + { + "bbox": [ + 476, + 304, + 493, + 314 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 301, + 498, + 317 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 169, + 349 + ], + "score": 1.0, + "content": "The initial state", + "type": "text" + }, + { + "bbox": [ + 170, + 339, + 180, + 348 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 337, + 505, + 349 + ], + "score": 1.0, + "content": "can contain information about arbitrary preferences, including tasks that the robot", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "should actively perform. For example, if the robot observes a basket full of apples near an apple", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 396, + 371 + ], + "score": 1.0, + "content": "tree, it can reasonably infer that Alice wants to harvest apples. However,", + "type": "text" + }, + { + "bbox": [ + 396, + 360, + 406, + 370 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "is particularly useful for", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 369, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 383 + ], + "score": 1.0, + "content": "inferring which side effects humans care about. Recent approaches avoid unnecessary side effects by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "penalizing changes from an inaction baseline (Krakovna et al., 2018; Turner, 2018). However, this", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 391, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 404 + ], + "score": 1.0, + "content": "penalizes all side effects. The inaction baseline is appealing precisely because the initial state has", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 426, + 415 + ], + "score": 1.0, + "content": "already been optimized for human preferences, and action is more likely to ruin", + "type": "text" + }, + { + "bbox": [ + 427, + 404, + 437, + 414 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "than inaction. If", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 413, + 506, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 241, + 427 + ], + "score": 1.0, + "content": "our robot infers preferences from", + "type": "text" + }, + { + "bbox": [ + 241, + 415, + 251, + 424 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 413, + 506, + 427 + ], + "score": 1.0, + "content": ", it can avoid negative side effects while allowing positive ones.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 486 + ], + "lines": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "This work is about highlighting the potential of this observation, and as such makes unrealistic", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 403, + 454 + ], + "score": 1.0, + "content": "assumptions, such as known dynamics and hand-coded features. Given just", + "type": "text" + }, + { + "bbox": [ + 403, + 443, + 414, + 452 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 441, + 505, + 454 + ], + "score": 1.0, + "content": ", these assumptions are", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 452, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 388, + 465 + ], + "score": 1.0, + "content": "necessary: without dynamics, it is hard to tell whether some feature of", + "type": "text" + }, + { + "bbox": [ + 388, + 454, + 398, + 463 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 452, + 506, + 465 + ], + "score": 1.0, + "content": "was created by humans or", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "not. Nonetheless, we are optimistic that these assumptions can be relaxed, so that this insight can be", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 475, + 437, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 437, + 487 + ], + "score": 1.0, + "content": "used to improve deep RL systems. We suggest some approaches in our discussion.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "Our contributions are threefold. First, we identify the state of the world at initialization as a source", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "of information about human preferences. Second, we leverage this insight to derive an algorithm,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "Reward Learning by Simulating the Past (RLSP), which infers reward from initial state based on a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "Maximum Causal Entropy (Ziebart et al., 2010) model of human behavior. Third, we demonstrate the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "properties and limitations of RLSP on a suite of proof-of-concept environments: we use it to avoid", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "side effects, as well as to learn implicit preferences that require active action. In Figure 1 the robot", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "moves to the purple door without breaking the vase, despite the lack of a penalty for breaking vases.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 585, + 209, + 598 + ], + "lines": [ + { + "bbox": [ + 104, + 584, + 211, + 600 + ], + "spans": [ + { + "bbox": [ + 104, + 584, + 211, + 600 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 610, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "Preference learning. Much recent work has learned preferences from different sources of data,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "such as demonstrations (Ziebart et al., 2010; Ramachandran and Amir, 2007; Ho and Ermon, 2016;", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 633, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 645 + ], + "score": 1.0, + "content": "Fu et al., 2017; Finn et al., 2016), comparisons (Christiano et al., 2017; Sadigh et al., 2017; Wirth", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "score": 1.0, + "content": "et al., 2017), ratings (Daniel et al., 2014), human reinforcement signals (Knox and Stone, 2009;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "Warnell et al., 2017; MacGlashan et al., 2017), proxy rewards (Hadfield-Menell et al., 2017), etc. We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "suggest preference learning with a new source of data: the state of the environment when the robot is", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "first deployed. It can also be seen as a variant of Maximum Causal Entropy Inverse Reinforcement", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Learning (Ziebart et al., 2010): while inverse reinforcement learning (IRL) requires demonstrations,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "or at least state sequences without actions (Edwards et al., 2018; Yu et al., 2018), we learn a reward", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "function from a single state, albeit with the simplifying assumption of known dynamics. This can", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 720, + 457, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 457, + 733 + ], + "score": 1.0, + "content": "also be seen as an instance of IRL from summary data (Kangasra¨asi ¨ o and Kaski, 2018). ¨", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 763 + ], + "score": 1.0, + "content": "2", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 79, + 504, + 228 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 79, + 504, + 228 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 79, + 504, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 504, + 228 + ], + "score": 0.971, + "type": "image", + "image_path": "f9aa5b013d6e89cceeedb74ce4122761126fe5629ca0ebfb51a700904a443afc.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 79, + 504, + 128.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 128.66666666666666, + 504, + 178.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 178.33333333333331, + 504, + 227.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 236, + 505, + 314 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "Figure 1: An illustration of learning preferences from an initial state. Alice attempts to accomplish a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 248, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 506, + 259 + ], + "score": 1.0, + "content": "goal in an environment with an easily breakable vase in the center. The robot observes the state of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 259, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 175, + 270 + ], + "score": 1.0, + "content": "the environment,", + "type": "text" + }, + { + "bbox": [ + 176, + 261, + 186, + 270 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 259, + 433, + 270 + ], + "score": 1.0, + "content": ", after Alice has acted for some time from an even earlier state", + "type": "text" + }, + { + "bbox": [ + 434, + 260, + 452, + 270 + ], + "score": 0.91, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 259, + 505, + 270 + ], + "score": 1.0, + "content": ". It considers", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 269, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 506, + 282 + ], + "score": 1.0, + "content": "multiple possible human reward functions, and infers that states where vases are intact usually occur", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "when Alice’s reward penalizes breaking vases. In contrast, it doesn’t matter much what the reward", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "function says about carpets, as we would observe the same final state either way. Note that while we", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 301, + 498, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 182, + 317 + ], + "score": 1.0, + "content": "consider a specific", + "type": "text" + }, + { + "bbox": [ + 183, + 304, + 201, + 314 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 301, + 475, + 317 + ], + "score": 1.0, + "content": "for clarity here, the robot could also reason using a distribution over", + "type": "text" + }, + { + "bbox": [ + 476, + 304, + 493, + 314 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 301, + 498, + 317 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 169, + 349 + ], + "score": 1.0, + "content": "The initial state", + "type": "text" + }, + { + "bbox": [ + 170, + 339, + 180, + 348 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 337, + 505, + 349 + ], + "score": 1.0, + "content": "can contain information about arbitrary preferences, including tasks that the robot", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "should actively perform. For example, if the robot observes a basket full of apples near an apple", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 359, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 396, + 371 + ], + "score": 1.0, + "content": "tree, it can reasonably infer that Alice wants to harvest apples. However,", + "type": "text" + }, + { + "bbox": [ + 396, + 360, + 406, + 370 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 359, + 505, + 371 + ], + "score": 1.0, + "content": "is particularly useful for", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 369, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 383 + ], + "score": 1.0, + "content": "inferring which side effects humans care about. Recent approaches avoid unnecessary side effects by", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 393 + ], + "score": 1.0, + "content": "penalizing changes from an inaction baseline (Krakovna et al., 2018; Turner, 2018). However, this", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 391, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 404 + ], + "score": 1.0, + "content": "penalizes all side effects. The inaction baseline is appealing precisely because the initial state has", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 426, + 415 + ], + "score": 1.0, + "content": "already been optimized for human preferences, and action is more likely to ruin", + "type": "text" + }, + { + "bbox": [ + 427, + 404, + 437, + 414 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 402, + 506, + 415 + ], + "score": 1.0, + "content": "than inaction. If", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 413, + 506, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 241, + 427 + ], + "score": 1.0, + "content": "our robot infers preferences from", + "type": "text" + }, + { + "bbox": [ + 241, + 415, + 251, + 424 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 413, + 506, + 427 + ], + "score": 1.0, + "content": ", it can avoid negative side effects while allowing positive ones.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 337, + 506, + 427 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 430, + 505, + 486 + ], + "lines": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 505, + 442 + ], + "score": 1.0, + "content": "This work is about highlighting the potential of this observation, and as such makes unrealistic", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 441, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 403, + 454 + ], + "score": 1.0, + "content": "assumptions, such as known dynamics and hand-coded features. Given just", + "type": "text" + }, + { + "bbox": [ + 403, + 443, + 414, + 452 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 441, + 505, + 454 + ], + "score": 1.0, + "content": ", these assumptions are", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 452, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 388, + 465 + ], + "score": 1.0, + "content": "necessary: without dynamics, it is hard to tell whether some feature of", + "type": "text" + }, + { + "bbox": [ + 388, + 454, + 398, + 463 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 452, + 506, + 465 + ], + "score": 1.0, + "content": "was created by humans or", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "not. Nonetheless, we are optimistic that these assumptions can be relaxed, so that this insight can be", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 475, + 437, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 437, + 487 + ], + "score": 1.0, + "content": "used to improve deep RL systems. We suggest some approaches in our discussion.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 430, + 506, + 487 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 491, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "Our contributions are threefold. First, we identify the state of the world at initialization as a source", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "of information about human preferences. Second, we leverage this insight to derive an algorithm,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "Reward Learning by Simulating the Past (RLSP), which infers reward from initial state based on a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "Maximum Causal Entropy (Ziebart et al., 2010) model of human behavior. Third, we demonstrate the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "properties and limitations of RLSP on a suite of proof-of-concept environments: we use it to avoid", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "side effects, as well as to learn implicit preferences that require active action. In Figure 1 the robot", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "moves to the purple door without breaking the vase, despite the lack of a penalty for breaking vases.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 491, + 506, + 569 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 585, + 209, + 598 + ], + "lines": [ + { + "bbox": [ + 104, + 584, + 211, + 600 + ], + "spans": [ + { + "bbox": [ + 104, + 584, + 211, + 600 + ], + "score": 1.0, + "content": "2 RELATED WORK", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 610, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "Preference learning. Much recent work has learned preferences from different sources of data,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "such as demonstrations (Ziebart et al., 2010; Ramachandran and Amir, 2007; Ho and Ermon, 2016;", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 633, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 506, + 645 + ], + "score": 1.0, + "content": "Fu et al., 2017; Finn et al., 2016), comparisons (Christiano et al., 2017; Sadigh et al., 2017; Wirth", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 657 + ], + "score": 1.0, + "content": "et al., 2017), ratings (Daniel et al., 2014), human reinforcement signals (Knox and Stone, 2009;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "Warnell et al., 2017; MacGlashan et al., 2017), proxy rewards (Hadfield-Menell et al., 2017), etc. We", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "suggest preference learning with a new source of data: the state of the environment when the robot is", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "first deployed. It can also be seen as a variant of Maximum Causal Entropy Inverse Reinforcement", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "Learning (Ziebart et al., 2010): while inverse reinforcement learning (IRL) requires demonstrations,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "or at least state sequences without actions (Edwards et al., 2018; Yu et al., 2018), we learn a reward", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "function from a single state, albeit with the simplifying assumption of known dynamics. This can", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 720, + 457, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 457, + 733 + ], + "score": 1.0, + "content": "also be seen as an instance of IRL from summary data (Kangasra¨asi ¨ o and Kaski, 2018). ¨", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 610, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "Frame properties. The frame problem in AI (McCarthy and Hayes, 1981) refers to the issue that we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "must specify what stays the same in addition to what changes. In formal verification, this manifests as", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 507, + 118 + ], + "score": 1.0, + "content": "a requirement to explicitly specify the many quantities that the program does not change (Andreescu,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "score": 1.0, + "content": "2017). Analogously, rewards are likely to specify what to do (the task), but may forget to say what", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 473, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 473, + 140 + ], + "score": 1.0, + "content": "not to do (the frame properties). One of our goals is to infer frame properties automatically.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "score": 1.0, + "content": "Side effects. An impact penalty can mitigate reward specification problems, since it penalizes", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "unnecessary “large” changes (Armstrong and Levinstein, 2017). We could penalize a reduction in the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "score": 1.0, + "content": "number of reachable states (Krakovna et al., 2018) or attainable utility (Turner, 2018). However, such", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "approaches will penalize all irreversible effects, including ones that humans want. In contrast, by", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 453, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 453, + 199 + ], + "score": 1.0, + "content": "taking a preference inference approach, we can infer which effects humans care about.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 204, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "Goal states as specifications. Desired behavior in RL can be specified with an explicitly chosen goal", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 228 + ], + "score": 1.0, + "content": "state (Kaelbling, 1993; Schaul et al., 2015; Nair et al., 2018; Bahdanau et al., 2018; Andrychowicz", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 353, + 239 + ], + "score": 1.0, + "content": "et al., 2017). In our setting, the robot observes the initial state", + "type": "text" + }, + { + "bbox": [ + 354, + 228, + 364, + 237 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "where it starts acting, which is not", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 237, + 439, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 439, + 249 + ], + "score": 1.0, + "content": "explicitly chosen by the designer, but nonetheless contains preference information.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 108, + 263, + 208, + 276 + ], + "lines": [ + { + "bbox": [ + 104, + 262, + 209, + 279 + ], + "spans": [ + { + "bbox": [ + 104, + 262, + 209, + 279 + ], + "score": 1.0, + "content": "3 PRELIMINARIES", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 287, + 505, + 343 + ], + "lines": [ + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 352, + 300 + ], + "score": 1.0, + "content": "A finite-horizon Markov decision process (MDP) is a tuple", + "type": "text" + }, + { + "bbox": [ + 352, + 288, + 439, + 299 + ], + "score": 0.93, + "content": "\\mathcal { M } = \\langle \\mathcal { S } , \\mathcal { A } , \\mathcal { T } , r , T \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 288, + 470, + 300 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 471, + 288, + 479, + 298 + ], + "score": 0.8, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 297, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 159, + 312 + ], + "score": 1.0, + "content": "set of states,", + "type": "text" + }, + { + "bbox": [ + 159, + 299, + 168, + 309 + ], + "score": 0.77, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 297, + 253, + 312 + ], + "score": 1.0, + "content": "is the set of actions,", + "type": "text" + }, + { + "bbox": [ + 253, + 299, + 353, + 311 + ], + "score": 0.91, + "content": "\\mathcal { T } : \\mathcal { S } \\times \\mathcal { A } \\times \\mathcal { S } \\mapsto [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 297, + 506, + 312 + ], + "score": 1.0, + "content": "is the transition probability function,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 107, + 310, + 151, + 320 + ], + "score": 0.91, + "content": "r : S \\mapsto \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 309, + 264, + 322 + ], + "score": 1.0, + "content": "is the reward function, and", + "type": "text" + }, + { + "bbox": [ + 264, + 310, + 299, + 321 + ], + "score": 0.91, + "content": "T \\in \\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "is the finite planning horizon. We consider MDPs", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 382, + 334 + ], + "score": 1.0, + "content": "where the reward is linear in features, and does not depend on action:", + "type": "text" + }, + { + "bbox": [ + 382, + 320, + 452, + 333 + ], + "score": 0.93, + "content": "{ \\bf \\nabla } _ { r ( s ; \\theta ) } = \\theta ^ { T } f ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 320, + 483, + 334 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 483, + 321, + 489, + 331 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 332, + 448, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 299, + 344 + ], + "score": 1.0, + "content": "the parameters defining the reward function and", + "type": "text" + }, + { + "bbox": [ + 300, + 332, + 307, + 343 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 332, + 448, + 344 + ], + "score": 1.0, + "content": "computes features of a given state.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 348, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 472, + 361 + ], + "score": 1.0, + "content": "Inverse Reinforcement Learning (IRL). In IRL, the aim is to infer the reward function", + "type": "text" + }, + { + "bbox": [ + 473, + 351, + 479, + 358 + ], + "score": 0.74, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "given", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 212, + 372 + ], + "score": 1.0, + "content": "an MDP without reward", + "type": "text" + }, + { + "bbox": [ + 213, + 360, + 236, + 372 + ], + "score": 0.91, + "content": "\\mathcal { M } \\backslash r", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 359, + 352, + 372 + ], + "score": 1.0, + "content": "and expert demonstrations", + "type": "text" + }, + { + "bbox": [ + 352, + 360, + 425, + 372 + ], + "score": 0.93, + "content": "\\mathcal { D } = \\{ \\tau _ { 1 } , . . . , \\tau _ { n } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 359, + 481, + 372 + ], + "score": 1.0, + "content": ", where each", + "type": "text" + }, + { + "bbox": [ + 482, + 361, + 505, + 371 + ], + "score": 0.87, + "content": "\\tau _ { i } =", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 181, + 383 + ], + "score": 0.89, + "content": "( s _ { 0 } , a _ { 0 } , . . . , s _ { T } , a _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "is a trajectory sampled from the expert policy acting in the MDP. It is assumed", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 364, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 144, + 395 + ], + "score": 1.0, + "content": "that each", + "type": "text" + }, + { + "bbox": [ + 145, + 384, + 154, + 393 + ], + "score": 0.83, + "content": "\\tau _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 380, + 229, + 395 + ], + "score": 1.0, + "content": "is feasible, so that", + "type": "text" + }, + { + "bbox": [ + 229, + 381, + 314, + 394 + ], + "score": 0.93, + "content": "\\mathcal { T } ( s _ { j + 1 } \\mid s _ { j } , a _ { j } ) > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 380, + 353, + 395 + ], + "score": 1.0, + "content": "for every", + "type": "text" + }, + { + "bbox": [ + 354, + 383, + 359, + 393 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 380, + 364, + 395 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 106, + 398, + 505, + 488 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "Maximum Causal Entropy IRL (MCEIRL). As human demonstrations are rarely optimal, Ziebart", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "et al. (2010) models the expert as a Boltzmann-rational agent that maximizes total reward and causal", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 299, + 433 + ], + "score": 1.0, + "content": "entropy of the policy. This leads to the policy", + "type": "text" + }, + { + "bbox": [ + 299, + 420, + 473, + 432 + ], + "score": 0.91, + "content": "\\pi _ { t } ( a \\mathbin | \\mathbin { \\bar { \\ s } } , \\theta ) = \\exp ( Q _ { t } ( s , a ; \\theta ) - V _ { t } ( s ; \\theta ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 420, + 505, + 433 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 251, + 444 + ], + "score": 0.91, + "content": "\\begin{array} { r } { V _ { t } ( s ; \\bar { \\theta } ) = \\ln \\bar { \\sum _ { a } } e x p ( Q _ { t } ( s , a ; \\theta ) ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "plays the role of a normalizing constant. 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The soft Bellman backup for the state-action value function", + "type": "text" + }, + { + "bbox": [ + 382, + 465, + 392, + 475 + ], + "score": 0.87, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 465, + 505, + 476 + ], + "score": 1.0, + "content": "is the same as usual, and is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 474, + 355, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 143, + 488 + ], + "score": 1.0, + "content": "given by", + "type": "text" + }, + { + "bbox": [ + 144, + 474, + 352, + 488 + ], + "score": 0.89, + "content": "\\begin{array} { r } { Q _ { t } ( s , a ; \\theta ) = \\theta ^ { T } f ( s ) \\dot { + } \\sum _ { s ^ { \\prime } } \\mathcal { T } ( s ^ { \\prime } \\mid s , a ) V _ { t + 1 } ( s ^ { \\prime } ; \\theta ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 475, + 355, + 488 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 367, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 368, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 225, + 506 + ], + "score": 1.0, + "content": "The likelihood of a trajectory", + "type": "text" + }, + { + "bbox": [ + 225, + 495, + 232, + 502 + ], + "score": 0.77, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 490, + 348, + 506 + ], + "score": 1.0, + "content": "given the reward parameters", + "type": "text" + }, + { + "bbox": [ + 348, + 493, + 354, + 502 + ], + "score": 0.82, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 490, + 368, + 506 + ], + "score": 1.0, + "content": "is:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "interline_equation", + "bbox": [ + 164, + 504, + 446, + 538 + ], + "lines": [ + { + "bbox": [ + 164, + 504, + 446, + 538 + ], + "spans": [ + { + "bbox": [ + 164, + 504, + 446, + 538 + ], + "score": 0.93, + "content": "p ( \\tau \\mid \\theta ) = p ( s _ { 0 } ) \\bigg ( \\prod _ { t = 0 } ^ { T - 1 } \\mathcal { T } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } , \\theta ) \\bigg ) \\pi _ { T } ( a _ { T } \\mid s _ { T } , \\theta ) .", + "type": "interline_equation", + "image_path": "7cfc152e4be4fde691180dad1779040f07fabb24064ddc339ba05c0e2d639997.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 164, + 504, + 446, + 515.3333333333334 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 164, + 515.3333333333334, + 446, + 526.6666666666667 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 164, + 526.6666666666667, + 446, + 538.0000000000001 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 544, + 493, + 556 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 495, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 259, + 558 + ], + "score": 1.0, + "content": "MCEIRL finds the reward parameters", + "type": "text" + }, + { + "bbox": [ + 259, + 545, + 270, + 555 + ], + "score": 0.88, + "content": "\\theta ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 543, + 495, + 558 + ], + "score": 1.0, + "content": "that maximize the log-likelihood of the demonstrations:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 557, + 436, + 583 + ], + "lines": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "spans": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "score": 0.93, + "content": "\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln { p ( \\mathcal { D } \\mid \\theta ) } = \\operatorname * { a r g m a x } _ { \\theta } \\sum _ { i } \\sum _ { t } \\ln { \\pi } _ { t } ( a _ { i , t } \\mid s _ { i , t } , \\theta ) .", + "type": "interline_equation", + "image_path": "a3101ef998c3639a6abc16bbcf006b73699ff84652bdbf8ab86810f262546113.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 583, + 480, + 595 + ], + "lines": [ + { + "bbox": [ + 107, + 582, + 482, + 597 + ], + "spans": [ + { + "bbox": [ + 107, + 584, + 117, + 594 + ], + "score": 0.81, + "content": "\\theta ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 582, + 482, + 597 + ], + "score": 1.0, + "content": "gives rise to a policy whose feature expectations match those of the expert demonstrations.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 107, + 610, + 369, + 623 + ], + "lines": [ + { + "bbox": [ + 105, + 609, + 370, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 370, + 624 + ], + "score": 1.0, + "content": "4 REWARD LEARNING BY SIMULATING THE PAST", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 633, + 506, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "score": 1.0, + "content": "We solve the problem of learning the reward function of an expert Alice given a single final state of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 505, + 658 + ], + "score": 1.0, + "content": "her trajectory; we refer to this problem as IRL from a single state. 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To adapt MCEIRL to the one state setting we modify the observation model from", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 684, + 506, + 698 + ], + "spans": [ + { + "bbox": [ + 106, + 684, + 311, + 698 + ], + "score": 1.0, + "content": "Equation 1. Since we only have a single end state", + "type": "text" + }, + { + "bbox": [ + 312, + 686, + 322, + 695 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 684, + 391, + 698 + ], + "score": 1.0, + "content": "of the trajectory", + "type": "text" + }, + { + "bbox": [ + 391, + 685, + 502, + 696 + ], + "score": 0.91, + "content": "\\tau _ { 0 } = ( s _ { - T } , a _ { - T } , . . . , s _ { 0 } , a _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 684, + 506, + 698 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 694, + 358, + 709 + ], + "spans": [ + { + "bbox": [ + 105, + 694, + 358, + 709 + ], + "score": 1.0, + "content": "we marginalize over all of the other variables in the trajectory:", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44 + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 707, + 391, + 735 + ], + "lines": [ + { + "bbox": [ + 219, + 707, + 391, + 735 + ], + "spans": [ + { + "bbox": [ + 219, + 707, + 391, + 735 + ], + "score": 0.93, + "content": "p ( s _ { 0 } \\mid \\theta ) = \\sum _ { s _ { - T } , a _ { - T } , \\ldots s _ { - 1 } , a _ { - 1 } , a _ { 0 } } p ( \\tau _ { 0 } \\mid \\theta ) ,", + "type": "interline_equation", + "image_path": "065b93dcef7e94dc7a9152b0cdf474f1e87717a4c5b648a64ec9ff737f837d86.jpg" + } + ] + } + ], + "index": 46.5, + "virtual_lines": [ + { + "bbox": [ + 219, + 707, + 391, + 721.0 + ], + "spans": [], + "index": 46 + }, + { + "bbox": [ + 219, + 721.0, + 391, + 735.0 + ], + "spans": [], + "index": 47 + } + ] + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 310, + 762 + ], + "score": 1.0, + "content": "3", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "Frame properties. The frame problem in AI (McCarthy and Hayes, 1981) refers to the issue that we", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "must specify what stays the same in addition to what changes. In formal verification, this manifests as", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 507, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 507, + 118 + ], + "score": 1.0, + "content": "a requirement to explicitly specify the many quantities that the program does not change (Andreescu,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 128 + ], + "score": 1.0, + "content": "2017). Analogously, rewards are likely to specify what to do (the task), but may forget to say what", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 473, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 473, + 140 + ], + "score": 1.0, + "content": "not to do (the frame properties). One of our goals is to infer frame properties automatically.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 82, + 507, + 140 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 143, + 505, + 199 + ], + "lines": [ + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 155 + ], + "score": 1.0, + "content": "Side effects. An impact penalty can mitigate reward specification problems, since it penalizes", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "unnecessary “large” changes (Armstrong and Levinstein, 2017). We could penalize a reduction in the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 177 + ], + "score": 1.0, + "content": "number of reachable states (Krakovna et al., 2018) or attainable utility (Turner, 2018). However, such", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "approaches will penalize all irreversible effects, including ones that humans want. In contrast, by", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 453, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 453, + 199 + ], + "score": 1.0, + "content": "taking a preference inference approach, we can infer which effects humans care about.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 144, + 506, + 199 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 204, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "Goal states as specifications. Desired behavior in RL can be specified with an explicitly chosen goal", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 228 + ], + "score": 1.0, + "content": "state (Kaelbling, 1993; Schaul et al., 2015; Nair et al., 2018; Bahdanau et al., 2018; Andrychowicz", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 227, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 353, + 239 + ], + "score": 1.0, + "content": "et al., 2017). In our setting, the robot observes the initial state", + "type": "text" + }, + { + "bbox": [ + 354, + 228, + 364, + 237 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 227, + 505, + 239 + ], + "score": 1.0, + "content": "where it starts acting, which is not", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 237, + 439, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 439, + 249 + ], + "score": 1.0, + "content": "explicitly chosen by the designer, but nonetheless contains preference information.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 204, + 505, + 249 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 263, + 208, + 276 + ], + "lines": [ + { + "bbox": [ + 104, + 262, + 209, + 279 + ], + "spans": [ + { + "bbox": [ + 104, + 262, + 209, + 279 + ], + "score": 1.0, + "content": "3 PRELIMINARIES", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 287, + 505, + 343 + ], + "lines": [ + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 352, + 300 + ], + "score": 1.0, + "content": "A finite-horizon Markov decision process (MDP) is a tuple", + "type": "text" + }, + { + "bbox": [ + 352, + 288, + 439, + 299 + ], + "score": 0.93, + "content": "\\mathcal { M } = \\langle \\mathcal { S } , \\mathcal { A } , \\mathcal { T } , r , T \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 288, + 470, + 300 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 471, + 288, + 479, + 298 + ], + "score": 0.8, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 297, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 159, + 312 + ], + "score": 1.0, + "content": "set of states,", + "type": "text" + }, + { + "bbox": [ + 159, + 299, + 168, + 309 + ], + "score": 0.77, + "content": "\\mathcal { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 297, + 253, + 312 + ], + "score": 1.0, + "content": "is the set of actions,", + "type": "text" + }, + { + "bbox": [ + 253, + 299, + 353, + 311 + ], + "score": 0.91, + "content": "\\mathcal { T } : \\mathcal { S } \\times \\mathcal { A } \\times \\mathcal { S } \\mapsto [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 297, + 506, + 312 + ], + "score": 1.0, + "content": "is the transition probability function,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 107, + 310, + 151, + 320 + ], + "score": 0.91, + "content": "r : S \\mapsto \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 309, + 264, + 322 + ], + "score": 1.0, + "content": "is the reward function, and", + "type": "text" + }, + { + "bbox": [ + 264, + 310, + 299, + 321 + ], + "score": 0.91, + "content": "T \\in \\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "is the finite planning horizon. We consider MDPs", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 320, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 382, + 334 + ], + "score": 1.0, + "content": "where the reward is linear in features, and does not depend on action:", + "type": "text" + }, + { + "bbox": [ + 382, + 320, + 452, + 333 + ], + "score": 0.93, + "content": "{ \\bf \\nabla } _ { r ( s ; \\theta ) } = \\theta ^ { T } f ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 320, + 483, + 334 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 483, + 321, + 489, + 331 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 320, + 506, + 334 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 332, + 448, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 332, + 299, + 344 + ], + "score": 1.0, + "content": "the parameters defining the reward function and", + "type": "text" + }, + { + "bbox": [ + 300, + 332, + 307, + 343 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 332, + 448, + 344 + ], + "score": 1.0, + "content": "computes features of a given state.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 288, + 506, + 344 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 348, + 505, + 394 + ], + "lines": [ + { + "bbox": [ + 105, + 347, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 472, + 361 + ], + "score": 1.0, + "content": "Inverse Reinforcement Learning (IRL). In IRL, the aim is to infer the reward function", + "type": "text" + }, + { + "bbox": [ + 473, + 351, + 479, + 358 + ], + "score": 0.74, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 347, + 505, + 361 + ], + "score": 1.0, + "content": "given", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 359, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 212, + 372 + ], + "score": 1.0, + "content": "an MDP without reward", + "type": "text" + }, + { + "bbox": [ + 213, + 360, + 236, + 372 + ], + "score": 0.91, + "content": "\\mathcal { M } \\backslash r", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 359, + 352, + 372 + ], + "score": 1.0, + "content": "and expert demonstrations", + "type": "text" + }, + { + "bbox": [ + 352, + 360, + 425, + 372 + ], + "score": 0.93, + "content": "\\mathcal { D } = \\{ \\tau _ { 1 } , . . . , \\tau _ { n } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 359, + 481, + 372 + ], + "score": 1.0, + "content": ", where each", + "type": "text" + }, + { + "bbox": [ + 482, + 361, + 505, + 371 + ], + "score": 0.87, + "content": "\\tau _ { i } =", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 181, + 383 + ], + "score": 0.89, + "content": "( s _ { 0 } , a _ { 0 } , . . . , s _ { T } , a _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "is a trajectory sampled from the expert policy acting in the MDP. It is assumed", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 380, + 364, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 144, + 395 + ], + "score": 1.0, + "content": "that each", + "type": "text" + }, + { + "bbox": [ + 145, + 384, + 154, + 393 + ], + "score": 0.83, + "content": "\\tau _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 380, + 229, + 395 + ], + "score": 1.0, + "content": "is feasible, so that", + "type": "text" + }, + { + "bbox": [ + 229, + 381, + 314, + 394 + ], + "score": 0.93, + "content": "\\mathcal { T } ( s _ { j + 1 } \\mid s _ { j } , a _ { j } ) > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 314, + 380, + 353, + 395 + ], + "score": 1.0, + "content": "for every", + "type": "text" + }, + { + "bbox": [ + 354, + 383, + 359, + 393 + ], + "score": 0.81, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 380, + 364, + 395 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 347, + 505, + 395 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 398, + 505, + 488 + ], + "lines": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "Maximum Causal Entropy IRL (MCEIRL). As human demonstrations are rarely optimal, Ziebart", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "et al. (2010) models the expert as a Boltzmann-rational agent that maximizes total reward and causal", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 299, + 433 + ], + "score": 1.0, + "content": "entropy of the policy. This leads to the policy", + "type": "text" + }, + { + "bbox": [ + 299, + 420, + 473, + 432 + ], + "score": 0.91, + "content": "\\pi _ { t } ( a \\mathbin | \\mathbin { \\bar { \\ s } } , \\theta ) = \\exp ( Q _ { t } ( s , a ; \\theta ) - V _ { t } ( s ; \\theta ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 420, + 505, + 433 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 251, + 444 + ], + "score": 0.91, + "content": "\\begin{array} { r } { V _ { t } ( s ; \\bar { \\theta } ) = \\ln \\bar { \\sum _ { a } } e x p ( Q _ { t } ( s , a ; \\theta ) ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "plays the role of a normalizing constant. 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The soft Bellman backup for the state-action value function", + "type": "text" + }, + { + "bbox": [ + 382, + 465, + 392, + 475 + ], + "score": 0.87, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 465, + 505, + 476 + ], + "score": 1.0, + "content": "is the same as usual, and is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 474, + 355, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 143, + 488 + ], + "score": 1.0, + "content": "given by", + "type": "text" + }, + { + "bbox": [ + 144, + 474, + 352, + 488 + ], + "score": 0.89, + "content": "\\begin{array} { r } { Q _ { t } ( s , a ; \\theta ) = \\theta ^ { T } f ( s ) \\dot { + } \\sum _ { s ^ { \\prime } } \\mathcal { T } ( s ^ { \\prime } \\mid s , a ) V _ { t + 1 } ( s ^ { \\prime } ; \\theta ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 475, + 355, + 488 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 398, + 506, + 488 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 367, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 368, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 225, + 506 + ], + "score": 1.0, + "content": "The likelihood of a trajectory", + "type": "text" + }, + { + "bbox": [ + 225, + 495, + 232, + 502 + ], + "score": 0.77, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 490, + 348, + 506 + ], + "score": 1.0, + "content": "given the reward parameters", + "type": "text" + }, + { + "bbox": [ + 348, + 493, + 354, + 502 + ], + "score": 0.82, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 490, + 368, + 506 + ], + "score": 1.0, + "content": "is:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 490, + 368, + 506 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 164, + 504, + 446, + 538 + ], + "lines": [ + { + "bbox": [ + 164, + 504, + 446, + 538 + ], + "spans": [ + { + "bbox": [ + 164, + 504, + 446, + 538 + ], + "score": 0.93, + "content": "p ( \\tau \\mid \\theta ) = p ( s _ { 0 } ) \\bigg ( \\prod _ { t = 0 } ^ { T - 1 } \\mathcal { T } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } , \\theta ) \\bigg ) \\pi _ { T } ( a _ { T } \\mid s _ { T } , \\theta ) .", + "type": "interline_equation", + "image_path": "7cfc152e4be4fde691180dad1779040f07fabb24064ddc339ba05c0e2d639997.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 164, + 504, + 446, + 515.3333333333334 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 164, + 515.3333333333334, + 446, + 526.6666666666667 + ], + "spans": [], + "index": 34 + }, + { + "bbox": [ + 164, + 526.6666666666667, + 446, + 538.0000000000001 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 544, + 493, + 556 + ], + "lines": [ + { + "bbox": [ + 106, + 543, + 495, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 259, + 558 + ], + "score": 1.0, + "content": "MCEIRL finds the reward parameters", + "type": "text" + }, + { + "bbox": [ + 259, + 545, + 270, + 555 + ], + "score": 0.88, + "content": "\\theta ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 543, + 495, + 558 + ], + "score": 1.0, + "content": "that maximize the log-likelihood of the demonstrations:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36, + "bbox_fs": [ + 106, + 543, + 495, + 558 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 557, + 436, + 583 + ], + "lines": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "spans": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "score": 0.93, + "content": "\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln { p ( \\mathcal { D } \\mid \\theta ) } = \\operatorname * { a r g m a x } _ { \\theta } \\sum _ { i } \\sum _ { t } \\ln { \\pi } _ { t } ( a _ { i , t } \\mid s _ { i , t } , \\theta ) .", + "type": "interline_equation", + "image_path": "a3101ef998c3639a6abc16bbcf006b73699ff84652bdbf8ab86810f262546113.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 174, + 557, + 436, + 583 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 583, + 480, + 595 + ], + "lines": [ + { + "bbox": [ + 107, + 582, + 482, + 597 + ], + "spans": [ + { + "bbox": [ + 107, + 584, + 117, + 594 + ], + "score": 0.81, + "content": "\\theta ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 582, + 482, + 597 + ], + "score": 1.0, + "content": "gives rise to a policy whose feature expectations match those of the expert demonstrations.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38, + "bbox_fs": [ + 107, + 582, + 482, + 597 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 610, + 369, + 623 + ], + "lines": [ + { + "bbox": [ + 105, + 609, + 370, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 370, + 624 + ], + "score": 1.0, + "content": "4 REWARD LEARNING BY SIMULATING THE PAST", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 633, + 506, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "score": 1.0, + "content": "We solve the problem of learning the reward function of an expert Alice given a single final state of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 505, + 658 + ], + "score": 1.0, + "content": "her trajectory; we refer to this problem as IRL from a single state. 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We instead find the MLE:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 107, + 360, + 121 + ], + "lines": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "spans": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "score": 0.91, + "content": "\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) .", + "type": "interline_equation", + "image_path": "732f1e12c3b704ad20b701bd39fcca06f814b544817a233ea711da5c873530d3.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 129, + 505, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "score": 1.0, + "content": "Solution. 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First, we express", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 151, + 316, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 316, + 164 + ], + "score": 1.0, + "content": "the gradient in terms of the gradients of trajectories:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 175, + 429, + 204 + ], + "lines": [ + { + "bbox": [ + 181, + 175, + 429, + 204 + ], + "spans": [ + { + "bbox": [ + 181, + 175, + 429, + 204 + ], + "score": 0.92, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) = \\sum _ { \\tau _ { - T ; - 1 } } p ( \\tau _ { - T ; - 1 } \\mid s _ { 0 } , \\theta ) \\nabla _ { \\theta } \\ln p ( \\tau _ { - T ; 0 } \\mid \\theta ) .", + "type": "interline_equation", + "image_path": "b07403e7291f5719fb786bcc33a1c61247e32b2f7d62d63d35dcf75a80915360.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 181, + 175, + 429, + 184.66666666666666 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 181, + 184.66666666666666, + 429, + 194.33333333333331 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 181, + 194.33333333333331, + 429, + 203.99999999999997 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 209, + 505, + 254 + ], + "lines": [ + { + "bbox": [ + 105, + 208, + 507, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 507, + 223 + ], + "score": 1.0, + "content": "This has a nice interpretation – compute the Maximum Causal Entropy gradients for each trajectory,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "score": 1.0, + "content": "and then take their weighted sum, where each weight is the probability of the trajectory given", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 232, + 504, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 160, + 244 + ], + "score": 1.0, + "content": "the evidence", + "type": "text" + }, + { + "bbox": [ + 160, + 233, + 171, + 243 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 232, + 252, + 244 + ], + "score": 1.0, + "content": "and current reward", + "type": "text" + }, + { + "bbox": [ + 253, + 232, + 258, + 241 + ], + "score": 0.75, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 232, + 504, + 244 + ], + "score": 1.0, + "content": ". 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(2010) in Appendix A and substitute it in to get:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 271, + 487, + 306 + ], + "lines": [ + { + "bbox": [ + 111, + 271, + 487, + 306 + ], + "spans": [ + { + "bbox": [ + 111, + 271, + 487, + 306 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { \\tau _ { - } , \\tau _ { : - 1 } } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - T } ^ { - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) \\right] ,", + "type": "interline_equation", + "image_path": "3c3dd560fb7fc26c5273af374de72dbaad050a46607321c932fbb3e972b1df22.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 271, + 487, + 282.6666666666667 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 111, + 282.6666666666667, + 487, + 294.33333333333337 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 294.33333333333337, + 487, + 306.00000000000006 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 504, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 314, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 289, + 329 + ], + "score": 1.0, + "content": "where we have suppressed the dependence on", + "type": "text" + }, + { + "bbox": [ + 289, + 316, + 295, + 325 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 314, + 358, + 329 + ], + "score": 1.0, + "content": "for readability.", + "type": "text" + }, + { + "bbox": [ + 358, + 315, + 385, + 327 + ], + "score": 0.92, + "content": "\\mathcal { F } _ { t } ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 314, + 506, + 329 + ], + "score": 1.0, + "content": "denotes the expected features", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 325, + 433, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 172, + 338 + ], + "score": 1.0, + "content": "when starting at", + "type": "text" + }, + { + "bbox": [ + 172, + 328, + 182, + 337 + ], + "score": 0.85, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 325, + 213, + 338 + ], + "score": 1.0, + "content": "at time", + "type": "text" + }, + { + "bbox": [ + 213, + 327, + 218, + 336 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 325, + 424, + 338 + ], + "score": 1.0, + "content": "and acting until time 0 under the policy implied by", + "type": "text" + }, + { + "bbox": [ + 424, + 327, + 430, + 336 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 325, + 433, + 338 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 387 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "score": 1.0, + "content": "Since we combine gradients from simulated past trajectories, we name our algorithm Reward Learning", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 353, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 367 + ], + "score": 1.0, + "content": "by Simulating the Past (RLSP). The algorithm computes the gradient using dynamic programming,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 365, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 346, + 378 + ], + "score": 1.0, + "content": "detailed in Appendix B. We can easily incorporate a prior on", + "type": "text" + }, + { + "bbox": [ + 347, + 366, + 352, + 375 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 365, + 506, + 378 + ], + "score": 1.0, + "content": "by adding the gradient of the log prior", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 376, + 225, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 225, + 388 + ], + "score": 1.0, + "content": "to the gradient in Equation 5.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 108, + 403, + 193, + 416 + ], + "lines": [ + { + "bbox": [ + 104, + 401, + 195, + 419 + ], + "spans": [ + { + "bbox": [ + 104, + 401, + 195, + 419 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 427, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 455, + 439 + ], + "score": 1.0, + "content": "Evaluation of RLSP is non-trivial. The inferred reward is very likely to assign state", + "type": "text" + }, + { + "bbox": [ + 455, + 430, + 465, + 438 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "maximal", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 439, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "reward, since it was inferred under the assumption that when Alice optimized the reward she ended", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 129, + 461 + ], + "score": 1.0, + "content": "up at", + "type": "text" + }, + { + "bbox": [ + 129, + 451, + 139, + 460 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 450, + 269, + 461 + ], + "score": 1.0, + "content": ". If the robot then starts in state", + "type": "text" + }, + { + "bbox": [ + 269, + 451, + 279, + 460 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 450, + 505, + 461 + ], + "score": 1.0, + "content": ", if a no-op action is available (as it often is), the RLSP", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 460, + 378, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 378, + 474 + ], + "score": 1.0, + "content": "reward is likely to incentivize no-ops, which is not very interesting.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 477, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "score": 1.0, + "content": "Ultimately, we hope to use RLSP to correct badly specified instructions or reward functions. So, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 488, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 310, + 501 + ], + "score": 1.0, + "content": "created a suite of environments with a true reward", + "type": "text" + }, + { + "bbox": [ + 310, + 489, + 330, + 499 + ], + "score": 0.9, + "content": "R _ { \\mathrm { t r u e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 488, + 409, + 501 + ], + "score": 1.0, + "content": ", a specified reward", + "type": "text" + }, + { + "bbox": [ + 410, + 488, + 431, + 500 + ], + "score": 0.89, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 488, + 506, + 501 + ], + "score": 1.0, + "content": ", Alice’s first state", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 107, + 498, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 107, + 501, + 125, + 511 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 498, + 240, + 513 + ], + "score": 1.0, + "content": ", and the robot’s initial state", + "type": "text" + }, + { + "bbox": [ + 240, + 501, + 250, + 510 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 498, + 282, + 513 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 282, + 500, + 304, + 511 + ], + "score": 0.91, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 498, + 412, + 513 + ], + "score": 1.0, + "content": "ignores some aspect(s) of", + "type": "text" + }, + { + "bbox": [ + 412, + 500, + 432, + 510 + ], + "score": 0.92, + "content": "R _ { \\mathrm { t r u e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 498, + 506, + 513 + ], + "score": 1.0, + "content": ". RLSP is used to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 164, + 523 + ], + "score": 1.0, + "content": "infer a reward", + "type": "text" + }, + { + "bbox": [ + 165, + 510, + 186, + 521 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 510, + 209, + 523 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 209, + 512, + 219, + 522 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", which is then combined with the specified reward to get a final reward", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 107, + 521, + 194, + 533 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 521, + 506, + 534 + ], + "score": 1.0, + "content": ". (We considered another method for combining rewards; see Appendix D for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "details.) We inspect the inferred reward qualitatively and measure the expected amount of true reward", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 541, + 507, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 224, + 557 + ], + "score": 1.0, + "content": "obtained when planning with", + "type": "text" + }, + { + "bbox": [ + 225, + 543, + 243, + 554 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 541, + 507, + 557 + ], + "score": 1.0, + "content": ", as a fraction of the expected true reward from the optimal policy.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 552, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 222, + 569 + ], + "score": 1.0, + "content": "We tune the hyperparameter", + "type": "text" + }, + { + "bbox": [ + 222, + 555, + 230, + 564 + ], + "score": 0.73, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 552, + 363, + 569 + ], + "score": 1.0, + "content": "controlling the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 363, + 554, + 385, + 566 + ], + "score": 0.91, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 552, + 506, + 569 + ], + "score": 1.0, + "content": "and the human reward for all", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 448, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 448, + 578 + ], + "score": 1.0, + "content": "algorithms, including baselines. We use a Gaussian prior over the reward parameters.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 107, + 589, + 180, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 588, + 181, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 181, + 602 + ], + "score": 1.0, + "content": "5.1 BASELINES", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 469, + 622 + ], + "lines": [ + { + "bbox": [ + 105, + 608, + 470, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 208, + 623 + ], + "score": 1.0, + "content": "Specified reward policy", + "type": "text" + }, + { + "bbox": [ + 208, + 611, + 228, + 622 + ], + "score": 0.79, + "content": "\\pi _ { \\mathbf { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 608, + 470, + 623 + ], + "score": 1.0, + "content": ". We act as if the true reward is exactly the specified reward.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 503, + 651 + ], + "lines": [ + { + "bbox": [ + 106, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "Policy that penalizes deviations πdeviation. This baseline minimizes change by penalizing deviations", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 441, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 215, + 651 + ], + "score": 1.0, + "content": "from the observed features", + "type": "text" + }, + { + "bbox": [ + 216, + 638, + 239, + 650 + ], + "score": 0.92, + "content": "f ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 637, + 271, + 651 + ], + "score": 1.0, + "content": ", giving", + "type": "text" + }, + { + "bbox": [ + 271, + 637, + 437, + 651 + ], + "score": 0.92, + "content": "R _ { \\mathrm { f i n a l } } ( s ) = \\theta _ { \\mathrm { s p e c } } ^ { T } f ( s ) + \\lambda \\vert \\vert f ( s ) ^ { } - \\bar { f ( s _ { 0 } ) } \\vert \\vert", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 637, + 441, + 651 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 106, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "Relative reachability policy πreachability. Relative reachability (Krakovna et al., 2018) considers a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "change to be negative when it decreases coverage, relative to what would have happened had the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "agent done nothing. Here, coverage is a measure of how easily states can be reached from the current", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "state. We compare against the variant of relative reachability that uses undiscounted coverage and a", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "baseline policy where the agent takes no-op actions, as in the original paper. Relative reachability", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "requires known dynamics but not a handcoded featurization. A version of relative reachability that", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "score": 1.0, + "content": "operates in feature space instead of state space would behave similarly.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 43 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 504, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 132, + 96 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 82, + 168, + 95 + ], + "score": 0.92, + "content": "p ( \\tau _ { 0 } \\mid \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 81, + 412, + 96 + ], + "score": 1.0, + "content": "is given in Equation 1. We could invert this and sample from", + "type": "text" + }, + { + "bbox": [ + 413, + 82, + 449, + 95 + ], + "score": 0.93, + "content": "p ( \\theta \\mid s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "; the resulting", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 495, + 106 + ], + "score": 1.0, + "content": "algorithm is presented in Appendix C, but is relatively noisy and slow. We instead find the MLE:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 106 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 107, + 360, + 121 + ], + "lines": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "spans": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "score": 0.91, + "content": "\\theta ^ { * } = \\operatorname * { a r g m a x } _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) .", + "type": "interline_equation", + "image_path": "732f1e12c3b704ad20b701bd39fcca06f814b544817a233ea711da5c873530d3.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 251, + 107, + 360, + 121 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 129, + 505, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 505, + 142 + ], + "score": 1.0, + "content": "Solution. Similarly to MCEIRL, we use a gradient ascent algorithm to solve the IRL from one state", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 141, + 505, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 505, + 153 + ], + "score": 1.0, + "content": "problem. We explain the key steps here and give the full derivation in Appendix B. First, we express", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 151, + 316, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 316, + 164 + ], + "score": 1.0, + "content": "the gradient in terms of the gradients of trajectories:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 129, + 505, + 164 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 175, + 429, + 204 + ], + "lines": [ + { + "bbox": [ + 181, + 175, + 429, + 204 + ], + "spans": [ + { + "bbox": [ + 181, + 175, + 429, + 204 + ], + "score": 0.92, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } \\mid \\theta ) = \\sum _ { \\tau _ { - T ; - 1 } } p ( \\tau _ { - T ; - 1 } \\mid s _ { 0 } , \\theta ) \\nabla _ { \\theta } \\ln p ( \\tau _ { - T ; 0 } \\mid \\theta ) .", + "type": "interline_equation", + "image_path": "b07403e7291f5719fb786bcc33a1c61247e32b2f7d62d63d35dcf75a80915360.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 181, + 175, + 429, + 184.66666666666666 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 181, + 184.66666666666666, + 429, + 194.33333333333331 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 181, + 194.33333333333331, + 429, + 203.99999999999997 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 209, + 505, + 254 + ], + "lines": [ + { + "bbox": [ + 105, + 208, + 507, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 507, + 223 + ], + "score": 1.0, + "content": "This has a nice interpretation – compute the Maximum Causal Entropy gradients for each trajectory,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 234 + ], + "score": 1.0, + "content": "and then take their weighted sum, where each weight is the probability of the trajectory given", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 232, + 504, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 160, + 244 + ], + "score": 1.0, + "content": "the evidence", + "type": "text" + }, + { + "bbox": [ + 160, + 233, + 171, + 243 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 232, + 252, + 244 + ], + "score": 1.0, + "content": "and current reward", + "type": "text" + }, + { + "bbox": [ + 253, + 232, + 258, + 241 + ], + "score": 0.75, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 232, + 504, + 244 + ], + "score": 1.0, + "content": ". We derive the exact gradient for a trajectory instead of the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 104, + 242, + 434, + 256 + ], + "spans": [ + { + "bbox": [ + 104, + 242, + 434, + 256 + ], + "score": 1.0, + "content": "approximate one in Ziebart et al. (2010) in Appendix A and substitute it in to get:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 208, + 507, + 256 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 271, + 487, + 306 + ], + "lines": [ + { + "bbox": [ + 111, + 271, + 487, + 306 + ], + "spans": [ + { + "bbox": [ + 111, + 271, + 487, + 306 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { \\tau _ { - } , \\tau _ { : - 1 } } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - T } ^ { - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) \\right] ,", + "type": "interline_equation", + "image_path": "3c3dd560fb7fc26c5273af374de72dbaad050a46607321c932fbb3e972b1df22.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 271, + 487, + 282.6666666666667 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 111, + 282.6666666666667, + 487, + 294.33333333333337 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 111, + 294.33333333333337, + 487, + 306.00000000000006 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 504, + 338 + ], + "lines": [ + { + "bbox": [ + 105, + 314, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 289, + 329 + ], + "score": 1.0, + "content": "where we have suppressed the dependence on", + "type": "text" + }, + { + "bbox": [ + 289, + 316, + 295, + 325 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 314, + 358, + 329 + ], + "score": 1.0, + "content": "for readability.", + "type": "text" + }, + { + "bbox": [ + 358, + 315, + 385, + 327 + ], + "score": 0.92, + "content": "\\mathcal { F } _ { t } ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 386, + 314, + 506, + 329 + ], + "score": 1.0, + "content": "denotes the expected features", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 325, + 433, + 338 + ], + "spans": [ + { + "bbox": [ + 106, + 325, + 172, + 338 + ], + "score": 1.0, + "content": "when starting at", + "type": "text" + }, + { + "bbox": [ + 172, + 328, + 182, + 337 + ], + "score": 0.85, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 325, + 213, + 338 + ], + "score": 1.0, + "content": "at time", + "type": "text" + }, + { + "bbox": [ + 213, + 327, + 218, + 336 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 325, + 424, + 338 + ], + "score": 1.0, + "content": "and acting until time 0 under the policy implied by", + "type": "text" + }, + { + "bbox": [ + 424, + 327, + 430, + 336 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 325, + 433, + 338 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 314, + 506, + 338 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 387 + ], + "lines": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 356 + ], + "score": 1.0, + "content": "Since we combine gradients from simulated past trajectories, we name our algorithm Reward Learning", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 353, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 367 + ], + "score": 1.0, + "content": "by Simulating the Past (RLSP). The algorithm computes the gradient using dynamic programming,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 365, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 346, + 378 + ], + "score": 1.0, + "content": "detailed in Appendix B. We can easily incorporate a prior on", + "type": "text" + }, + { + "bbox": [ + 347, + 366, + 352, + 375 + ], + "score": 0.81, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 365, + 506, + 378 + ], + "score": 1.0, + "content": "by adding the gradient of the log prior", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 376, + 225, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 225, + 388 + ], + "score": 1.0, + "content": "to the gradient in Equation 5.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 342, + 506, + 388 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 403, + 193, + 416 + ], + "lines": [ + { + "bbox": [ + 104, + 401, + 195, + 419 + ], + "spans": [ + { + "bbox": [ + 104, + 401, + 195, + 419 + ], + "score": 1.0, + "content": "5 EVALUATION", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 427, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 505, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 455, + 439 + ], + "score": 1.0, + "content": "Evaluation of RLSP is non-trivial. The inferred reward is very likely to assign state", + "type": "text" + }, + { + "bbox": [ + 455, + 430, + 465, + 438 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 426, + 505, + 439 + ], + "score": 1.0, + "content": "maximal", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 439, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "reward, since it was inferred under the assumption that when Alice optimized the reward she ended", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 450, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 129, + 461 + ], + "score": 1.0, + "content": "up at", + "type": "text" + }, + { + "bbox": [ + 129, + 451, + 139, + 460 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 450, + 269, + 461 + ], + "score": 1.0, + "content": ". If the robot then starts in state", + "type": "text" + }, + { + "bbox": [ + 269, + 451, + 279, + 460 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 450, + 505, + 461 + ], + "score": 1.0, + "content": ", if a no-op action is available (as it often is), the RLSP", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 460, + 378, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 378, + 474 + ], + "score": 1.0, + "content": "reward is likely to incentivize no-ops, which is not very interesting.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 426, + 505, + 474 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 477, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 489 + ], + "score": 1.0, + "content": "Ultimately, we hope to use RLSP to correct badly specified instructions or reward functions. So, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 488, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 310, + 501 + ], + "score": 1.0, + "content": "created a suite of environments with a true reward", + "type": "text" + }, + { + "bbox": [ + 310, + 489, + 330, + 499 + ], + "score": 0.9, + "content": "R _ { \\mathrm { t r u e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 488, + 409, + 501 + ], + "score": 1.0, + "content": ", a specified reward", + "type": "text" + }, + { + "bbox": [ + 410, + 488, + 431, + 500 + ], + "score": 0.89, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 488, + 506, + 501 + ], + "score": 1.0, + "content": ", Alice’s first state", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 107, + 498, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 107, + 501, + 125, + 511 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 498, + 240, + 513 + ], + "score": 1.0, + "content": ", and the robot’s initial state", + "type": "text" + }, + { + "bbox": [ + 240, + 501, + 250, + 510 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 498, + 282, + 513 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 282, + 500, + 304, + 511 + ], + "score": 0.91, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 498, + 412, + 513 + ], + "score": 1.0, + "content": "ignores some aspect(s) of", + "type": "text" + }, + { + "bbox": [ + 412, + 500, + 432, + 510 + ], + "score": 0.92, + "content": "R _ { \\mathrm { t r u e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 498, + 506, + 513 + ], + "score": 1.0, + "content": ". RLSP is used to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 164, + 523 + ], + "score": 1.0, + "content": "infer a reward", + "type": "text" + }, + { + "bbox": [ + 165, + 510, + 186, + 521 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 510, + 209, + 523 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 209, + 512, + 219, + 522 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 510, + 505, + 523 + ], + "score": 1.0, + "content": ", which is then combined with the specified reward to get a final reward", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 107, + 521, + 194, + 533 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 521, + 506, + 534 + ], + "score": 1.0, + "content": ". (We considered another method for combining rewards; see Appendix D for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "details.) We inspect the inferred reward qualitatively and measure the expected amount of true reward", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 541, + 507, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 224, + 557 + ], + "score": 1.0, + "content": "obtained when planning with", + "type": "text" + }, + { + "bbox": [ + 225, + 543, + 243, + 554 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 541, + 507, + 557 + ], + "score": 1.0, + "content": ", as a fraction of the expected true reward from the optimal policy.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 552, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 222, + 569 + ], + "score": 1.0, + "content": "We tune the hyperparameter", + "type": "text" + }, + { + "bbox": [ + 222, + 555, + 230, + 564 + ], + "score": 0.73, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 552, + 363, + 569 + ], + "score": 1.0, + "content": "controlling the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 363, + 554, + 385, + 566 + ], + "score": 0.91, + "content": "R _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 552, + 506, + 569 + ], + "score": 1.0, + "content": "and the human reward for all", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 565, + 448, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 448, + 578 + ], + "score": 1.0, + "content": "algorithms, including baselines. We use a Gaussian prior over the reward parameters.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 478, + 507, + 578 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 589, + 180, + 600 + ], + "lines": [ + { + "bbox": [ + 106, + 588, + 181, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 181, + 602 + ], + "score": 1.0, + "content": "5.1 BASELINES", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 106, + 609, + 469, + 622 + ], + "lines": [ + { + "bbox": [ + 105, + 608, + 470, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 208, + 623 + ], + "score": 1.0, + "content": "Specified reward policy", + "type": "text" + }, + { + "bbox": [ + 208, + 611, + 228, + 622 + ], + "score": 0.79, + "content": "\\pi _ { \\mathbf { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 608, + 470, + 623 + ], + "score": 1.0, + "content": ". We act as if the true reward is exactly the specified reward.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 608, + 470, + 623 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 503, + 651 + ], + "lines": [ + { + "bbox": [ + 106, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 505, + 640 + ], + "score": 1.0, + "content": "Policy that penalizes deviations πdeviation. This baseline minimizes change by penalizing deviations", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 637, + 441, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 215, + 651 + ], + "score": 1.0, + "content": "from the observed features", + "type": "text" + }, + { + "bbox": [ + 216, + 638, + 239, + 650 + ], + "score": 0.92, + "content": "f ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 637, + 271, + 651 + ], + "score": 1.0, + "content": ", giving", + "type": "text" + }, + { + "bbox": [ + 271, + 637, + 437, + 651 + ], + "score": 0.92, + "content": "R _ { \\mathrm { f i n a l } } ( s ) = \\theta _ { \\mathrm { s p e c } } ^ { T } f ( s ) + \\lambda \\vert \\vert f ( s ) ^ { } - \\bar { f ( s _ { 0 } ) } \\vert \\vert", + "type": "inline_equation" + }, + { + "bbox": [ + 437, + 637, + 441, + 651 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 626, + 505, + 651 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "Relative reachability policy πreachability. Relative reachability (Krakovna et al., 2018) considers a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "change to be negative when it decreases coverage, relative to what would have happened had the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 689 + ], + "score": 1.0, + "content": "agent done nothing. Here, coverage is a measure of how easily states can be reached from the current", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "state. We compare against the variant of relative reachability that uses undiscounted coverage and a", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "baseline policy where the agent takes no-op actions, as in the original paper. Relative reachability", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 722 + ], + "score": 1.0, + "content": "requires known dynamics but not a handcoded featurization. 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The penalties also achieve", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "the desired behavior: πdeviation avoids breaking the vase since it would change the “number of broken", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "vases” feature, while relative reachability avoids breaking the vase since doing so would result in all", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 294, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 294, + 116 + ], + "score": 1.0, + "content": "states with intact vases becoming unreachable.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 676, + 507, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "the desired behavior: πdeviation avoids breaking the vase since it would change the “number of broken", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "vases” feature, while relative reachability avoids breaking the vase since doing so would result in all", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 294, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 294, + 116 + ], + "score": 1.0, + "content": "states with intact vases becoming unreachable.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "score": 1.0, + "content": "Distinguishing environment effects: Toy train (Figure 2b). To test whether algorithms can distin-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "score": 1.0, + "content": "guish between effects caused by the agent and effects caused by the environment, as suggested in", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "score": 1.0, + "content": "Krakovna et al. (2018), we add a toy train that moves along a predefined track. The train breaks if the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "agent steps on it. We add a new feature indicating whether the train is broken and new features for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "each possible train location. As before, the specified reward only has a positive weight on the purple", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 372, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 372, + 189 + ], + "score": 1.0, + "content": "door, while the true reward also penalizes broken trains and vases.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 193, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "RLSP infers a negative reward on broken vases and broken trains, for the same reason as before. It", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "also infers not to put any weight on any particular train location, even though it changes frequently,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 234, + 228 + ], + "score": 1.0, + "content": "because it doesn’t help explain", + "type": "text" + }, + { + "bbox": [ + 234, + 217, + 244, + 226 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 214, + 297, + 228 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + }, + { + "bbox": [ + 298, + 217, + 322, + 226 + ], + "score": 0.71, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 214, + 507, + 228 + ], + "score": 1.0, + "content": "walks over a carpet, but not a vase or a train.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 225, + 506, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 240 + ], + "score": 1.0, + "content": "πdeviation immediately breaks the train to keep the train location the same. πreachability deduces that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 416, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 416, + 251 + ], + "score": 1.0, + "content": "breaking the train is irreversible, and so follows the same trajectory as πRLSP.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 254, + 505, + 320 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "Implicit reward: Apple collection (Figure 2d). This environment tests whether the algorithms can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 197, + 278 + ], + "score": 1.0, + "content": "learn tasks implicit in", + "type": "text" + }, + { + "bbox": [ + 197, + 267, + 207, + 276 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 264, + 505, + 278 + ], + "score": 1.0, + "content": ". There are three trees that grow apples, as well as a basket for collecting", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "apples, and the goal is for the robot to harvest apples. However, the specified reward is zero: the robot", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 287, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 504, + 298 + ], + "score": 1.0, + "content": "must infer the task from the observed state. We have features for the number of apples in baskets, the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "number of apples on trees, whether the robot is carrying an apple, and each location that the agent", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 309, + 368, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 156, + 321 + ], + "score": 1.0, + "content": "could be in.", + "type": "text" + }, + { + "bbox": [ + 156, + 310, + 167, + 320 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 309, + 308, + 321 + ], + "score": 1.0, + "content": "has two apples in the basket, while", + "type": "text" + }, + { + "bbox": [ + 309, + 310, + 327, + 320 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 309, + 368, + 321 + ], + "score": 1.0, + "content": "has none.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 108, + 325, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 126, + 338 + ], + "score": 0.85, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 325, + 506, + 339 + ], + "score": 1.0, + "content": "is arbitrary since every policy is optimal for the zero reward. πdeviation does nothing, achieving", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 336, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 104, + 336, + 506, + 350 + ], + "score": 1.0, + "content": "zero reward, since its reward can never be positive. πreachability also does not harvest apples. RLSP", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "score": 1.0, + "content": "infers a positive reward on apples in baskets, a negative reward for apples on trees, and a small", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 358, + 504, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 370, + 371 + ], + "score": 1.0, + "content": "positive reward for carrying apples. Despite the spurious weights,", + "type": "text" + }, + { + "bbox": [ + 371, + 360, + 395, + 370 + ], + "score": 0.51, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 358, + 504, + 371 + ], + "score": 1.0, + "content": "harvests apples as desired.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 270, + 388 + ], + "score": 1.0, + "content": "Desirable side effect: Batteries (Figure", + "type": "text" + }, + { + "bbox": [ + 270, + 376, + 281, + 386 + ], + "score": 0.4, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "). This environment tests whether the algorithms can tell", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "score": 1.0, + "content": "when a side effect is allowed. We take the toy train environment, remove vases and carpets, and add", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "batteries. The robot can pick up batteries and put them into the (now unbreakable) toy train, but", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "score": 1.0, + "content": "the batteries are never replenished. If the train runs for 10 timesteps without a new battery, it stops", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "operating. There are features for the number of batteries, whether the train is operational, each train", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 343, + 443 + ], + "score": 1.0, + "content": "location, and each door location. There are two batteries at", + "type": "text" + }, + { + "bbox": [ + 343, + 432, + 361, + 442 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 430, + 424, + 443 + ], + "score": 1.0, + "content": "but only one at", + "type": "text" + }, + { + "bbox": [ + 425, + 432, + 435, + 441 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 430, + 505, + 443 + ], + "score": 1.0, + "content": ". The true reward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "score": 1.0, + "content": "incentivizes an operational train and being at the purple door. We consider two variants for the task", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "reward – an “easy” case, where the task reward equals the true reward, and a “hard” case, where the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 464, + 308, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 308, + 475 + ], + "score": 1.0, + "content": "task reward only rewards being at the purple door.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 479, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 172, + 494 + ], + "score": 1.0, + "content": "Unsurprisingly,", + "type": "text" + }, + { + "bbox": [ + 172, + 482, + 192, + 492 + ], + "score": 0.87, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 479, + 506, + 494 + ], + "score": 1.0, + "content": "succeeds at the easy case, and fails on the hard case by allowing the train to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "run out of power. Both πdeviation and πreachability see the action of putting a battery in the train as a side", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "score": 1.0, + "content": "effect to be penalized, and so neither can solve the hard case. They penalize picking up the batteries,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "and so only solve the easy case if the penalty weight is small. RLSP sees that one battery is gone", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 536 + ], + "score": 1.0, + "content": "and that the train is operational, and infers that Alice wants the train to be operational and doesn’t", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "want batteries (since a preference against batteries and a preference for an operational train are nearly", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 545, + 507, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 507, + 559 + ], + "score": 1.0, + "content": "indistinguishable). So, it solves both the easy and the hard case, with πRLSP picking up the battery,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 557, + 392, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 392, + 569 + ], + "score": 1.0, + "content": "then staying at the purple door except to deliver the battery to the train.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 106, + 573, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 104, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "“Unseen” side effect: Room with far away vase (Figure 2e). This environment demonstrates a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "limitation of our algorithm: it cannot identify side effects that Alice would never have triggered. In", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "score": 1.0, + "content": "this room, the vase is nowhere close to the shortest path from the Alice’s original position to her", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "goal, but is on the path to the robot’s goal. Since our baselines don’t care about the trajectory the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 617, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 266, + 632 + ], + "score": 1.0, + "content": "human takes, they all perform as before:", + "type": "text" + }, + { + "bbox": [ + 267, + 619, + 286, + 630 + ], + "score": 0.88, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 617, + 392, + 632 + ], + "score": 1.0, + "content": "walks over the vase, while", + "type": "text" + }, + { + "bbox": [ + 393, + 619, + 426, + 629 + ], + "score": 0.28, + "content": "\\pi _ { \\mathrm { d e v i a t i o n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 617, + 506, + 632 + ], + "score": 1.0, + "content": "and πreachability both", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "avoid it. Our method infers a near zero weight on the broken vase feature, since it is not present on", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "any reasonable trajectory to the goal, and so breaks it when moving to the goal. Note that this only", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 649, + 507, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 355, + 664 + ], + "score": 1.0, + "content": "applies when Alice is known to be at the bottom left corner at", + "type": "text" + }, + { + "bbox": [ + 355, + 651, + 373, + 662 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 649, + 507, + 664 + ], + "score": 1.0, + "content": ": if we have a uniform prior over", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 107, + 661, + 462, + 674 + ], + "spans": [ + { + "bbox": [ + 107, + 663, + 125, + 673 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 661, + 462, + 674 + ], + "score": 1.0, + "content": "(considered in Section 5.3) then we do consider trajectories where vases are broken.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45 + }, + { + "type": "title", + "bbox": [ + 108, + 689, + 432, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 433, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 279, + 702 + ], + "score": 1.0, + "content": "5.3 COMPARISON BETWEEN KNOWING", + "type": "text" + }, + { + "bbox": [ + 280, + 690, + 298, + 700 + ], + "score": 0.8, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 688, + 415, + 702 + ], + "score": 1.0, + "content": "VS. A DISTRIBUTION OVER", + "type": "text" + }, + { + "bbox": [ + 415, + 690, + 433, + 700 + ], + "score": 0.78, + "content": "s _ { - T }", + "type": "inline_equation" + } + ], + "index": 50 + } + ], + "index": 50 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 503, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 352, + 722 + ], + "score": 1.0, + "content": "So far, we have considered the setting where the robot knows", + "type": "text" + }, + { + "bbox": [ + 353, + 712, + 370, + 721 + ], + "score": 0.8, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 709, + 505, + 722 + ], + "score": 1.0, + "content": ", since it is easier to analyze what", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 720, + 504, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 290, + 733 + ], + "score": 1.0, + "content": "happens. However, typically we will not know", + "type": "text" + }, + { + "bbox": [ + 290, + 722, + 308, + 732 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 720, + 460, + 733 + ], + "score": 1.0, + "content": ", and will instead have some prior over", + "type": "text" + }, + { + "bbox": [ + 460, + 722, + 478, + 732 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 720, + 504, + 733 + ], + "score": 1.0, + "content": ". Here,", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 51.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 751, + 309, + 762 + ], + "score": 1.0, + "content": "6", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 116 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 105, + 82, + 505, + 116 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "score": 1.0, + "content": "Distinguishing environment effects: Toy train (Figure 2b). To test whether algorithms can distin-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 505, + 144 + ], + "score": 1.0, + "content": "guish between effects caused by the agent and effects caused by the environment, as suggested in", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "score": 1.0, + "content": "Krakovna et al. (2018), we add a toy train that moves along a predefined track. The train breaks if the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 166 + ], + "score": 1.0, + "content": "agent steps on it. We add a new feature indicating whether the train is broken and new features for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "each possible train location. As before, the specified reward only has a positive weight on the purple", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 175, + 372, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 372, + 189 + ], + "score": 1.0, + "content": "door, while the true reward also penalizes broken trains and vases.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 121, + 506, + 189 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 193, + 505, + 248 + ], + "lines": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 505, + 205 + ], + "score": 1.0, + "content": "RLSP infers a negative reward on broken vases and broken trains, for the same reason as before. It", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "also infers not to put any weight on any particular train location, even though it changes frequently,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 234, + 228 + ], + "score": 1.0, + "content": "because it doesn’t help explain", + "type": "text" + }, + { + "bbox": [ + 234, + 217, + 244, + 226 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 214, + 297, + 228 + ], + "score": 1.0, + "content": ". As a result,", + "type": "text" + }, + { + "bbox": [ + 298, + 217, + 322, + 226 + ], + "score": 0.71, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 214, + 507, + 228 + ], + "score": 1.0, + "content": "walks over a carpet, but not a vase or a train.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 225, + 506, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 506, + 240 + ], + "score": 1.0, + "content": "πdeviation immediately breaks the train to keep the train location the same. πreachability deduces that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 416, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 416, + 251 + ], + "score": 1.0, + "content": "breaking the train is irreversible, and so follows the same trajectory as πRLSP.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 193, + 507, + 251 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 254, + 505, + 320 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 266 + ], + "score": 1.0, + "content": "Implicit reward: Apple collection (Figure 2d). This environment tests whether the algorithms can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 264, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 197, + 278 + ], + "score": 1.0, + "content": "learn tasks implicit in", + "type": "text" + }, + { + "bbox": [ + 197, + 267, + 207, + 276 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 264, + 505, + 278 + ], + "score": 1.0, + "content": ". There are three trees that grow apples, as well as a basket for collecting", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 506, + 289 + ], + "score": 1.0, + "content": "apples, and the goal is for the robot to harvest apples. However, the specified reward is zero: the robot", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 287, + 504, + 298 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 504, + 298 + ], + "score": 1.0, + "content": "must infer the task from the observed state. We have features for the number of apples in baskets, the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 505, + 310 + ], + "score": 1.0, + "content": "number of apples on trees, whether the robot is carrying an apple, and each location that the agent", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 309, + 368, + 321 + ], + "spans": [ + { + "bbox": [ + 106, + 309, + 156, + 321 + ], + "score": 1.0, + "content": "could be in.", + "type": "text" + }, + { + "bbox": [ + 156, + 310, + 167, + 320 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 309, + 308, + 321 + ], + "score": 1.0, + "content": "has two apples in the basket, while", + "type": "text" + }, + { + "bbox": [ + 309, + 310, + 327, + 320 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 309, + 368, + 321 + ], + "score": 1.0, + "content": "has none.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 253, + 506, + 321 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 325, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 325, + 506, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 126, + 338 + ], + "score": 0.85, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 127, + 325, + 506, + 339 + ], + "score": 1.0, + "content": "is arbitrary since every policy is optimal for the zero reward. πdeviation does nothing, achieving", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 336, + 506, + 350 + ], + "spans": [ + { + "bbox": [ + 104, + 336, + 506, + 350 + ], + "score": 1.0, + "content": "zero reward, since its reward can never be positive. πreachability also does not harvest apples. RLSP", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 506, + 361 + ], + "score": 1.0, + "content": "infers a positive reward on apples in baskets, a negative reward for apples on trees, and a small", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 358, + 504, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 370, + 371 + ], + "score": 1.0, + "content": "positive reward for carrying apples. Despite the spurious weights,", + "type": "text" + }, + { + "bbox": [ + 371, + 360, + 395, + 370 + ], + "score": 0.51, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 358, + 504, + 371 + ], + "score": 1.0, + "content": "harvests apples as desired.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 104, + 325, + 506, + 371 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 474 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 270, + 388 + ], + "score": 1.0, + "content": "Desirable side effect: Batteries (Figure", + "type": "text" + }, + { + "bbox": [ + 270, + 376, + 281, + 386 + ], + "score": 0.4, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "). This environment tests whether the algorithms can tell", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 398 + ], + "score": 1.0, + "content": "when a side effect is allowed. We take the toy train environment, remove vases and carpets, and add", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "batteries. The robot can pick up batteries and put them into the (now unbreakable) toy train, but", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 421 + ], + "score": 1.0, + "content": "the batteries are never replenished. If the train runs for 10 timesteps without a new battery, it stops", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 506, + 432 + ], + "score": 1.0, + "content": "operating. There are features for the number of batteries, whether the train is operational, each train", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 343, + 443 + ], + "score": 1.0, + "content": "location, and each door location. There are two batteries at", + "type": "text" + }, + { + "bbox": [ + 343, + 432, + 361, + 442 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 430, + 424, + 443 + ], + "score": 1.0, + "content": "but only one at", + "type": "text" + }, + { + "bbox": [ + 425, + 432, + 435, + 441 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 430, + 505, + 443 + ], + "score": 1.0, + "content": ". The true reward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 505, + 453 + ], + "score": 1.0, + "content": "incentivizes an operational train and being at the purple door. We consider two variants for the task", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "reward – an “easy” case, where the task reward equals the true reward, and a “hard” case, where the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 464, + 308, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 308, + 475 + ], + "score": 1.0, + "content": "task reward only rewards being at the purple door.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 374, + 506, + 475 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 480, + 505, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 479, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 172, + 494 + ], + "score": 1.0, + "content": "Unsurprisingly,", + "type": "text" + }, + { + "bbox": [ + 172, + 482, + 192, + 492 + ], + "score": 0.87, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 479, + 506, + 494 + ], + "score": 1.0, + "content": "succeeds at the easy case, and fails on the hard case by allowing the train to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "score": 1.0, + "content": "run out of power. Both πdeviation and πreachability see the action of putting a battery in the train as a side", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "score": 1.0, + "content": "effect to be penalized, and so neither can solve the hard case. They penalize picking up the batteries,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 525 + ], + "score": 1.0, + "content": "and so only solve the easy case if the penalty weight is small. RLSP sees that one battery is gone", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 524, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 506, + 536 + ], + "score": 1.0, + "content": "and that the train is operational, and infers that Alice wants the train to be operational and doesn’t", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "want batteries (since a preference against batteries and a preference for an operational train are nearly", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 545, + 507, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 507, + 559 + ], + "score": 1.0, + "content": "indistinguishable). So, it solves both the easy and the hard case, with πRLSP picking up the battery,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 557, + 392, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 392, + 569 + ], + "score": 1.0, + "content": "then staying at the purple door except to deliver the battery to the train.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 479, + 507, + 569 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 573, + 505, + 672 + ], + "lines": [ + { + "bbox": [ + 104, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "“Unseen” side effect: Room with far away vase (Figure 2e). This environment demonstrates a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 505, + 597 + ], + "score": 1.0, + "content": "limitation of our algorithm: it cannot identify side effects that Alice would never have triggered. In", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 506, + 608 + ], + "score": 1.0, + "content": "this room, the vase is nowhere close to the shortest path from the Alice’s original position to her", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "goal, but is on the path to the robot’s goal. Since our baselines don’t care about the trajectory the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 617, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 266, + 632 + ], + "score": 1.0, + "content": "human takes, they all perform as before:", + "type": "text" + }, + { + "bbox": [ + 267, + 619, + 286, + 630 + ], + "score": 0.88, + "content": "\\pi _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 617, + 392, + 632 + ], + "score": 1.0, + "content": "walks over the vase, while", + "type": "text" + }, + { + "bbox": [ + 393, + 619, + 426, + 629 + ], + "score": 0.28, + "content": "\\pi _ { \\mathrm { d e v i a t i o n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 617, + 506, + 632 + ], + "score": 1.0, + "content": "and πreachability both", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "avoid it. Our method infers a near zero weight on the broken vase feature, since it is not present on", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 505, + 652 + ], + "score": 1.0, + "content": "any reasonable trajectory to the goal, and so breaks it when moving to the goal. Note that this only", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 649, + 507, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 355, + 664 + ], + "score": 1.0, + "content": "applies when Alice is known to be at the bottom left corner at", + "type": "text" + }, + { + "bbox": [ + 355, + 651, + 373, + 662 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 649, + 507, + 664 + ], + "score": 1.0, + "content": ": if we have a uniform prior over", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 107, + 661, + 462, + 674 + ], + "spans": [ + { + "bbox": [ + 107, + 663, + 125, + 673 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 661, + 462, + 674 + ], + "score": 1.0, + "content": "(considered in Section 5.3) then we do consider trajectories where vases are broken.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45, + "bbox_fs": [ + 104, + 572, + 507, + 674 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 689, + 432, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 433, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 279, + 702 + ], + "score": 1.0, + "content": "5.3 COMPARISON BETWEEN KNOWING", + "type": "text" + }, + { + "bbox": [ + 280, + 690, + 298, + 700 + ], + "score": 0.8, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 688, + 415, + 702 + ], + "score": 1.0, + "content": "VS. A DISTRIBUTION OVER", + "type": "text" + }, + { + "bbox": [ + 415, + 690, + 433, + 700 + ], + "score": 0.78, + "content": "s _ { - T }", + "type": "inline_equation" + } + ], + "index": 50 + } + ], + "index": 50 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 503, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 352, + 722 + ], + "score": 1.0, + "content": "So far, we have considered the setting where the robot knows", + "type": "text" + }, + { + "bbox": [ + 353, + 712, + 370, + 721 + ], + "score": 0.8, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 709, + 505, + 722 + ], + "score": 1.0, + "content": ", since it is easier to analyze what", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 720, + 504, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 290, + 733 + ], + "score": 1.0, + "content": "happens. However, typically we will not know", + "type": "text" + }, + { + "bbox": [ + 290, + 722, + 308, + 732 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 720, + 460, + 733 + ], + "score": 1.0, + "content": ", and will instead have some prior over", + "type": "text" + }, + { + "bbox": [ + 460, + 722, + 478, + 732 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 720, + 504, + 733 + ], + "score": 1.0, + "content": ". 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In both room with vase and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 122, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 506, + 134 + ], + "score": 1.0, + "content": "toy train, RLSP learns a smaller negative reward on broken vases when using a uniform prior. This is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "because RLSP considers many more feasible trajectories when using a uniform prior, many of which", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "do not give Alice a chance to break the vase, as in Room with far away vase in Section 5.2. In room", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "with vase, the small positive reward on carpets changes to a near-zero negative reward on carpets.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 507, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 159, + 178 + ], + "score": 1.0, + "content": "With known", + "type": "text" + }, + { + "bbox": [ + 159, + 167, + 177, + 177 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 165, + 507, + 178 + ], + "score": 1.0, + "content": ", RLSP overfits to the few consistent trajectories, which usually go over carpets,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "whereas with a uniform prior it considers many more trajectories that often don’t go over carpets, and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "so it correctly infers a near-zero weight. In toy train, the negative reward on broken trains becomes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "slightly more negative, while other features remain approximately the same. This may be because", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "when Alice starts out closer to the toy train, she has more of an opportunity to break it, compared to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 192, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 150, + 233 + ], + "score": 1.0, + "content": "the known", + "type": "text" + }, + { + "bbox": [ + 150, + 222, + 169, + 232 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 219, + 192, + 233 + ], + "score": 1.0, + "content": "case.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 237, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "Implicit preference: Apple collection (Figure 2d). Here, a uniform prior leads to a smaller positive", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 248, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 411, + 260 + ], + "score": 1.0, + "content": "weight on the number of apples in baskets compared to the case with known", + "type": "text" + }, + { + "bbox": [ + 411, + 249, + 429, + 259 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 248, + 505, + 260 + ], + "score": 1.0, + "content": ". Intuitively, this is", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 279, + 271 + ], + "score": 1.0, + "content": "because RLSP is considering cases where", + "type": "text" + }, + { + "bbox": [ + 279, + 261, + 297, + 270 + ], + "score": 0.89, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "already has one or two apples in the basket, which", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "implies that Alice has collected fewer apples and so must have been less interested in them. States", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 281, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 435, + 293 + ], + "score": 1.0, + "content": "where the basket starts with three or more apples are inconsistent with the observed", + "type": "text" + }, + { + "bbox": [ + 436, + 282, + 447, + 292 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 281, + 505, + 293 + ], + "score": 1.0, + "content": "and so are not", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 457, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 457, + 304 + ], + "score": 1.0, + "content": "considered. Following the inferred reward still leads to good apple harvesting behavior.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 386 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 274, + 321 + ], + "score": 1.0, + "content": "Desirable side effects: Batteries (Figure", + "type": "text" + }, + { + "bbox": [ + 275, + 309, + 286, + 319 + ], + "score": 0.46, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 308, + 505, + 321 + ], + "score": 1.0, + "content": "). With the uniform prior, we see the same behavior as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 320, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 505, + 332 + ], + "score": 1.0, + "content": "in Apple collection, where RLSP with a uniform prior learns a slightly smaller negative reward on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 331, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 253, + 343 + ], + "score": 1.0, + "content": "the batteries, since it considers states", + "type": "text" + }, + { + "bbox": [ + 253, + 333, + 271, + 342 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 331, + 505, + 343 + ], + "score": 1.0, + "content": "where the battery was already gone. In addition, due to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "particular setup the battery must have been given to the train two timesteps prior, which means that in", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "score": 1.0, + "content": "any state where the train started with very little charge, it was allowed to die even though a battery", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 363, + 507, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 507, + 376 + ], + "score": 1.0, + "content": "could have been provided before, leading to a near-zero positive weight on the train losing charge.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 374, + 474, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 474, + 387 + ], + "score": 1.0, + "content": "Despite this, RLSP successfully delivers the battery to the train in both easy and hard cases.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 104, + 389, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 104, + 389, + 506, + 405 + ], + "score": 1.0, + "content": "“Unseen” side effect: Room with far away vase (Figure 2e). With a uniform prior, we “see” the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "side effect: if Alice started at the purple door, then the shortest trajectory to the black door would", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "break a vase. As a result, πRLSP successfully avoids the vase (whereas it previously did not). Here,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 504, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 235, + 436 + ], + "score": 1.0, + "content": "uncertainty over the initial state", + "type": "text" + }, + { + "bbox": [ + 235, + 426, + 253, + 435 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 425, + 504, + 436 + ], + "score": 1.0, + "content": "can counterintuitively improve the results, because it increases", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 436, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 505, + 447 + ], + "score": 1.0, + "content": "the diversity of trajectories considered, which prevents RLSP from “overfitting” to the few trajectories", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 446, + 256, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 205, + 459 + ], + "score": 1.0, + "content": "consistent with a known", + "type": "text" + }, + { + "bbox": [ + 205, + 448, + 224, + 458 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 446, + 241, + 459 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 242, + 448, + 252, + 457 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 446, + 256, + 459 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 463, + 504, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 358, + 477 + ], + "score": 1.0, + "content": "Overall, RLSP is quite robust to the use of a uniform prior over", + "type": "text" + }, + { + "bbox": [ + 358, + 465, + 376, + 474 + ], + "score": 0.84, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 462, + 505, + 477 + ], + "score": 1.0, + "content": ", suggesting that we do not need", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 474, + 313, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 313, + 487 + ], + "score": 1.0, + "content": "to be particularly careful in the design of that prior.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5 + }, + { + "type": "title", + "bbox": [ + 108, + 501, + 398, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 400, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 400, + 514 + ], + "score": 1.0, + "content": "5.4 ROBUSTNESS TO THE CHOICE OF ALICE’S PLANNING HORIZON", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 522, + 503, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 522, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 535 + ], + "score": 1.0, + "content": "We investigate how RLSP performs when assuming the wrong value of Alice’s planning horizon", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 107, + 532, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 107, + 534, + 115, + 543 + ], + "score": 0.68, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 532, + 204, + 546 + ], + "score": 1.0, + "content": ". We vary the value of", + "type": "text" + }, + { + "bbox": [ + 204, + 534, + 213, + 543 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 532, + 442, + 546 + ], + "score": 1.0, + "content": "assumed by RLSP, and report the true return achieved by", + "type": "text" + }, + { + "bbox": [ + 443, + 535, + 467, + 545 + ], + "score": 0.53, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 532, + 505, + 546 + ], + "score": 1.0, + "content": "obtained", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "score": 1.0, + "content": "using the inferred reward and a fixed horizon for the robot to act. For this experiment, we used a", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 184, + 568 + ], + "score": 1.0, + "content": "uniform prior over", + "type": "text" + }, + { + "bbox": [ + 185, + 557, + 203, + 566 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 555, + 280, + 568 + ], + "score": 1.0, + "content": ", since with known", + "type": "text" + }, + { + "bbox": [ + 281, + 556, + 299, + 567 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 555, + 441, + 568 + ], + "score": 1.0, + "content": ", RLSP often detects that the given", + "type": "text" + }, + { + "bbox": [ + 442, + 557, + 460, + 567 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 555, + 478, + 568 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 557, + 489, + 566 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 566, + 416, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 188, + 578 + ], + "score": 1.0, + "content": "incompatible (when", + "type": "text" + }, + { + "bbox": [ + 189, + 567, + 197, + 576 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 566, + 416, + 578 + ], + "score": 1.0, + "content": "is misspecified). The results are presented in Figure 3.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 583, + 374, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 583, + 375, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 375, + 594 + ], + "score": 1.0, + "content": "The performance worsens when RLSP assumes that Alice had a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 374, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 374, + 606 + ], + "score": 1.0, + "content": "smaller planning horizon than she actually had. Intuitively, if we", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 605, + 374, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 605, + 374, + 616 + ], + "score": 1.0, + "content": "assume that Alice has only taken one or two actions ever, then even", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 615, + 375, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 375, + 628 + ], + "score": 1.0, + "content": "if we knew the actions they could have been in service of many", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 627, + 354, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 354, + 638 + ], + "score": 1.0, + "content": "goals, and so we end up quite uncertain about Alice’s reward.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 644, + 374, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 375, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 182, + 657 + ], + "score": 1.0, + "content": "When the assumed", + "type": "text" + }, + { + "bbox": [ + 182, + 644, + 191, + 654 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 642, + 375, + 657 + ], + "score": 1.0, + "content": "is larger than the true horizon, RLSP correctly", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 654, + 375, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 375, + 667 + ], + "score": 1.0, + "content": "infers things the robot should not do. Knowing that the vase was not", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 665, + 375, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 197, + 678 + ], + "score": 1.0, + "content": "broken for longer than", + "type": "text" + }, + { + "bbox": [ + 197, + 666, + 206, + 676 + ], + "score": 0.75, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 665, + 375, + 678 + ], + "score": 1.0, + "content": "timesteps is more evidence to suspect that", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 676, + 375, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 375, + 689 + ], + "score": 1.0, + "content": "Alice cared about not breaking the vase. However, overestimated", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 687, + 375, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 115, + 698 + ], + "score": 0.74, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 687, + 375, + 700 + ], + "score": 1.0, + "content": "leads to worse performance at inferring implicit preferences, as", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 699, + 375, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 375, + 711 + ], + "score": 1.0, + "content": "in the Apples environment. If we assume Alice has only collected", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 710, + 374, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 374, + 721 + ], + "score": 1.0, + "content": "two apples in 100 timesteps, she must not have cared about them", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 721, + 374, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 374, + 732 + ], + "score": 1.0, + "content": "much, since she could have collected many more. 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In both room with vase and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 122, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 506, + 134 + ], + "score": 1.0, + "content": "toy train, RLSP learns a smaller negative reward on broken vases when using a uniform prior. This is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "because RLSP considers many more feasible trajectories when using a uniform prior, many of which", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 505, + 156 + ], + "score": 1.0, + "content": "do not give Alice a chance to break the vase, as in Room with far away vase in Section 5.2. In room", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "with vase, the small positive reward on carpets changes to a near-zero negative reward on carpets.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 507, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 159, + 178 + ], + "score": 1.0, + "content": "With known", + "type": "text" + }, + { + "bbox": [ + 159, + 167, + 177, + 177 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 165, + 507, + 178 + ], + "score": 1.0, + "content": ", RLSP overfits to the few consistent trajectories, which usually go over carpets,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "whereas with a uniform prior it considers many more trajectories that often don’t go over carpets, and", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "so it correctly infers a near-zero weight. In toy train, the negative reward on broken trains becomes", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "slightly more negative, while other features remain approximately the same. This may be because", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "when Alice starts out closer to the toy train, she has more of an opportunity to break it, compared to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 219, + 192, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 150, + 233 + ], + "score": 1.0, + "content": "the known", + "type": "text" + }, + { + "bbox": [ + 150, + 222, + 169, + 232 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 219, + 192, + 233 + ], + "score": 1.0, + "content": "case.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 110, + 507, + 233 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 237, + 505, + 303 + ], + "lines": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "Implicit preference: Apple collection (Figure 2d). Here, a uniform prior leads to a smaller positive", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 248, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 411, + 260 + ], + "score": 1.0, + "content": "weight on the number of apples in baskets compared to the case with known", + "type": "text" + }, + { + "bbox": [ + 411, + 249, + 429, + 259 + ], + "score": 0.85, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 248, + 505, + 260 + ], + "score": 1.0, + "content": ". Intuitively, this is", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 279, + 271 + ], + "score": 1.0, + "content": "because RLSP is considering cases where", + "type": "text" + }, + { + "bbox": [ + 279, + 261, + 297, + 270 + ], + "score": 0.89, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "already has one or two apples in the basket, which", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "implies that Alice has collected fewer apples and so must have been less interested in them. States", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 281, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 281, + 435, + 293 + ], + "score": 1.0, + "content": "where the basket starts with three or more apples are inconsistent with the observed", + "type": "text" + }, + { + "bbox": [ + 436, + 282, + 447, + 292 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 281, + 505, + 293 + ], + "score": 1.0, + "content": "and so are not", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 457, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 457, + 304 + ], + "score": 1.0, + "content": "considered. Following the inferred reward still leads to good apple harvesting behavior.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 236, + 505, + 304 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 308, + 505, + 386 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 274, + 321 + ], + "score": 1.0, + "content": "Desirable side effects: Batteries (Figure", + "type": "text" + }, + { + "bbox": [ + 275, + 309, + 286, + 319 + ], + "score": 0.46, + "content": "2 c", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 308, + 505, + 321 + ], + "score": 1.0, + "content": "). With the uniform prior, we see the same behavior as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 320, + 505, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 505, + 332 + ], + "score": 1.0, + "content": "in Apple collection, where RLSP with a uniform prior learns a slightly smaller negative reward on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 331, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 253, + 343 + ], + "score": 1.0, + "content": "the batteries, since it considers states", + "type": "text" + }, + { + "bbox": [ + 253, + 333, + 271, + 342 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 331, + 505, + 343 + ], + "score": 1.0, + "content": "where the battery was already gone. In addition, due to the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "particular setup the battery must have been given to the train two timesteps prior, which means that in", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 506, + 366 + ], + "score": 1.0, + "content": "any state where the train started with very little charge, it was allowed to die even though a battery", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 363, + 507, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 507, + 376 + ], + "score": 1.0, + "content": "could have been provided before, leading to a near-zero positive weight on the train losing charge.", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 374, + 474, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 474, + 387 + ], + "score": 1.0, + "content": "Despite this, RLSP successfully delivers the battery to the train in both easy and hard cases.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 308, + 507, + 387 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 104, + 389, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 104, + 389, + 506, + 405 + ], + "score": 1.0, + "content": "“Unseen” side effect: Room with far away vase (Figure 2e). With a uniform prior, we “see” the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 505, + 415 + ], + "score": 1.0, + "content": "side effect: if Alice started at the purple door, then the shortest trajectory to the black door would", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "break a vase. As a result, πRLSP successfully avoids the vase (whereas it previously did not). Here,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 504, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 235, + 436 + ], + "score": 1.0, + "content": "uncertainty over the initial state", + "type": "text" + }, + { + "bbox": [ + 235, + 426, + 253, + 435 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 425, + 504, + 436 + ], + "score": 1.0, + "content": "can counterintuitively improve the results, because it increases", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 436, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 505, + 447 + ], + "score": 1.0, + "content": "the diversity of trajectories considered, which prevents RLSP from “overfitting” to the few trajectories", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 446, + 256, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 205, + 459 + ], + "score": 1.0, + "content": "consistent with a known", + "type": "text" + }, + { + "bbox": [ + 205, + 448, + 224, + 458 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 446, + 241, + 459 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 242, + 448, + 252, + 457 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 446, + 256, + 459 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5, + "bbox_fs": [ + 104, + 389, + 506, + 459 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 463, + 504, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 358, + 477 + ], + "score": 1.0, + "content": "Overall, RLSP is quite robust to the use of a uniform prior over", + "type": "text" + }, + { + "bbox": [ + 358, + 465, + 376, + 474 + ], + "score": 0.84, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 377, + 462, + 505, + 477 + ], + "score": 1.0, + "content": ", suggesting that we do not need", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 474, + 313, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 313, + 487 + ], + "score": 1.0, + "content": "to be particularly careful in the design of that prior.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 462, + 505, + 487 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 501, + 398, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 400, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 400, + 514 + ], + "score": 1.0, + "content": "5.4 ROBUSTNESS TO THE CHOICE OF ALICE’S PLANNING HORIZON", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 522, + 503, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 522, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 535 + ], + "score": 1.0, + "content": "We investigate how RLSP performs when assuming the wrong value of Alice’s planning horizon", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 107, + 532, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 107, + 534, + 115, + 543 + ], + "score": 0.68, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 532, + 204, + 546 + ], + "score": 1.0, + "content": ". We vary the value of", + "type": "text" + }, + { + "bbox": [ + 204, + 534, + 213, + 543 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 532, + 442, + 546 + ], + "score": 1.0, + "content": "assumed by RLSP, and report the true return achieved by", + "type": "text" + }, + { + "bbox": [ + 443, + 535, + 467, + 545 + ], + "score": 0.53, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 532, + 505, + 546 + ], + "score": 1.0, + "content": "obtained", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 505, + 557 + ], + "score": 1.0, + "content": "using the inferred reward and a fixed horizon for the robot to act. For this experiment, we used a", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 555, + 505, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 555, + 184, + 568 + ], + "score": 1.0, + "content": "uniform prior over", + "type": "text" + }, + { + "bbox": [ + 185, + 557, + 203, + 566 + ], + "score": 0.87, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 555, + 280, + 568 + ], + "score": 1.0, + "content": ", since with known", + "type": "text" + }, + { + "bbox": [ + 281, + 556, + 299, + 567 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 555, + 441, + 568 + ], + "score": 1.0, + "content": ", RLSP often detects that the given", + "type": "text" + }, + { + "bbox": [ + 442, + 557, + 460, + 567 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 555, + 478, + 568 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 478, + 557, + 489, + 566 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 555, + 505, + 568 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 566, + 416, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 566, + 188, + 578 + ], + "score": 1.0, + "content": "incompatible (when", + "type": "text" + }, + { + "bbox": [ + 189, + 567, + 197, + 576 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 566, + 416, + 578 + ], + "score": 1.0, + "content": "is misspecified). The results are presented in Figure 3.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 106, + 522, + 505, + 578 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 583, + 374, + 638 + ], + "lines": [ + { + "bbox": [ + 106, + 583, + 375, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 375, + 594 + ], + "score": 1.0, + "content": "The performance worsens when RLSP assumes that Alice had a", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 594, + 374, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 374, + 606 + ], + "score": 1.0, + "content": "smaller planning horizon than she actually had. 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This is", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 428, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 428, + 117 + ], + "score": 1.0, + "content": "not particularly consistent with any reward function, and performance degrades.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 165 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 142, + 134 + ], + "score": 1.0, + "content": "Overall,", + "type": "text" + }, + { + "bbox": [ + 142, + 122, + 151, + 131 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 121, + 486, + 134 + ], + "score": 1.0, + "content": "is an important parameter and needs to be set appropriately. However, even when", + "type": "text" + }, + { + "bbox": [ + 486, + 122, + 495, + 131 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 121, + 506, + 134 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 131, + 505, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 473, + 146 + ], + "score": 1.0, + "content": "misspecified, performance degrades gracefully to what would have happened if we optimized", + "type": "text" + }, + { + "bbox": [ + 473, + 132, + 492, + 145 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 131, + 505, + 146 + ], + "score": 1.0, + "content": "by", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 288, + 155 + ], + "score": 1.0, + "content": "itself, so RLSP does not hurt. In addition, if", + "type": "text" + }, + { + "bbox": [ + 288, + 145, + 296, + 153 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 143, + 505, + 155 + ], + "score": 1.0, + "content": "is larger than it should be, then RLSP still tends to", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 360, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 360, + 166 + ], + "score": 1.0, + "content": "accurately infer parts of the reward that specify what not to do.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 108, + 183, + 297, + 195 + ], + "lines": [ + { + "bbox": [ + 105, + 182, + 299, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 299, + 196 + ], + "score": 1.0, + "content": "6 LIMITATIONS AND FUTURE WORK", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 208, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 504, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 504, + 221 + ], + "score": 1.0, + "content": "Summary. Our key insight is that when a robot is deployed, the state that it observes has already", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 218, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 233 + ], + "score": 1.0, + "content": "been optimized to satisfy human preferences. This explains our preference for a policy that generally", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "avoids side effects. We formalized this by assuming that Alice has been acting in the environment", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 241, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 253 + ], + "score": 1.0, + "content": "prior to the robot’s deployment. We developed an algorithm, RLSP, that computes a MAP estimate of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 253, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 264 + ], + "score": 1.0, + "content": "Alice’s reward function. The robot then acts according to a tradeoff between Alice’s reward function", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "and the specified reward function. Our evaluation showed that information from the initial state can", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "score": 1.0, + "content": "be used to successfully infer side effects to avoid as well as tasks to complete, though there are cases", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "in which we cannot infer the relevant preferences. While we believe this is an important step forward,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 297, + 389, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 389, + 308 + ], + "score": 1.0, + "content": "there is still much work to be done to make this accurate and practical.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 423 + ], + "lines": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "Realistic environments. The primary avenue for future work is to scale to realistic environments,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "where we cannot enumerate states, we don’t know dynamics, and the reward function may be", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "score": 1.0, + "content": "nonlinear. This could be done by adapting existing IRL algorithms (Fu et al., 2017; Ho and Ermon,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 506, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 359 + ], + "score": 1.0, + "content": "2016; Finn et al., 2016). Unknown dynamics is particularly challenging, since we cannot learn", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 356, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 505, + 370 + ], + "score": 1.0, + "content": "dynamics from a single state observation. While acting in the environment, we would have to learn", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "a dynamics model or an inverse dynamics model that can be used to simulate the past, and update", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "the learned preferences as our model improves over time. Alternatively, if we use unsupervised skill", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "score": 1.0, + "content": "learning (Achiam et al., 2018; Eysenbach et al., 2018; Nair et al., 2018) or exploration (Burda et al.,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "2018), or learn a goal-conditioned policy (Schaul et al., 2015; Andrychowicz et al., 2017), we could", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 412, + 307, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 293, + 425 + ], + "score": 1.0, + "content": "compare the explored states with the observed", + "type": "text" + }, + { + "bbox": [ + 293, + 414, + 303, + 423 + ], + "score": 0.82, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 412, + 307, + 425 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "Hyperparameter choice. While our evaluation showed that RLSP is reasonably robust to the choice", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 187, + 452 + ], + "score": 1.0, + "content": "of planning horizon", + "type": "text" + }, + { + "bbox": [ + 188, + 440, + 196, + 450 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 439, + 256, + 452 + ], + "score": 1.0, + "content": "and prior over", + "type": "text" + }, + { + "bbox": [ + 257, + 442, + 275, + 451 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 439, + 506, + 452 + ], + "score": 1.0, + "content": ", this may be specific to our gridworlds. In the real world,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "we often make long term hierarchical plans, and if we don’t observe the entire plan (corresponding to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 152, + 474 + ], + "score": 1.0, + "content": "a choice of", + "type": "text" + }, + { + "bbox": [ + 153, + 462, + 161, + 471 + ], + "score": 0.31, + "content": "\\mathrm { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 461, + 506, + 474 + ], + "score": 1.0, + "content": "that is too small) it seems possible that we infer bad rewards, especially if we have an", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 207, + 484 + ], + "score": 1.0, + "content": "uninformative prior over", + "type": "text" + }, + { + "bbox": [ + 207, + 474, + 225, + 484 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 473, + 505, + 484 + ], + "score": 1.0, + "content": ". We do not know whether this will be a problem, and if so how bad it", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 484, + 436, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 436, + 495 + ], + "score": 1.0, + "content": "will be, and hope to investigate it in future work with more realistic environments.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5 + }, + { + "type": "text", + "bbox": [ + 107, + 500, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 184, + 514 + ], + "score": 1.0, + "content": "Conflicts between", + "type": "text" + }, + { + "bbox": [ + 184, + 501, + 203, + 513 + ], + "score": 0.9, + "content": "\\theta _ { \\mathbf { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 499, + 223, + 514 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 223, + 501, + 244, + 512 + ], + "score": 0.89, + "content": "\\theta _ { \\mathbf { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 499, + 345, + 514 + ], + "score": 1.0, + "content": ". RLSP allows us to infer", + "type": "text" + }, + { + "bbox": [ + 345, + 501, + 367, + 512 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 499, + 389, + 514 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 389, + 502, + 399, + 511 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 499, + 506, + 514 + ], + "score": 1.0, + "content": ", which we must somehow", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 164, + 524 + ], + "score": 1.0, + "content": "combine with", + "type": "text" + }, + { + "bbox": [ + 164, + 512, + 183, + 523 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 511, + 267, + 524 + ], + "score": 1.0, + "content": "to produce a reward", + "type": "text" + }, + { + "bbox": [ + 267, + 512, + 285, + 522 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 511, + 390, + 524 + ], + "score": 1.0, + "content": "for the robot to optimize.", + "type": "text" + }, + { + "bbox": [ + 391, + 512, + 412, + 522 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "will usually prefer the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 522, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 274, + 536 + ], + "score": 1.0, + "content": "status quo of keeping the state similar to", + "type": "text" + }, + { + "bbox": [ + 274, + 524, + 284, + 533 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 522, + 313, + 536 + ], + "score": 1.0, + "content": ", while", + "type": "text" + }, + { + "bbox": [ + 314, + 523, + 333, + 534 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 522, + 505, + 536 + ], + "score": 1.0, + "content": "will probably incentivize some change to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "the state, leading to conflict. We traded off between the two by optimizing their sum, but future", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 543, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 288, + 559 + ], + "score": 1.0, + "content": "work could improve upon this. For example,", + "type": "text" + }, + { + "bbox": [ + 289, + 545, + 310, + 555 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 543, + 419, + 559 + ], + "score": 1.0, + "content": "could be decomposed into", + "type": "text" + }, + { + "bbox": [ + 420, + 545, + 454, + 556 + ], + "score": 0.88, + "content": "\\theta _ { \\mathrm { A l i c e , t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 543, + 506, + 559 + ], + "score": 1.0, + "content": ", which says", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 361, + 569 + ], + "score": 1.0, + "content": "which task Alice is performing (“go to the black door”), and", + "type": "text" + }, + { + "bbox": [ + 361, + 555, + 383, + 566 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f r a m e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 555, + 505, + 569 + ], + "score": 1.0, + "content": ", which consists of the frame", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 338, + 579 + ], + "score": 1.0, + "content": "conditions (“don’t break vases”). The robot then optimizes", + "type": "text" + }, + { + "bbox": [ + 338, + 567, + 395, + 578 + ], + "score": 0.93, + "content": "\\theta _ { \\mathrm { f r a m e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 566, + 505, + 579 + ], + "score": 1.0, + "content": ". This requires some way of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 577, + 507, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 507, + 590 + ], + "score": 1.0, + "content": "performing the decomposition. We could model the human as pursuing multiple different subgoals,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 588, + 507, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 412, + 601 + ], + "score": 1.0, + "content": "or the environment as being created by multiple humans with different goals.", + "type": "text" + }, + { + "bbox": [ + 413, + 588, + 435, + 599 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f r a m e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 588, + 507, + 601 + ], + "score": 1.0, + "content": "would be shared,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 131, + 612 + ], + "score": 1.0, + "content": "while", + "type": "text" + }, + { + "bbox": [ + 132, + 599, + 150, + 610 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 599, + 506, + 612 + ], + "score": 1.0, + "content": "would vary, allowing us to distinguish between them. However, combination may not", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "be the answer – instead, perhaps the robot ought to use the inferred reward to inform Alice of any", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 473, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 473, + 633 + ], + "score": 1.0, + "content": "conflicts and actively query her for more information, along the lines of Amin et al. (2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 108, + 638, + 502, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "score": 1.0, + "content": "Learning tasks to perform. The apples and batteries environments demonstrate that RLSP can learn", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "preferences that require the robot to actively perform a task. It is not clear that this is desirable, since", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 660, + 444, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 444, + 672 + ], + "score": 1.0, + "content": "the robot may perform an inferred task instead of the task Alice explicitly sets for it.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "Preferences that are not a result of human optimization. While the initial state is optimized for", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 699 + ], + "score": 1.0, + "content": "human preferences, this may not be a result of human optimization, as assumed in this paper. For", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "example, we prefer that the atmosphere contain oxygen for us to breathe. The atmosphere meets this", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "preference in spite of human action, and so RLSP would not infer this preference. While this is of", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 486, + 733 + ], + "score": 1.0, + "content": "limited relevance for household robots, it may become important for more capable AI systems.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 50 + } + ], + "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 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 752, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 116 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 105, + 82, + 505, + 117 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 165 + ], + "lines": [ + { + "bbox": [ + 105, + 121, + 506, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 121, + 142, + 134 + ], + "score": 1.0, + "content": "Overall,", + "type": "text" + }, + { + "bbox": [ + 142, + 122, + 151, + 131 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 121, + 486, + 134 + ], + "score": 1.0, + "content": "is an important parameter and needs to be set appropriately. However, even when", + "type": "text" + }, + { + "bbox": [ + 486, + 122, + 495, + 131 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 121, + 506, + 134 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 131, + 505, + 146 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 473, + 146 + ], + "score": 1.0, + "content": "misspecified, performance degrades gracefully to what would have happened if we optimized", + "type": "text" + }, + { + "bbox": [ + 473, + 132, + 492, + 145 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 131, + 505, + 146 + ], + "score": 1.0, + "content": "by", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 288, + 155 + ], + "score": 1.0, + "content": "itself, so RLSP does not hurt. In addition, if", + "type": "text" + }, + { + "bbox": [ + 288, + 145, + 296, + 153 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 143, + 505, + 155 + ], + "score": 1.0, + "content": "is larger than it should be, then RLSP still tends to", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 360, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 360, + 166 + ], + "score": 1.0, + "content": "accurately infer parts of the reward that specify what not to do.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 121, + 506, + 166 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 183, + 297, + 195 + ], + "lines": [ + { + "bbox": [ + 105, + 182, + 299, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 299, + 196 + ], + "score": 1.0, + "content": "6 LIMITATIONS AND FUTURE WORK", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 208, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 106, + 209, + 504, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 504, + 221 + ], + "score": 1.0, + "content": "Summary. Our key insight is that when a robot is deployed, the state that it observes has already", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 218, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 506, + 233 + ], + "score": 1.0, + "content": "been optimized to satisfy human preferences. This explains our preference for a policy that generally", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 243 + ], + "score": 1.0, + "content": "avoids side effects. We formalized this by assuming that Alice has been acting in the environment", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 241, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 253 + ], + "score": 1.0, + "content": "prior to the robot’s deployment. We developed an algorithm, RLSP, that computes a MAP estimate of", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 253, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 505, + 264 + ], + "score": 1.0, + "content": "Alice’s reward function. The robot then acts according to a tradeoff between Alice’s reward function", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "and the specified reward function. Our evaluation showed that information from the initial state can", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 286 + ], + "score": 1.0, + "content": "be used to successfully infer side effects to avoid as well as tasks to complete, though there are cases", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "in which we cannot infer the relevant preferences. While we believe this is an important step forward,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 297, + 389, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 389, + 308 + ], + "score": 1.0, + "content": "there is still much work to be done to make this accurate and practical.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 209, + 506, + 308 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 313, + 505, + 423 + ], + "lines": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "Realistic environments. The primary avenue for future work is to scale to realistic environments,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "where we cannot enumerate states, we don’t know dynamics, and the reward function may be", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "score": 1.0, + "content": "nonlinear. This could be done by adapting existing IRL algorithms (Fu et al., 2017; Ho and Ermon,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 345, + 506, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 359 + ], + "score": 1.0, + "content": "2016; Finn et al., 2016). Unknown dynamics is particularly challenging, since we cannot learn", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 356, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 505, + 370 + ], + "score": 1.0, + "content": "dynamics from a single state observation. While acting in the environment, we would have to learn", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "a dynamics model or an inverse dynamics model that can be used to simulate the past, and update", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 379, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 505, + 392 + ], + "score": 1.0, + "content": "the learned preferences as our model improves over time. Alternatively, if we use unsupervised skill", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "score": 1.0, + "content": "learning (Achiam et al., 2018; Eysenbach et al., 2018; Nair et al., 2018) or exploration (Burda et al.,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "2018), or learn a goal-conditioned policy (Schaul et al., 2015; Andrychowicz et al., 2017), we could", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 412, + 307, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 293, + 425 + ], + "score": 1.0, + "content": "compare the explored states with the observed", + "type": "text" + }, + { + "bbox": [ + 293, + 414, + 303, + 423 + ], + "score": 0.82, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 412, + 307, + 425 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 312, + 506, + 425 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 429, + 505, + 495 + ], + "lines": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "Hyperparameter choice. While our evaluation showed that RLSP is reasonably robust to the choice", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 439, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 439, + 187, + 452 + ], + "score": 1.0, + "content": "of planning horizon", + "type": "text" + }, + { + "bbox": [ + 188, + 440, + 196, + 450 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 439, + 256, + 452 + ], + "score": 1.0, + "content": "and prior over", + "type": "text" + }, + { + "bbox": [ + 257, + 442, + 275, + 451 + ], + "score": 0.88, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 439, + 506, + 452 + ], + "score": 1.0, + "content": ", this may be specific to our gridworlds. In the real world,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "we often make long term hierarchical plans, and if we don’t observe the entire plan (corresponding to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 506, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 152, + 474 + ], + "score": 1.0, + "content": "a choice of", + "type": "text" + }, + { + "bbox": [ + 153, + 462, + 161, + 471 + ], + "score": 0.31, + "content": "\\mathrm { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 461, + 506, + 474 + ], + "score": 1.0, + "content": "that is too small) it seems possible that we infer bad rewards, especially if we have an", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 473, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 207, + 484 + ], + "score": 1.0, + "content": "uninformative prior over", + "type": "text" + }, + { + "bbox": [ + 207, + 474, + 225, + 484 + ], + "score": 0.86, + "content": "s _ { - T }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 473, + 505, + 484 + ], + "score": 1.0, + "content": ". We do not know whether this will be a problem, and if so how bad it", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 484, + 436, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 436, + 495 + ], + "score": 1.0, + "content": "will be, and hope to investigate it in future work with more realistic environments.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 428, + 506, + 495 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 500, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 184, + 514 + ], + "score": 1.0, + "content": "Conflicts between", + "type": "text" + }, + { + "bbox": [ + 184, + 501, + 203, + 513 + ], + "score": 0.9, + "content": "\\theta _ { \\mathbf { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 499, + 223, + 514 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 223, + 501, + 244, + 512 + ], + "score": 0.89, + "content": "\\theta _ { \\mathbf { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 499, + 345, + 514 + ], + "score": 1.0, + "content": ". RLSP allows us to infer", + "type": "text" + }, + { + "bbox": [ + 345, + 501, + 367, + 512 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 499, + 389, + 514 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 389, + 502, + 399, + 511 + ], + "score": 0.83, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 499, + 506, + 514 + ], + "score": 1.0, + "content": ", which we must somehow", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 511, + 164, + 524 + ], + "score": 1.0, + "content": "combine with", + "type": "text" + }, + { + "bbox": [ + 164, + 512, + 183, + 523 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 511, + 267, + 524 + ], + "score": 1.0, + "content": "to produce a reward", + "type": "text" + }, + { + "bbox": [ + 267, + 512, + 285, + 522 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 511, + 390, + 524 + ], + "score": 1.0, + "content": "for the robot to optimize.", + "type": "text" + }, + { + "bbox": [ + 391, + 512, + 412, + 522 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "will usually prefer the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 522, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 274, + 536 + ], + "score": 1.0, + "content": "status quo of keeping the state similar to", + "type": "text" + }, + { + "bbox": [ + 274, + 524, + 284, + 533 + ], + "score": 0.86, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 522, + 313, + 536 + ], + "score": 1.0, + "content": ", while", + "type": "text" + }, + { + "bbox": [ + 314, + 523, + 333, + 534 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 522, + 505, + 536 + ], + "score": 1.0, + "content": "will probably incentivize some change to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 505, + 546 + ], + "score": 1.0, + "content": "the state, leading to conflict. We traded off between the two by optimizing their sum, but future", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 543, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 288, + 559 + ], + "score": 1.0, + "content": "work could improve upon this. For example,", + "type": "text" + }, + { + "bbox": [ + 289, + 545, + 310, + 555 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 543, + 419, + 559 + ], + "score": 1.0, + "content": "could be decomposed into", + "type": "text" + }, + { + "bbox": [ + 420, + 545, + 454, + 556 + ], + "score": 0.88, + "content": "\\theta _ { \\mathrm { A l i c e , t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 543, + 506, + 559 + ], + "score": 1.0, + "content": ", which says", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 361, + 569 + ], + "score": 1.0, + "content": "which task Alice is performing (“go to the black door”), and", + "type": "text" + }, + { + "bbox": [ + 361, + 555, + 383, + 566 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f r a m e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 555, + 505, + 569 + ], + "score": 1.0, + "content": ", which consists of the frame", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 566, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 566, + 338, + 579 + ], + "score": 1.0, + "content": "conditions (“don’t break vases”). The robot then optimizes", + "type": "text" + }, + { + "bbox": [ + 338, + 567, + 395, + 578 + ], + "score": 0.93, + "content": "\\theta _ { \\mathrm { f r a m e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 566, + 505, + 579 + ], + "score": 1.0, + "content": ". This requires some way of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 577, + 507, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 507, + 590 + ], + "score": 1.0, + "content": "performing the decomposition. We could model the human as pursuing multiple different subgoals,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 588, + 507, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 412, + 601 + ], + "score": 1.0, + "content": "or the environment as being created by multiple humans with different goals.", + "type": "text" + }, + { + "bbox": [ + 413, + 588, + 435, + 599 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { f r a m e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 588, + 507, + 601 + ], + "score": 1.0, + "content": "would be shared,", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 131, + 612 + ], + "score": 1.0, + "content": "while", + "type": "text" + }, + { + "bbox": [ + 132, + 599, + 150, + 610 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { t a s k } }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 599, + 506, + 612 + ], + "score": 1.0, + "content": "would vary, allowing us to distinguish between them. However, combination may not", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 506, + 623 + ], + "score": 1.0, + "content": "be the answer – instead, perhaps the robot ought to use the inferred reward to inform Alice of any", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 473, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 473, + 633 + ], + "score": 1.0, + "content": "conflicts and actively query her for more information, along the lines of Amin et al. (2017).", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 499, + 507, + 633 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 638, + 502, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 638, + 504, + 650 + ], + "score": 1.0, + "content": "Learning tasks to perform. 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(2010), as the existing approximation is insufficient for our purposes. Given a trajectory", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 129, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 107, + 131, + 188, + 141 + ], + "score": 0.89, + "content": "\\tau _ { T } = s _ { 0 } a _ { 0 } \\ldots s _ { T } a _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 129, + 277, + 144 + ], + "score": 1.0, + "content": ", we seek the gradient", + "type": "text" + }, + { + "bbox": [ + 278, + 129, + 326, + 141 + ], + "score": 0.93, + "content": "\\nabla _ { \\boldsymbol { \\theta } } \\ln { p ( \\tau _ { T } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 327, + 129, + 506, + 144 + ], + "score": 1.0, + "content": ". We assume that the expert has been acting", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 141, + 504, + 153 + ], + "spans": [ + { + "bbox": [ + 106, + 141, + 497, + 153 + ], + "score": 1.0, + "content": "according to the maximum causal entropy IRL model given in Section 3 (where we have dropped", + "type": "text" + }, + { + "bbox": [ + 497, + 141, + 504, + 150 + ], + "score": 0.73, + "content": "\\theta", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 151, + 225, + 164 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 225, + 164 + ], + "score": 1.0, + "content": "from the notation for clarity):", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 106, + 506, + 164 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 185, + 456, + 272 + ], + "lines": [ + { + "bbox": [ + 156, + 185, + 456, + 272 + ], + "spans": [ + { + "bbox": [ + 156, + 185, + 456, + 272 + ], + "score": 0.91, + "content": "\\begin{array} { r l r } & { \\displaystyle \\pi _ { t } ( a \\mid s ) = \\exp ( Q _ { t } ( s , a ) - V _ { t } ( s ) ) , } & \\\\ & { \\displaystyle V _ { t } ( s ) = \\ln \\sum _ { a } \\exp ( Q _ { t } ( s , a ) ) } & { \\qquad \\mathrm { f o r ~ } 1 \\leq t \\leq T , } \\\\ & { \\displaystyle Q _ { t } ( s , a ) = \\theta ^ { T } f ( s ) + \\sum _ { s ^ { \\prime } } \\mathcal { T } ( s ^ { \\prime } \\mid s , a ) V _ { t + 1 } ( s ^ { \\prime } ) } & { \\qquad \\mathrm { f o r ~ } 1 \\leq t \\leq T , } \\\\ & { \\displaystyle V _ { T + 1 } ( s ) = 0 . } & \\end{array}", + "type": "interline_equation", + "image_path": "171ffd2c296ae745db7aae83fca20f88e2a3d40f94f2de1e407495a50b74767e.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 156, + 185, + 456, + 214.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 156, + 214.0, + 456, + 243.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 156, + 243.0, + 456, + 272.0 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 282, + 506, + 342 + ], + "lines": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 505, + 295 + ], + "score": 1.0, + "content": "In the following, unless otherwise specified, all expectations over states and actions use the probability", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "distribution over trajectories from the above model, starting from the state and action just prior. For", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 103, + 301, + 507, + 321 + ], + "spans": [ + { + "bbox": [ + 103, + 301, + 277, + 321 + ], + "score": 1.0, + "content": "example, Es0T ,a0T [X (s0T , a0T )] = Ps0 ,a0", + "type": "text" + }, + { + "bbox": [ + 146, + 304, + 452, + 320 + ], + "score": 0.87, + "content": "\\begin{array} { r } { \\mathbb { E } _ { s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } } \\left[ \\bar { X } ( s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } ) \\right] = \\sum _ { s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } } \\mathcal { T } ( s _ { T } ^ { \\prime } \\mid s _ { T - 1 } , a _ { T - 1 } ) \\pi _ { T } ( a _ { T } ^ { \\prime } \\mid s _ { T } ^ { \\prime } ) X ( s _ { T } ^ { \\prime } , a _ { T } ^ { \\prime } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 304, + 507, + 318 + ], + "score": 1.0, + "content": ". In addition,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 437, + 331 + ], + "score": 1.0, + "content": "for all probability distributions over states and actions, we drop the dependence on", + "type": "text" + }, + { + "bbox": [ + 438, + 318, + 444, + 328 + ], + "score": 0.77, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 317, + 506, + 331 + ], + "score": 1.0, + "content": "for readability,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 329, + 421, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 247, + 342 + ], + "score": 1.0, + "content": "so the probability of reaching state", + "type": "text" + }, + { + "bbox": [ + 247, + 331, + 259, + 340 + ], + "score": 0.85, + "content": "s _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 329, + 311, + 342 + ], + "score": 1.0, + "content": "is written as", + "type": "text" + }, + { + "bbox": [ + 311, + 329, + 336, + 341 + ], + "score": 0.92, + "content": "p ( { \\boldsymbol { s } } _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 329, + 379, + 342 + ], + "score": 1.0, + "content": "instead of", + "type": "text" + }, + { + "bbox": [ + 379, + 329, + 416, + 341 + ], + "score": 0.93, + "content": "p ( s _ { T } \\mid \\theta )", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 329, + 421, + 342 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11, + "bbox_fs": [ + 103, + 283, + 507, + 342 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 345, + 453, + 358 + ], + "lines": [ + { + "bbox": [ + 105, + 345, + 450, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 241, + 359 + ], + "score": 1.0, + "content": "First, we compute the gradient of", + "type": "text" + }, + { + "bbox": [ + 241, + 346, + 264, + 358 + ], + "score": 0.92, + "content": "V _ { t } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 345, + 305, + 359 + ], + "score": 1.0, + "content": ". We have", + "type": "text" + }, + { + "bbox": [ + 306, + 345, + 372, + 358 + ], + "score": 0.93, + "content": "\\nabla _ { \\boldsymbol { \\theta } } V _ { T + 1 } ( s ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 345, + 407, + 359 + ], + "score": 1.0, + "content": ", and for", + "type": "text" + }, + { + "bbox": [ + 407, + 346, + 450, + 357 + ], + "score": 0.9, + "content": "0 \\leq t \\leq T", + "type": "inline_equation" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 345, + 450, + 359 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 137, + 380, + 475, + 572 + ], + "lines": [ + { + "bbox": [ + 137, + 380, + 475, + 572 + ], + "spans": [ + { + "bbox": [ + 137, + 380, + 475, + 572 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\nabla _ { \\theta } V _ { \\lfloor \\epsilon ( s ) \\rfloor } } \\\\ & = \\nabla _ { \\theta } \\log \\Big [ \\operatorname* { m i n } _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } _ { \\epsilon ^ { \\prime } } ( \\epsilon _ { s } , a _ { \\epsilon } ^ { \\prime } ) \\big \\} } \\\\ & { \\quad \\times _ { \\epsilon ^ { \\prime } } ^ { \\epsilon ^ { \\prime } } } \\\\ & { = \\frac { 1 } { \\exp { [ ( V _ { \\epsilon } ( s _ { \\epsilon } ) ) ] } } \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\in \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) } } \\\\ & { = \\frac { 1 } { \\exp { [ ( V _ { \\epsilon } ( s _ { \\epsilon } ) ) ] } } \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\in \\mathcal { V } _ { \\epsilon } } \\Big [ \\theta ^ { T } \\int ( s _ { \\epsilon } ) + \\mathbb { E } _ { s _ { \\epsilon } ^ { \\prime } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } ( \\epsilon ^ { \\prime } \\cup s , a _ { \\epsilon } ^ { \\prime } ) } \\left[ V _ { \\epsilon + 1 } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\right] \\Big ] } \\\\ & = \\sum _ { \\epsilon ^ { \\prime } \\in \\mathcal { N } ( \\mathcal { G } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) ) \\sim \\mathcal { V } _ { \\epsilon } ( s _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) \\in \\mathcal { F } _ { \\epsilon } ( s _ { \\epsilon } ) \\sim \\mathbb { V } _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\sim \\mathcal { V } ( \\epsilon | a _ { \\epsilon } , a _ { \\epsilon } ^ { \\prime } ) \\left[ V _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) - V _ { \\epsilon } ( s _ { \\epsilon + 1 } ^ { \\prime } ) \\right] } \\\\ & = \\sum _ \\epsilon ^ { \\prime } \\in \\mathcal { F } ( a _ { \\epsilon } ^ { \\prime } \\mid s _ { \\epsilon } ) \\in \\mathcal { F } _ { \\epsilon } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } _ { \\epsilon } ( s _ { \\epsilon } ^ { \\prime } ) \\sim \\mathcal { V } _ \\epsilon \\end{array}", + "type": "interline_equation", + "image_path": "dfcd39e852cf3bb36fdbfa7de70c630171d81b0f91bbf2d989849d62cc85d185.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 137, + 380, + 475, + 444.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 137, + 444.0, + 475, + 508.0 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 137, + 508.0, + 475, + 572.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 582, + 505, + 605 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 595 + ], + "score": 1.0, + "content": "Unrolling the recursion, we get that the gradient is the expected feature counts under the policy", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 593, + 420, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 152, + 606 + ], + "score": 1.0, + "content": "implied by", + "type": "text" + }, + { + "bbox": [ + 152, + 594, + 158, + 603 + ], + "score": 0.8, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 593, + 181, + 606 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 181, + 595, + 191, + 604 + ], + "score": 0.83, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 593, + 420, + 606 + ], + "score": 1.0, + "content": "onwards, which we could prove using induction. Define:", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 106, + 581, + 505, + 606 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 205, + 620, + 406, + 655 + ], + "lines": [ + { + "bbox": [ + 205, + 620, + 406, + 655 + ], + "spans": [ + { + "bbox": [ + 205, + 620, + 406, + 655 + ], + "score": 0.93, + "content": "\\mathcal { F } _ { t } ( s _ { t } ) \\equiv f ( s _ { t } ) + \\mathbb { E } _ { a _ { t : T - 1 } ^ { \\prime } , s _ { t + 1 : T } ^ { \\prime } } \\left[ \\sum _ { t ^ { \\prime } = t + 1 } ^ { T } f ( s _ { t ^ { \\prime } } ^ { \\prime } ) \\right] .", + "type": "interline_equation", + "image_path": "2d6bd3c9c6a66b7a81143eda11e917cc400ce526d656211d95bc61400f05cbf1.jpg" + } + ] + } + ], + "index": 20.5, + "virtual_lines": [ + { + "bbox": [ + 205, + 620, + 406, + 637.5 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 205, + 637.5, + 406, + 655.0 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 666, + 166, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 664, + 168, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 168, + 678 + ], + "score": 1.0, + "content": "Then we have:", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 664, + 168, + 678 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 264, + 696, + 347, + 709 + ], + "lines": [ + { + "bbox": [ + 264, + 696, + 347, + 709 + ], + "spans": [ + { + "bbox": [ + 264, + 696, + 347, + 709 + ], + "score": 0.88, + "content": "\\nabla _ { \\boldsymbol { \\theta } } V _ { t } ( s _ { t } ) = \\mathcal { F } _ { t } ( s _ { t } ) .", + "type": "interline_equation", + "image_path": "9ea3a772b0a836d4c47704eae4e4a1e0a38aa3127ae5ee68f1bc8471a66ee063.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 264, + 696, + 347, + 709 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 720, + 339, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 719, + 339, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 339, + 734 + ], + "score": 1.0, + "content": "We can now calculate the gradient we actually care about:", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 719, + 339, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "interline_equation", + "bbox": [ + 125, + 96, + 380, + 287 + ], + "lines": [ + { + "bbox": [ + 125, + 96, + 380, + 287 + ], + "spans": [ + { + "bbox": [ + 125, + 96, + 380, + 287 + ], + "score": 0.93, + "content": "\\begin{array} { l } { { \\nabla _ { 0 } \\ln p ( \\hat { \\rho } _ { T } ) } } \\\\ { { { } } } \\\\ { { \\displaystyle = \\nabla _ { \\theta } \\left[ \\ln p ( s _ { 0 } ) + \\sum _ { k = 0 } ^ { T } \\ln \\pi ( i \\alpha _ { k } \\mid s _ { k } ) + \\sum _ { t = 0 } ^ { T - 1 } \\ln \\pi ( s _ { t + 1 } \\mid s _ { k } , \\alpha _ { k } ) \\right] } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\ln \\pi _ { \\ell } ( \\alpha _ { \\ell } \\mid s _ { \\ell } ) } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ Q _ { \\ell } ( s _ { \\ell } , \\alpha _ { \\ell } ) - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ \\theta ^ { \\ell } J ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell + 1 } } \\left[ \\mathbb { V } _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\left( f ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell - 1 } } \\left[ \\nabla _ { \\theta } V _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - \\nabla _ { \\theta } V _ { \\ell } ( s _ { \\ell } ) \\right) . } } \\end{array}", + "type": "interline_equation", + "image_path": "6f2893fe1ef5f1e808ba5ef6fa85afc0329cd6753f6ae5f024b6858bfaeab379.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 125, + 96, + 380, + 159.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 125, + 159.66666666666666, + 380, + 223.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 125, + 223.33333333333331, + 380, + 287.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 398, + 158, + 486, + 170 + ], + "lines": [ + { + "bbox": [ + 398, + 156, + 485, + 171 + ], + "spans": [ + { + "bbox": [ + 398, + 156, + 419, + 171 + ], + "score": 1.0, + "content": "only", + "type": "text" + }, + { + "bbox": [ + 419, + 160, + 430, + 169 + ], + "score": 0.85, + "content": "\\pi _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 156, + 478, + 171 + ], + "score": 1.0, + "content": "depends on", + "type": "text" + }, + { + "bbox": [ + 479, + 159, + 485, + 168 + ], + "score": 0.72, + "content": "\\theta", + "type": "inline_equation" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 241, + 310 + ], + "score": 1.0, + "content": "The last term of the summation is", + "type": "text" + }, + { + "bbox": [ + 242, + 294, + 434, + 309 + ], + "score": 0.93, + "content": "f ( s _ { T } ) + \\mathbb { E } _ { s _ { T + 1 } ^ { \\prime } } \\left[ \\nabla _ { \\theta } V _ { T + 1 } ( s _ { T + 1 } ^ { \\prime } ) \\right] - \\nabla _ { \\theta } V _ { T } ( s _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 293, + 506, + 310 + ], + "score": 1.0, + "content": ", which simplifies", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 307, + 462, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 117, + 322 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 308, + 297, + 321 + ], + "score": 0.92, + "content": "f ( s _ { T } ) + 0 - \\mathcal { F } _ { T } ( s _ { T } ) = f ( s _ { T } ) - f ( s _ { T } ) = { \\bar { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 307, + 462, + 322 + ], + "score": 1.0, + "content": ", so we can drop it. Thus, our gradient is:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 333, + 430, + 367 + ], + "lines": [ + { + "bbox": [ + 180, + 333, + 430, + 367 + ], + "spans": [ + { + "bbox": [ + 180, + 333, + 430, + 367 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } \\ln p ( \\tau _ { T } ) = \\sum _ { t = 0 } ^ { T - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) .", + "type": "interline_equation", + "image_path": "24efddef4ab9f4e8740ecc947e7d55a71ade700f47ff74d384e40ae4d291026d.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 180, + 333, + 430, + 344.3333333333333 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 180, + 344.3333333333333, + 430, + 355.66666666666663 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 180, + 355.66666666666663, + 430, + 366.99999999999994 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 373, + 504, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 285, + 387 + ], + "score": 1.0, + "content": "This is the gradient we will use in Appendix", + "type": "text" + }, + { + "bbox": [ + 285, + 374, + 293, + 384 + ], + "score": 0.29, + "content": "\\mathbf { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 372, + 505, + 387 + ], + "score": 1.0, + "content": ", but a little more manipulation allows us to compare", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 385, + 474, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 474, + 396 + ], + "score": 1.0, + "content": "with the gradient in Ziebart et al. (2010). We reintroduce the terms that we cancelled above:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "interline_equation", + "bbox": [ + 144, + 430, + 470, + 501 + ], + "lines": [ + { + "bbox": [ + 144, + 430, + 470, + 501 + ], + "spans": [ + { + "bbox": [ + 144, + 430, + 470, + 501 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) + \\left( \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] \\right) - \\left( \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) } \\\\ & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\left( \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "6d4f57dc6225f25fd837e64abbd9f1b358a7c0ed880a350251c1d3d34b2bcdd8.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 144, + 430, + 470, + 453.6666666666667 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 144, + 453.6666666666667, + 470, + 477.33333333333337 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 144, + 477.33333333333337, + 470, + 501.00000000000006 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 506, + 604 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "Ziebart et al. (2010) states that the gradient is given by the expert policy feature expectations minus the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 520, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 531 + ], + "score": 1.0, + "content": "learned policy feature expectations, and in practice uses the feature expectations from demonstrations", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 408, + 543 + ], + "score": 1.0, + "content": "to approximate the expert policy feature expectations. Assuming we have", + "type": "text" + }, + { + "bbox": [ + 408, + 531, + 418, + 540 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 530, + 467, + 543 + ], + "score": 1.0, + "content": "trajectories", + "type": "text" + }, + { + "bbox": [ + 468, + 530, + 486, + 542 + ], + "score": 0.92, + "content": "\\{ \\tau _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 530, + 505, + 543 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 103, + 540, + 508, + 563 + ], + "spans": [ + { + "bbox": [ + 103, + 540, + 185, + 563 + ], + "score": 1.0, + "content": "gradient would be", + "type": "text" + }, + { + "bbox": [ + 186, + 541, + 342, + 561 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\Big ( \\frac { 1 } { N } \\sum _ { i } \\sum _ { t = 0 } ^ { T } f ( s _ { t , i } ) \\Big ) - \\mathbb { E } _ { s _ { 0 } } \\left[ \\mathscr { F } _ { 0 } ( s _ { 0 } ) \\right] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 540, + 508, + 563 + ], + "score": 1.0, + "content": ". The first term matches our first term", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "exactly. Our second term matches the second term in the limit of sufficiently many trajectories, so that", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 177, + 583 + ], + "score": 1.0, + "content": "the starting states", + "type": "text" + }, + { + "bbox": [ + 178, + 572, + 188, + 581 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 570, + 280, + 583 + ], + "score": 1.0, + "content": "follow the distribution", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 303, + 582 + ], + "score": 0.92, + "content": "p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 570, + 505, + 583 + ], + "score": 1.0, + "content": ". Our third term converges to zero with sufficiently", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 221, + 594 + ], + "score": 1.0, + "content": "many trajectories, since any", + "type": "text" + }, + { + "bbox": [ + 221, + 583, + 243, + 592 + ], + "score": 0.89, + "content": "s _ { t } , a _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "pair in a demonstration will be present sufficiently often that the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 591, + 462, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 186, + 606 + ], + "score": 1.0, + "content": "empirical counts of", + "type": "text" + }, + { + "bbox": [ + 186, + 594, + 205, + 604 + ], + "score": 0.9, + "content": "s _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 591, + 408, + 606 + ], + "score": 1.0, + "content": "will match the expected proportions prescribed by", + "type": "text" + }, + { + "bbox": [ + 409, + 592, + 458, + 604 + ], + "score": 0.93, + "content": "\\mathcal { T } ( \\cdot \\mid s _ { t } , \\mathbf { \\bar { \\alpha } } { a } _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 591, + 462, + 606 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 106, + 608, + 506, + 672 + ], + "lines": [ + { + "bbox": [ + 104, + 606, + 508, + 623 + ], + "spans": [ + { + "bbox": [ + 104, + 606, + 275, + 623 + ], + "score": 1.0, + "content": "In a deterministic environment, we have", + "type": "text" + }, + { + "bbox": [ + 276, + 608, + 421, + 622 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathcal { T } ( s _ { t + 1 } ^ { \\prime } \\mid s _ { t } , a _ { t } ) = 1 [ s _ { t + 1 } ^ { \\prime } = s _ { t + 1 } ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 606, + 508, + 623 + ], + "score": 1.0, + "content": "since only one tran-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "sition is possible. Thus, the third term is zero and even for one trajectory the gradient reduces", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 628, + 510, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 118, + 653 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 118, + 631, + 220, + 651 + ], + "score": 0.94, + "content": "\\begin{array} { r l } { { ( \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) ) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) } } & { { } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 628, + 510, + 653 + ], + "score": 1.0, + "content": ". This differs from the gradient in Ziebart et al. (2010) only in that it", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 362, + 661 + ], + "score": 1.0, + "content": "computes feature expectations from the observed starting state", + "type": "text" + }, + { + "bbox": [ + 362, + 650, + 373, + 660 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "instead of the MDP distribution", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 660, + 204, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 177, + 673 + ], + "score": 1.0, + "content": "over initial states", + "type": "text" + }, + { + "bbox": [ + 177, + 660, + 200, + 672 + ], + "score": 0.92, + "content": "p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 660, + 204, + 673 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In a stochastic environment, the third term need not be zero, and corrects for the “bias” in the observed", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 684, + 504, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 684, + 132, + 703 + ], + "score": 1.0, + "content": "states", + "type": "text" + }, + { + "bbox": [ + 132, + 690, + 151, + 699 + ], + "score": 0.89, + "content": "s _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 684, + 326, + 703 + ], + "score": 1.0, + "content": ". 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1 } \\ln \\pi ( s _ { t + 1 } \\mid s _ { k } , \\alpha _ { k } ) \\right] } } \\\\ { { { } } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\ln \\pi _ { \\ell } ( \\alpha _ { \\ell } \\mid s _ { \\ell } ) } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ Q _ { \\ell } ( s _ { \\ell } , \\alpha _ { \\ell } ) - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\nabla _ { \\theta } \\left[ \\theta ^ { \\ell } J ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell + 1 } } \\left[ \\mathbb { V } _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - V _ { \\ell } ( s _ { \\ell } ) \\right] } } \\\\ { { { } } } \\\\ { { { } = \\displaystyle \\sum _ { \\ell = 0 } ^ { T } \\left( f ( s _ { \\ell } ) + \\mathbb { E } _ { s _ { \\ell - 1 } } \\left[ \\nabla _ { \\theta } V _ { \\ell + 1 } ( s _ { \\ell + 1 } ^ { \\ell } ) \\right] - \\nabla _ { \\theta } V _ { \\ell } ( s _ { \\ell } ) \\right) . } } \\end{array}", + "type": "interline_equation", + "image_path": "6f2893fe1ef5f1e808ba5ef6fa85afc0329cd6753f6ae5f024b6858bfaeab379.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 125, + 96, + 380, + 159.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 125, + 159.66666666666666, + 380, + 223.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 125, + 223.33333333333331, + 380, + 287.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 398, + 158, + 486, + 170 + ], + "lines": [ + { + "bbox": [ + 398, + 156, + 485, + 171 + ], + "spans": [ + { + "bbox": [ + 398, + 156, + 419, + 171 + ], + "score": 1.0, + "content": "only", + "type": "text" + }, + { + "bbox": [ + 419, + 160, + 430, + 169 + ], + "score": 0.85, + "content": "\\pi _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 156, + 478, + 171 + ], + "score": 1.0, + "content": "depends on", + "type": "text" + }, + { + "bbox": [ + 479, + 159, + 485, + 168 + ], + "score": 0.72, + "content": "\\theta", + "type": "inline_equation" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 398, + 156, + 485, + 171 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 321 + ], + "lines": [ + { + "bbox": [ + 105, + 293, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 241, + 310 + ], + "score": 1.0, + "content": "The last term of the summation is", + "type": "text" + }, + { + "bbox": [ + 242, + 294, + 434, + 309 + ], + "score": 0.93, + "content": "f ( s _ { T } ) + \\mathbb { E } _ { s _ { T + 1 } ^ { \\prime } } \\left[ \\nabla _ { \\theta } V _ { T + 1 } ( s _ { T + 1 } ^ { \\prime } ) \\right] - \\nabla _ { \\theta } V _ { T } ( s _ { T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 293, + 506, + 310 + ], + "score": 1.0, + "content": ", which simplifies", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 307, + 462, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 117, + 322 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 308, + 297, + 321 + ], + "score": 0.92, + "content": "f ( s _ { T } ) + 0 - \\mathcal { F } _ { T } ( s _ { T } ) = f ( s _ { T } ) - f ( s _ { T } ) = { \\bar { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 307, + 462, + 322 + ], + "score": 1.0, + "content": ", so we can drop it. Thus, our gradient is:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 293, + 506, + 322 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 333, + 430, + 367 + ], + "lines": [ + { + "bbox": [ + 180, + 333, + 430, + 367 + ], + "spans": [ + { + "bbox": [ + 180, + 333, + 430, + 367 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } \\ln p ( \\tau _ { T } ) = \\sum _ { t = 0 } ^ { T - 1 } \\left( f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) \\right) .", + "type": "interline_equation", + "image_path": "24efddef4ab9f4e8740ecc947e7d55a71ade700f47ff74d384e40ae4d291026d.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 180, + 333, + 430, + 344.3333333333333 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 180, + 344.3333333333333, + 430, + 355.66666666666663 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 180, + 355.66666666666663, + 430, + 366.99999999999994 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 373, + 504, + 397 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 285, + 387 + ], + "score": 1.0, + "content": "This is the gradient we will use in Appendix", + "type": "text" + }, + { + "bbox": [ + 285, + 374, + 293, + 384 + ], + "score": 0.29, + "content": "\\mathbf { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 372, + 505, + 387 + ], + "score": 1.0, + "content": ", but a little more manipulation allows us to compare", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 385, + 474, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 474, + 396 + ], + "score": 1.0, + "content": "with the gradient in Ziebart et al. (2010). We reintroduce the terms that we cancelled above:", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 372, + 505, + 396 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 144, + 430, + 470, + 501 + ], + "lines": [ + { + "bbox": [ + 144, + 430, + 470, + 501 + ], + "spans": [ + { + "bbox": [ + 144, + 430, + 470, + 501 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) + \\left( \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] \\right) - \\left( \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) } \\\\ & { = \\left( \\displaystyle \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) \\right) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) + \\displaystyle \\sum _ { t = 0 } ^ { T - 1 } \\left( \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ) \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "6d4f57dc6225f25fd837e64abbd9f1b358a7c0ed880a350251c1d3d34b2bcdd8.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 144, + 430, + 470, + 453.6666666666667 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 144, + 453.6666666666667, + 470, + 477.33333333333337 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 144, + 477.33333333333337, + 470, + 501.00000000000006 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 507, + 506, + 604 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "Ziebart et al. (2010) states that the gradient is given by the expert policy feature expectations minus the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 520, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 505, + 531 + ], + "score": 1.0, + "content": "learned policy feature expectations, and in practice uses the feature expectations from demonstrations", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 408, + 543 + ], + "score": 1.0, + "content": "to approximate the expert policy feature expectations. Assuming we have", + "type": "text" + }, + { + "bbox": [ + 408, + 531, + 418, + 540 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 530, + 467, + 543 + ], + "score": 1.0, + "content": "trajectories", + "type": "text" + }, + { + "bbox": [ + 468, + 530, + 486, + 542 + ], + "score": 0.92, + "content": "\\{ \\tau _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 530, + 505, + 543 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 103, + 540, + 508, + 563 + ], + "spans": [ + { + "bbox": [ + 103, + 540, + 185, + 563 + ], + "score": 1.0, + "content": "gradient would be", + "type": "text" + }, + { + "bbox": [ + 186, + 541, + 342, + 561 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\Big ( \\frac { 1 } { N } \\sum _ { i } \\sum _ { t = 0 } ^ { T } f ( s _ { t , i } ) \\Big ) - \\mathbb { E } _ { s _ { 0 } } \\left[ \\mathscr { F } _ { 0 } ( s _ { 0 } ) \\right] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 540, + 508, + 563 + ], + "score": 1.0, + "content": ". The first term matches our first term", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "exactly. Our second term matches the second term in the limit of sufficiently many trajectories, so that", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 177, + 583 + ], + "score": 1.0, + "content": "the starting states", + "type": "text" + }, + { + "bbox": [ + 178, + 572, + 188, + 581 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 570, + 280, + 583 + ], + "score": 1.0, + "content": "follow the distribution", + "type": "text" + }, + { + "bbox": [ + 280, + 570, + 303, + 582 + ], + "score": 0.92, + "content": "p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 570, + 505, + 583 + ], + "score": 1.0, + "content": ". Our third term converges to zero with sufficiently", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 221, + 594 + ], + "score": 1.0, + "content": "many trajectories, since any", + "type": "text" + }, + { + "bbox": [ + 221, + 583, + 243, + 592 + ], + "score": 0.89, + "content": "s _ { t } , a _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "pair in a demonstration will be present sufficiently often that the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 591, + 462, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 186, + 606 + ], + "score": 1.0, + "content": "empirical counts of", + "type": "text" + }, + { + "bbox": [ + 186, + 594, + 205, + 604 + ], + "score": 0.9, + "content": "s _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 591, + 408, + 606 + ], + "score": 1.0, + "content": "will match the expected proportions prescribed by", + "type": "text" + }, + { + "bbox": [ + 409, + 592, + 458, + 604 + ], + "score": 0.93, + "content": "\\mathcal { T } ( \\cdot \\mid s _ { t } , \\mathbf { \\bar { \\alpha } } { a } _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 591, + 462, + 606 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 103, + 507, + 508, + 606 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 608, + 506, + 672 + ], + "lines": [ + { + "bbox": [ + 104, + 606, + 508, + 623 + ], + "spans": [ + { + "bbox": [ + 104, + 606, + 275, + 623 + ], + "score": 1.0, + "content": "In a deterministic environment, we have", + "type": "text" + }, + { + "bbox": [ + 276, + 608, + 421, + 622 + ], + "score": 0.93, + "content": "\\begin{array} { r } { \\mathcal { T } ( s _ { t + 1 } ^ { \\prime } \\mid s _ { t } , a _ { t } ) = 1 [ s _ { t + 1 } ^ { \\prime } = s _ { t + 1 } ] } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 606, + 508, + 623 + ], + "score": 1.0, + "content": "since only one tran-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "sition is possible. Thus, the third term is zero and even for one trajectory the gradient reduces", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 628, + 510, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 118, + 653 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 118, + 631, + 220, + 651 + ], + "score": 0.94, + "content": "\\begin{array} { r l } { { ( \\sum _ { t = 0 } ^ { T } f ( s _ { t } ) ) - \\mathcal { F } _ { 0 } ( s _ { 0 } ) } } & { { } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 628, + 510, + 653 + ], + "score": 1.0, + "content": ". This differs from the gradient in Ziebart et al. (2010) only in that it", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 362, + 661 + ], + "score": 1.0, + "content": "computes feature expectations from the observed starting state", + "type": "text" + }, + { + "bbox": [ + 362, + 650, + 373, + 660 + ], + "score": 0.84, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "instead of the MDP distribution", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 660, + 204, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 177, + 673 + ], + "score": 1.0, + "content": "over initial states", + "type": "text" + }, + { + "bbox": [ + 177, + 660, + 200, + 672 + ], + "score": 0.92, + "content": "p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 660, + 204, + 673 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 606, + 510, + 673 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In a stochastic environment, the third term need not be zero, and corrects for the “bias” in the observed", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 684, + 504, + 703 + ], + "spans": [ + { + "bbox": [ + 104, + 684, + 132, + 703 + ], + "score": 1.0, + "content": "states", + "type": "text" + }, + { + "bbox": [ + 132, + 690, + 151, + 699 + ], + "score": 0.89, + "content": "s _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 684, + 326, + 703 + ], + "score": 1.0, + "content": ". Intuitively, when the expert chose action", + "type": "text" + }, + { + "bbox": [ + 327, + 690, + 336, + 699 + ], + "score": 0.84, + "content": "a _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 684, + 484, + 703 + ], + "score": 1.0, + "content": ", she did not know which next state", + "type": "text" + }, + { + "bbox": [ + 484, + 687, + 504, + 700 + ], + "score": 0.91, + "content": "s _ { t + 1 } ^ { \\prime }", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 416, + 711 + ], + "score": 1.0, + "content": "would arise, but the first term of our gradient upweights the particular next state", + "type": "text" + }, + { + "bbox": [ + 416, + 700, + 435, + 711 + ], + "score": 0.89, + "content": "s _ { t + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "that we observed.", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 506, + 722 + ], + "score": 1.0, + "content": "The third term downweights the future value of the observed state and upweights the future value of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 718, + 404, + 735 + ], + "spans": [ + { + "bbox": [ + 105, + 718, + 335, + 735 + ], + "score": 1.0, + "content": "all other states, all in proportion to their prior probability", + "type": "text" + }, + { + "bbox": [ + 336, + 720, + 400, + 733 + ], + "score": 0.93, + "content": "\\mathcal { T } ( s _ { t + 1 } ^ { \\prime } \\mid s _ { t } , \\bar { a _ { t } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 400, + 718, + 404, + 735 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 677, + 506, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 81, + 117, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 117, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 117, + 95 + ], + "score": 1.0, + "content": "B", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 129 + ], + "lines": [ + { + "bbox": [ + 106, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 333, + 118 + ], + "score": 1.0, + "content": "This section provides a derivation of the gradient", + "type": "text" + }, + { + "bbox": [ + 334, + 105, + 381, + 118 + ], + "score": 0.92, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 105, + 505, + 118 + ], + "score": 1.0, + "content": ", which is needed to solve", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 115, + 456, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 137, + 130 + ], + "score": 1.0, + "content": "argmax", + "type": "text" + }, + { + "bbox": [ + 137, + 117, + 175, + 129 + ], + "score": 0.59, + "content": "{ } _ { \\theta } \\ln p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 115, + 456, + 130 + ], + "score": 1.0, + "content": "with gradient ascent. We provide the results first as a quick reference:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 148, + 143, + 462, + 280 + ], + "lines": [ + { + "bbox": [ + 148, + 143, + 462, + 280 + ], + "spans": [ + { + "bbox": [ + 148, + 143, + 462, + 280 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { G _ { 0 } ( s _ { 0 } ) } { p ( s _ { 0 } ) } , } \\\\ & { \\qquad p ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } p ( s _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) , } \\\\ & { G _ { t + 1 } ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) \\bigg ( p ( s _ { t } ) g ( s _ { t } , a _ { t } ) + G _ { t } ( s _ { t } ) \\bigg ) , } \\\\ & { \\qquad g ( s _ { t } , a _ { t } ) = f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ { \\mathcal { F } } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - { \\mathcal { F } } _ { t } ( s _ { t } ) , } \\\\ & { { \\mathcal { F } } _ { t - 1 } ( s _ { t - 1 } ) = f ( s _ { t - 1 } ) + \\displaystyle \\sum _ { a _ { t - 1 } ^ { \\prime } , s _ { t } ^ { \\prime } } { \\pi } _ { t - 1 } ( a _ { t - 1 } ^ { \\prime } \\mid s _ { t - 1 } ) { \\mathcal { T } } ( s _ { t } ^ { \\prime } \\mid s _ { t - 1 } , a _ { t - 1 } ^ { \\prime } ) { \\mathcal { F } } _ { t } ( s _ { t } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "c72bb0877bac0399b44b476207d4fd926186833a5a37cd936e497c8368ca6a14.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 148, + 143, + 462, + 188.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 148, + 188.66666666666666, + 462, + 234.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 148, + 234.33333333333331, + 462, + 280.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 288, + 455, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 287, + 456, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 175, + 302 + ], + "score": 1.0, + "content": "Base cases: first,", + "type": "text" + }, + { + "bbox": [ + 176, + 288, + 207, + 300 + ], + "score": 0.93, + "content": "p ( s _ { - T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 287, + 277, + 302 + ], + "score": 1.0, + "content": "is given, second,", + "type": "text" + }, + { + "bbox": [ + 277, + 288, + 341, + 301 + ], + "score": 0.93, + "content": "G _ { - T } ( s _ { - T } ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 287, + 386, + 302 + ], + "score": 1.0, + "content": ", and third,", + "type": "text" + }, + { + "bbox": [ + 386, + 288, + 451, + 301 + ], + "score": 0.93, + "content": "\\mathcal { F } _ { 0 } ( s _ { 0 } ) = f ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 287, + 456, + 302 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 305, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "score": 1.0, + "content": "For the derivation, we start by expressing the gradient in terms of gradients of trajectories, so that", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 317, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 328 + ], + "score": 1.0, + "content": "we can use the result from Appendix A. Note that, by inspecting the final form of the gradient in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 327, + 425, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 223, + 340 + ], + "score": 1.0, + "content": "Appendix A, we can see that", + "type": "text" + }, + { + "bbox": [ + 224, + 327, + 273, + 339 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } p \\big ( \\tau _ { - T : 0 } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 327, + 345, + 340 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 345, + 329, + 356, + 338 + ], + "score": 0.85, + "content": "a _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 327, + 425, + 340 + ], + "score": 1.0, + "content": ". Then, we have:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 127, + 354, + 483, + 508 + ], + "lines": [ + { + "bbox": [ + 127, + 354, + 483, + 508 + ], + "spans": [ + { + "bbox": [ + 127, + 354, + 483, + 508 + ], + "score": 0.96, + "content": "\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\nabla _ { \\theta } p ( s _ { 0 } ) } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\end{array}", + "type": "interline_equation", + "image_path": "ad7656d9641eed156426649166c0ea1c1f8c96afd3be96f4e9d6d7c89d702e7f.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 127, + 354, + 483, + 405.3333333333333 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 127, + 405.3333333333333, + 483, + 456.66666666666663 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 127, + 456.66666666666663, + 483, + 507.99999999999994 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 505, + 539 + ], + "lines": [ + { + "bbox": [ + 106, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "This has a nice interpretation – compute the gradient for each trajectory and take the weighted sum,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 526, + 495, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 396, + 540 + ], + "score": 1.0, + "content": "where each weight is the probability of the trajectory given the evidence", + "type": "text" + }, + { + "bbox": [ + 396, + 529, + 406, + 538 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 526, + 485, + 540 + ], + "score": 1.0, + "content": "and current reward", + "type": "text" + }, + { + "bbox": [ + 486, + 528, + 491, + 537 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 526, + 495, + 540 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 543, + 441, + 559 + ], + "lines": [ + { + "bbox": [ + 104, + 540, + 443, + 563 + ], + "spans": [ + { + "bbox": [ + 104, + 540, + 285, + 563 + ], + "score": 1.0, + "content": "We can rewrite the gradient in Equation 6 as", + "type": "text" + }, + { + "bbox": [ + 285, + 543, + 410, + 559 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\nabla _ { \\theta } \\ln p ( \\tau _ { T } ) = \\sum _ { t = 0 } ^ { T - 1 } g ( s _ { t } , a _ { t } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 540, + 443, + 563 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 203, + 571, + 408, + 588 + ], + "lines": [ + { + "bbox": [ + 203, + 571, + 408, + 588 + ], + "spans": [ + { + "bbox": [ + 203, + 571, + 408, + 588 + ], + "score": 0.88, + "content": "\\begin{array} { r } { g ( s _ { t } , a _ { t } ) \\equiv f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ \\mathcal { F } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - \\mathcal { F } _ { t } ( s _ { t } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "dfd2793f717d1542e77b699b43ae3a7115f1e487d7050c1060d7a73fded104d5.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 203, + 571, + 408, + 588 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 594, + 242, + 606 + ], + "lines": [ + { + "bbox": [ + 106, + 592, + 242, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 242, + 608 + ], + "score": 1.0, + "content": "We can now substitute this to get:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 168, + 622, + 443, + 731 + ], + "lines": [ + { + "bbox": [ + 168, + 622, + 443, + 731 + ], + "spans": [ + { + "bbox": [ + 168, + 622, + 443, + 731 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\sum _ { s - { T } : - 1 , a - { T } : - 1 } p ( \\tau _ { - T : - 1 } \\mid s _ { 0 } ) \\left( \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right) } \\\\ { = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { s - { T } : - 1 , a - { T } : - 1 } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right] } \\\\ { = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\sum _ { s - { T } : - 1 , a - { T } : - 1 } \\left[ p ( \\tau _ { - T : - 1 } , s _ { 0 } ) \\sum _ { t = - { T } } ^ { - 1 } g ( s _ { t } , a _ { t } ) \\right] . } \\end{array}", + "type": "interline_equation", + "image_path": "17526b98ad6cb7baa5e553cb06f9449b4d1ef4f21bb35834b259940f24a2add6.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 168, + 622, + 443, + 658.3333333333334 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 168, + 658.3333333333334, + 443, + 694.6666666666667 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 168, + 694.6666666666667, + 443, + 731.0000000000001 + ], + "spans": [], + "index": 20 + } + ] + } + ], + "page_idx": 12, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 761 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "13", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 81, + 117, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 117, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 117, + 95 + ], + "score": 1.0, + "content": "B", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 129 + ], + "lines": [ + { + "bbox": [ + 106, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 333, + 118 + ], + "score": 1.0, + "content": "This section provides a derivation of the gradient", + "type": "text" + }, + { + "bbox": [ + 334, + 105, + 381, + 118 + ], + "score": 0.92, + "content": "\\nabla _ { \\theta } \\ln p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 105, + 505, + 118 + ], + "score": 1.0, + "content": ", which is needed to solve", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 115, + 456, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 137, + 130 + ], + "score": 1.0, + "content": "argmax", + "type": "text" + }, + { + "bbox": [ + 137, + 117, + 175, + 129 + ], + "score": 0.59, + "content": "{ } _ { \\theta } \\ln p ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 115, + 456, + 130 + ], + "score": 1.0, + "content": "with gradient ascent. We provide the results first as a quick reference:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 105, + 505, + 130 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 148, + 143, + 462, + 280 + ], + "lines": [ + { + "bbox": [ + 148, + 143, + 462, + 280 + ], + "spans": [ + { + "bbox": [ + 148, + 143, + 462, + 280 + ], + "score": 0.95, + "content": "\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { G _ { 0 } ( s _ { 0 } ) } { p ( s _ { 0 } ) } , } \\\\ & { \\qquad p ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } p ( s _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) , } \\\\ & { G _ { t + 1 } ( s _ { t + 1 } ) = \\displaystyle \\sum _ { s _ { t } , a _ { t } } { \\mathcal { T } } ( s _ { t + 1 } \\mid s _ { t } , a _ { t } ) \\pi _ { t } ( a _ { t } \\mid s _ { t } ) \\bigg ( p ( s _ { t } ) g ( s _ { t } , a _ { t } ) + G _ { t } ( s _ { t } ) \\bigg ) , } \\\\ & { \\qquad g ( s _ { t } , a _ { t } ) = f ( s _ { t } ) + \\mathbb { E } _ { s _ { t + 1 } ^ { \\prime } } \\left[ { \\mathcal { F } } _ { t + 1 } ( s _ { t + 1 } ^ { \\prime } ) \\right] - { \\mathcal { F } } _ { t } ( s _ { t } ) , } \\\\ & { { \\mathcal { F } } _ { t - 1 } ( s _ { t - 1 } ) = f ( s _ { t - 1 } ) + \\displaystyle \\sum _ { a _ { t - 1 } ^ { \\prime } , s _ { t } ^ { \\prime } } { \\pi } _ { t - 1 } ( a _ { t - 1 } ^ { \\prime } \\mid s _ { t - 1 } ) { \\mathcal { T } } ( s _ { t } ^ { \\prime } \\mid s _ { t - 1 } , a _ { t - 1 } ^ { \\prime } ) { \\mathcal { F } } _ { t } ( s _ { t } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "c72bb0877bac0399b44b476207d4fd926186833a5a37cd936e497c8368ca6a14.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 148, + 143, + 462, + 188.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 148, + 188.66666666666666, + 462, + 234.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 148, + 234.33333333333331, + 462, + 280.0 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 288, + 455, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 287, + 456, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 175, + 302 + ], + "score": 1.0, + "content": "Base cases: first,", + "type": "text" + }, + { + "bbox": [ + 176, + 288, + 207, + 300 + ], + "score": 0.93, + "content": "p ( s _ { - T } )", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 287, + 277, + 302 + ], + "score": 1.0, + "content": "is given, second,", + "type": "text" + }, + { + "bbox": [ + 277, + 288, + 341, + 301 + ], + "score": 0.93, + "content": "G _ { - T } ( s _ { - T } ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 287, + 386, + 302 + ], + "score": 1.0, + "content": ", and third,", + "type": "text" + }, + { + "bbox": [ + 386, + 288, + 451, + 301 + ], + "score": 0.93, + "content": "\\mathcal { F } _ { 0 } ( s _ { 0 } ) = f ( s _ { 0 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 287, + 456, + 302 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 287, + 456, + 302 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 305, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 505, + 318 + ], + "score": 1.0, + "content": "For the derivation, we start by expressing the gradient in terms of gradients of trajectories, so that", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 317, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 505, + 328 + ], + "score": 1.0, + "content": "we can use the result from Appendix A. Note that, by inspecting the final form of the gradient in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 327, + 425, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 223, + 340 + ], + "score": 1.0, + "content": "Appendix A, we can see that", + "type": "text" + }, + { + "bbox": [ + 224, + 327, + 273, + 339 + ], + "score": 0.93, + "content": "\\nabla _ { \\theta } p \\big ( \\tau _ { - T : 0 } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 327, + 345, + 340 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 345, + 329, + 356, + 338 + ], + "score": 0.85, + "content": "a _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 327, + 425, + 340 + ], + "score": 1.0, + "content": ". Then, we have:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 305, + 505, + 340 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 127, + 354, + 483, + 508 + ], + "lines": [ + { + "bbox": [ + 127, + 354, + 483, + 508 + ], + "spans": [ + { + "bbox": [ + 127, + 354, + 483, + 508 + ], + "score": 0.96, + "content": "\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { 1 } { p ( s _ { 0 } ) } \\nabla _ { \\theta } p ( s _ { 0 } ) } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\end{array}", + "type": "interline_equation", + "image_path": "ad7656d9641eed156426649166c0ea1c1f8c96afd3be96f4e9d6d7c89d702e7f.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 127, + 354, + 483, + 405.3333333333333 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 127, + 405.3333333333333, + 483, + 456.66666666666663 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 127, + 456.66666666666663, + 483, + 507.99999999999994 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 515, + 505, + 539 + ], + "lines": [ + { + "bbox": [ + 106, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "This has a nice interpretation – compute the gradient for each trajectory and take the weighted sum,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 526, + 495, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 396, + 540 + ], + "score": 1.0, + "content": "where each weight is the probability of the trajectory given the evidence", + "type": "text" + }, + { + "bbox": [ + 396, + 529, + 406, + 538 + ], + "score": 0.85, + "content": "s _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 526, + 485, + 540 + ], + "score": 1.0, + "content": "and current reward", + "type": "text" + }, + { + "bbox": [ + 486, + 528, + 491, + 537 + ], + "score": 0.79, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 526, + 495, + 540 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 106, + 516, 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We show how the percentage of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 206, + 212 + ], + "score": 1.0, + "content": "true reward obtained by", + "type": "text" + }, + { + "bbox": [ + 206, + 201, + 230, + 210 + ], + "score": 0.34, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 198, + 402, + 212 + ], + "score": 1.0, + "content": "varies as we change the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 402, + 199, + 424, + 210 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 198, + 442, + 212 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 443, + 199, + 461, + 211 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 198, + 506, + 212 + ], + "score": 1.0, + "content": ". The zero", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "score": 1.0, + "content": "temperature case corresponds to traditional value iteration; this often leads to identical behavior and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "so the lines overlap. So, we also show the results when planning with soft value iteration, varying the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "softmax temperature, to introduce some noise into the policy. 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We did not include the Apples environment because", + "type": "text" + }, + { + "bbox": [ + 432, + 243, + 451, + 255 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 242, + 505, + 256 + ], + "score": 1.0, + "content": "is uniformly", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 253, + 394, + 268 + ], + "spans": [ + { + "bbox": [ + 104, + 253, + 394, + 268 + ], + "score": 1.0, + "content": "zero and the Additive and Bayesian methods do exactly the same thing.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "title", + "bbox": [ + 105, + 286, + 471, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 473, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 473, + 300 + ], + "score": 1.0, + "content": "D COMBINING THE SPECIFIED REWARD WITH THE INFERRED REWARD", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 310, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 310, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 324 + ], + "score": 1.0, + "content": "In Section 5, we evaluated RLSP by combining the reward it infers with a specified reward to get a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 321, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 157, + 334 + ], + "score": 1.0, + "content": "final reward", + "type": "text" + }, + { + "bbox": [ + 157, + 322, + 245, + 333 + ], + "score": 0.92, + "content": "\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 321, + 465, + 334 + ], + "score": 1.0, + "content": ". As discussed in Section 6, the problem of combining", + "type": "text" + }, + { + "bbox": [ + 465, + 322, + 487, + 333 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 321, + 506, + 334 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 107, + 333, + 125, + 345 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "is difficult, since the two rewards incentivize different behaviors and will conflict. The Additive", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 344, + 354, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 354, + 356 + ], + "score": 1.0, + "content": "method above is a simple way of trading off between the two.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 360, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 456, + 373 + ], + "score": 1.0, + "content": "Both RLSP and the sampling algorithm of Appendix C can incorporate a prior over", + "type": "text" + }, + { + "bbox": [ + 457, + 361, + 463, + 370 + ], + "score": 0.66, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 359, + 506, + 373 + ], + "score": 1.0, + "content": ". 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When we use this prior, the reward returned by RLSP can be used as", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 194, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 171, + 418 + ], + "score": 1.0, + "content": "the final reward", + "type": "text" + }, + { + "bbox": [ + 171, + 405, + 190, + 415 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 402, + 194, + 418 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 421, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 421, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 506, + 433 + ], + "score": 1.0, + "content": "It might seem like this is a principled Bayesian method that allows us to combine the two rewards.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "score": 1.0, + "content": "However, the conflict between the two reward functions still exists. 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However, this is not true – Alice is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 227, + 478 + ], + "score": 1.0, + "content": "probably providing the reward", + "type": "text" + }, + { + "bbox": [ + 227, + 466, + 246, + 477 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "to the robot so that it causes some change to the state that she has", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 475, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 328, + 489 + ], + "score": 1.0, + "content": "optimized, and so it will be predictably different from", + "type": "text" + }, + { + "bbox": [ + 328, + 476, + 347, + 488 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 475, + 506, + 489 + ], + "score": 1.0, + "content": ". On the other hand, we do need to put", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 487, + 507, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 184, + 500 + ], + "score": 1.0, + "content": "high probability on", + "type": "text" + }, + { + "bbox": [ + 185, + 487, + 203, + 500 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 487, + 271, + 500 + ], + "score": 1.0, + "content": ", since otherwise", + "type": "text" + }, + { + "bbox": [ + 271, + 487, + 290, + 498 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 487, + 469, + 500 + ], + "score": 1.0, + "content": "will not incentivize any of the behaviors that", + "type": "text" + }, + { + "bbox": [ + 469, + 487, + 488, + 500 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 487, + 507, + 500 + ], + "score": 1.0, + "content": "did.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "score": 1.0, + "content": "Nonetheless, this is another simple heuristic for how we might combine the two rewards, that manages", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 189, + 528 + ], + "score": 1.0, + "content": "the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 189, + 515, + 208, + 527 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 513, + 226, + 528 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 515, + 248, + 526 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 513, + 506, + 528 + ], + "score": 1.0, + "content": ". 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For the Bayesian method,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 548, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 234, + 560 + ], + "score": 1.0, + "content": "we vary the standard deviation", + "type": "text" + }, + { + "bbox": [ + 234, + 550, + 241, + 558 + ], + "score": 0.77, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 548, + 352, + 560 + ], + "score": 1.0, + "content": "of the Gaussian prior over", + "type": "text" + }, + { + "bbox": [ + 352, + 548, + 374, + 559 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 548, + 449, + 560 + ], + "score": 1.0, + "content": "that is centered at", + "type": "text" + }, + { + "bbox": [ + 450, + 548, + 468, + 560 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 548, + 506, + 560 + ], + "score": 1.0, + "content": ". For the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 321, + 572 + ], + "score": 1.0, + "content": "Additive method, the natural choice would be to vary", + "type": "text" + }, + { + "bbox": [ + 321, + 559, + 329, + 569 + ], + "score": 0.75, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "; however, in order to make the results more", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 570, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 217, + 581 + ], + "score": 1.0, + "content": "comparable, we instead set", + "type": "text" + }, + { + "bbox": [ + 217, + 570, + 243, + 580 + ], + "score": 0.9, + "content": "\\lambda = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 570, + 505, + 581 + ], + "score": 1.0, + "content": "and vary the standard deviation of the Gaussian prior used while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 579, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 143, + 595 + ], + "score": 1.0, + "content": "inferring", + "type": "text" + }, + { + "bbox": [ + 144, + 581, + 165, + 592 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 579, + 321, + 595 + ], + "score": 1.0, + "content": ", which is centered at zero instead of at", + "type": "text" + }, + { + "bbox": [ + 321, + 581, + 340, + 592 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 579, + 482, + 595 + ], + "score": 1.0, + "content": ". A larger standard deviation allows", + "type": "text" + }, + { + "bbox": [ + 482, + 581, + 504, + 592 + ], + "score": 0.74, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 592, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 506, + 603 + ], + "score": 1.0, + "content": "to become larger in magnitude (since it is penalized less for deviating from the mean of zero reward),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 603, + 287, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 277, + 614 + ], + "score": 1.0, + "content": "which effectively corresponds to a smaller", + "type": "text" + }, + { + "bbox": [ + 277, + 603, + 284, + 613 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 603, + 287, + 614 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 106, + 619, + 505, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 618, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 212, + 633 + ], + "score": 1.0, + "content": "While we typically create", + "type": "text" + }, + { + "bbox": [ + 212, + 622, + 236, + 631 + ], + "score": 0.7, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 618, + 506, + 633 + ], + "score": 1.0, + "content": "using value iteration, this leads to deterministic policies with very", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "sharp changes in behavior that make it hard to see differences between methods, and so we also show", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "results with soft value iteration, which creates stochastic policies that vary more continuously. As", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 652, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 652, + 506, + 665 + ], + "score": 1.0, + "content": "demonstrated in Figure 4, our experiments show that overall the two methods perform very similarly,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "score": 1.0, + "content": "with some evidence that the Additive method is slightly more robust. The Additive method also has", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 674, + 506, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 506, + 687 + ], + "score": 1.0, + "content": "the benefit that it can be applied in situations where the inferred reward and specified reward are over", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 685, + 478, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 686, + 316, + 700 + ], + "score": 1.0, + "content": "different feature spaces, by creating the final reward", + "type": "text" + }, + { + "bbox": [ + 316, + 685, + 474, + 699 + ], + "score": 0.91, + "content": "R _ { \\mathrm { f i n a l } } ( s ) = { \\theta _ { \\mathrm { A l i c e } } } ^ { T } f _ { \\mathrm { A l i c e } } ( s ) + \\lambda R _ { \\mathrm { s p e c } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 686, + 478, + 700 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + } + ], + "page_idx": 15, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2019", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 764 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 79, + 506, + 176 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 79, + 506, + 176 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 79, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 506, + 176 + ], + "score": 0.97, + "type": "image", + "image_path": "c7573fdcd26b33dcaa2892a029cc2bd0e7b6ea73a9d5666d72622d443f5d6366.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 79, + 506, + 111.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 111.33333333333334, + 506, + 143.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 143.66666666666669, + 506, + 176.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 187, + 506, + 265 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 187, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 506, + 201 + ], + "score": 1.0, + "content": "Figure 4: Comparison of the Additive and Bayesian methods. We show how the percentage of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 198, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 206, + 212 + ], + "score": 1.0, + "content": "true reward obtained by", + "type": "text" + }, + { + "bbox": [ + 206, + 201, + 230, + 210 + ], + "score": 0.34, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 198, + 402, + 212 + ], + "score": 1.0, + "content": "varies as we change the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 402, + 199, + 424, + 210 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 198, + 442, + 212 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 443, + 199, + 461, + 211 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 198, + 506, + 212 + ], + "score": 1.0, + "content": ". The zero", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "score": 1.0, + "content": "temperature case corresponds to traditional value iteration; this often leads to identical behavior and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 221, + 505, + 234 + ], + "score": 1.0, + "content": "so the lines overlap. So, we also show the results when planning with soft value iteration, varying the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "softmax temperature, to introduce some noise into the policy. 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We did not include the Apples environment because", + "type": "text" + }, + { + "bbox": [ + 432, + 243, + 451, + 255 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 242, + 505, + 256 + ], + "score": 1.0, + "content": "is uniformly", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 253, + 394, + 268 + ], + "spans": [ + { + "bbox": [ + 104, + 253, + 394, + 268 + ], + "score": 1.0, + "content": "zero and the Additive and Bayesian methods do exactly the same thing.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "title", + "bbox": [ + 105, + 286, + 471, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 473, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 473, + 300 + ], + "score": 1.0, + "content": "D COMBINING THE SPECIFIED REWARD WITH THE INFERRED REWARD", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 310, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 105, + 310, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 506, + 324 + ], + "score": 1.0, + "content": "In Section 5, we evaluated RLSP by combining the reward it infers with a specified reward to get a", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 321, + 506, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 321, + 157, + 334 + ], + "score": 1.0, + "content": "final reward", + "type": "text" + }, + { + "bbox": [ + 157, + 322, + 245, + 333 + ], + "score": 0.92, + "content": "\\theta _ { \\mathrm { f i n a l } } = \\theta _ { \\mathrm { A l i c e } } + \\lambda \\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 321, + 465, + 334 + ], + "score": 1.0, + "content": ". As discussed in Section 6, the problem of combining", + "type": "text" + }, + { + "bbox": [ + 465, + 322, + 487, + 333 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 321, + 506, + 334 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 333, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 107, + 333, + 125, + 345 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 333, + 505, + 345 + ], + "score": 1.0, + "content": "is difficult, since the two rewards incentivize different behaviors and will conflict. The Additive", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 344, + 354, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 354, + 356 + ], + "score": 1.0, + "content": "method above is a simple way of trading off between the two.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 310, + 506, + 356 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 360, + 505, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 506, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 456, + 373 + ], + "score": 1.0, + "content": "Both RLSP and the sampling algorithm of Appendix C can incorporate a prior over", + "type": "text" + }, + { + "bbox": [ + 457, + 361, + 463, + 370 + ], + "score": 0.66, + "content": "\\theta", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 359, + 506, + 373 + ], + "score": 1.0, + "content": ". Another", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 371, + 505, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 348, + 385 + ], + "score": 1.0, + "content": "way to combine the two rewards is to condition the prior on", + "type": "text" + }, + { + "bbox": [ + 349, + 372, + 367, + 383 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 371, + 505, + 385 + ], + "score": 1.0, + "content": "before running the algorithms. In", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 382, + 506, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 255, + 396 + ], + "score": 1.0, + "content": "particular, we could replace our prior", + "type": "text" + }, + { + "bbox": [ + 256, + 382, + 293, + 394 + ], + "score": 0.92, + "content": "P ( \\theta _ { \\mathrm { A l i c e } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 382, + 361, + 396 + ], + "score": 1.0, + "content": "with a new prior", + "type": "text" + }, + { + "bbox": [ + 362, + 382, + 424, + 394 + ], + "score": 0.91, + "content": "P ( \\theta _ { \\mathrm { A l i c e } } \\mid \\theta _ { \\mathrm { s p e c } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 382, + 506, + 396 + ], + "score": 1.0, + "content": ", such as a Gaussian", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 392, + 507, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 202, + 408 + ], + "score": 1.0, + "content": "distribution centered at", + "type": "text" + }, + { + "bbox": [ + 202, + 393, + 221, + 406 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 392, + 507, + 408 + ], + "score": 1.0, + "content": ". When we use this prior, the reward returned by RLSP can be used as", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 402, + 194, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 171, + 418 + ], + "score": 1.0, + "content": "the final reward", + "type": "text" + }, + { + "bbox": [ + 171, + 405, + 190, + 415 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 402, + 194, + 418 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 359, + 507, + 418 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 421, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 421, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 506, + 433 + ], + "score": 1.0, + "content": "It might seem like this is a principled Bayesian method that allows us to combine the two rewards.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "score": 1.0, + "content": "However, the conflict between the two reward functions still exists. In this formulation, it arises in", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 164, + 456 + ], + "score": 1.0, + "content": "the new prior", + "type": "text" + }, + { + "bbox": [ + 164, + 443, + 228, + 455 + ], + "score": 0.91, + "content": "P ( \\theta _ { \\mathrm { A l i c e } } \\mid \\theta _ { \\mathrm { s p e c } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 443, + 400, + 456 + ], + "score": 1.0, + "content": ". 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However, this is not true – Alice is", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 227, + 478 + ], + "score": 1.0, + "content": "probably providing the reward", + "type": "text" + }, + { + "bbox": [ + 227, + 466, + 246, + 477 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "to the robot so that it causes some change to the state that she has", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 475, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 328, + 489 + ], + "score": 1.0, + "content": "optimized, and so it will be predictably different from", + "type": "text" + }, + { + "bbox": [ + 328, + 476, + 347, + 488 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 475, + 506, + 489 + ], + "score": 1.0, + "content": ". On the other hand, we do need to put", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 487, + 507, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 184, + 500 + ], + "score": 1.0, + "content": "high probability on", + "type": "text" + }, + { + "bbox": [ + 185, + 487, + 203, + 500 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 487, + 271, + 500 + ], + "score": 1.0, + "content": ", since otherwise", + "type": "text" + }, + { + "bbox": [ + 271, + 487, + 290, + 498 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { f i n a l } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 487, + 469, + 500 + ], + "score": 1.0, + "content": "will not incentivize any of the behaviors that", + "type": "text" + }, + { + "bbox": [ + 469, + 487, + 488, + 500 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 487, + 507, + 500 + ], + "score": 1.0, + "content": "did.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 421, + 507, + 500 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 517 + ], + "score": 1.0, + "content": "Nonetheless, this is another simple heuristic for how we might combine the two rewards, that manages", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 104, + 513, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 104, + 513, + 189, + 528 + ], + "score": 1.0, + "content": "the tradeoff between", + "type": "text" + }, + { + "bbox": [ + 189, + 515, + 208, + 527 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 513, + 226, + 528 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 226, + 515, + 248, + 526 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 513, + 506, + 528 + ], + "score": 1.0, + "content": ". We compared the Additive and Bayesian methods by evaluating", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "their robustness. We vary the parameter that controls the tradeoff and report the true reward obtained", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 118, + 549 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 119, + 539, + 142, + 548 + ], + "score": 0.73, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 537, + 506, + 549 + ], + "score": 1.0, + "content": ", as a fraction of the expected true reward under the optimal policy. For the Bayesian method,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 548, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 234, + 560 + ], + "score": 1.0, + "content": "we vary the standard deviation", + "type": "text" + }, + { + "bbox": [ + 234, + 550, + 241, + 558 + ], + "score": 0.77, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 548, + 352, + 560 + ], + "score": 1.0, + "content": "of the Gaussian prior over", + "type": "text" + }, + { + "bbox": [ + 352, + 548, + 374, + 559 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 548, + 449, + 560 + ], + "score": 1.0, + "content": "that is centered at", + "type": "text" + }, + { + "bbox": [ + 450, + 548, + 468, + 560 + ], + "score": 0.91, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 548, + 506, + 560 + ], + "score": 1.0, + "content": ". For the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 321, + 572 + ], + "score": 1.0, + "content": "Additive method, the natural choice would be to vary", + "type": "text" + }, + { + "bbox": [ + 321, + 559, + 329, + 569 + ], + "score": 0.75, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "; however, in order to make the results more", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 570, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 217, + 581 + ], + "score": 1.0, + "content": "comparable, we instead set", + "type": "text" + }, + { + "bbox": [ + 217, + 570, + 243, + 580 + ], + "score": 0.9, + "content": "\\lambda = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 570, + 505, + 581 + ], + "score": 1.0, + "content": "and vary the standard deviation of the Gaussian prior used while", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 579, + 504, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 143, + 595 + ], + "score": 1.0, + "content": "inferring", + "type": "text" + }, + { + "bbox": [ + 144, + 581, + 165, + 592 + ], + "score": 0.89, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 579, + 321, + 595 + ], + "score": 1.0, + "content": ", which is centered at zero instead of at", + "type": "text" + }, + { + "bbox": [ + 321, + 581, + 340, + 592 + ], + "score": 0.9, + "content": "\\theta _ { \\mathrm { s p e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 579, + 482, + 595 + ], + "score": 1.0, + "content": ". A larger standard deviation allows", + "type": "text" + }, + { + "bbox": [ + 482, + 581, + 504, + 592 + ], + "score": 0.74, + "content": "\\theta _ { \\mathrm { A l i c e } }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 592, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 506, + 603 + ], + "score": 1.0, + "content": "to become larger in magnitude (since it is penalized less for deviating from the mean of zero reward),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 603, + 287, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 277, + 614 + ], + "score": 1.0, + "content": "which effectively corresponds to a smaller", + "type": "text" + }, + { + "bbox": [ + 277, + 603, + 284, + 613 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 603, + 287, + 614 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 104, + 502, + 506, + 614 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 619, + 505, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 618, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 212, + 633 + ], + "score": 1.0, + "content": "While we typically create", + "type": "text" + }, + { + "bbox": [ + 212, + 622, + 236, + 631 + ], + "score": 0.7, + "content": "\\pi _ { \\mathrm { R L S P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 618, + 506, + 633 + ], + "score": 1.0, + "content": "using value iteration, this leads to deterministic policies with very", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "sharp changes in behavior that make it hard to see differences between methods, and so we also show", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "results with soft value iteration, which creates stochastic policies that vary more continuously. As", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 652, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 106, + 652, + 506, + 665 + ], + "score": 1.0, + "content": "demonstrated in Figure 4, our experiments show that overall the two methods perform very similarly,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 663, + 505, + 676 + ], + "score": 1.0, + "content": "with some evidence that the Additive method is slightly more robust. The Additive method also has", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 674, + 506, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 506, + 687 + ], + "score": 1.0, + "content": "the benefit that it can be applied in situations where the inferred reward and specified reward are over", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 685, + 478, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 686, + 316, + 700 + ], + "score": 1.0, + "content": "different feature spaces, by creating the final reward", + "type": "text" + }, + { + "bbox": [ + 316, + 685, + 474, + 699 + ], + "score": 0.91, + "content": "R _ { \\mathrm { f i n a l } } ( s ) = { \\theta _ { \\mathrm { A l i c e } } } ^ { T } f _ { \\mathrm { A l i c e } } ( s ) + \\lambda R _ { \\mathrm { s p e c } } ( s )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 686, + 478, + 700 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], 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\\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } 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\\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\end{array}" + }, + { + "category_id": 14, + "poly": [ + 412, + 399, + 1285, + 399, + 1285, + 780, + 412, + 780 + ], + "score": 0.95, + "latex": "\\begin{array} { r l } & { \\nabla _ { \\theta } \\ln p ( s _ { 0 } ) = \\displaystyle \\frac { G _ { 0 } ( s _ { 0 } ) } { p ( s _ { 0 } ) 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In this work, we take on the challenging task of learning to synthesise speech from normalised text or phonemes in an end-to-end manner, resulting in models which operate directly on character or phoneme input sequences and produce raw speech audio outputs. Our proposed generator is feed-forward and thus efficient for both training and inference, using a differentiable alignment scheme based on token length prediction. It learns to produce high fidelity audio through a combination of adversarial feedback and prediction losses constraining the generated audio to roughly match the ground truth in terms of its total duration and mel-spectrogram. To allow the model to capture temporal variation in the generated audio, we employ soft dynamic time warping in the spectrogram-based prediction loss. The resulting model achieves a mean opinion score exceeding 4 on a 5 point scale, which is comparable to the state-of-the-art models relying on multi-stage training and additional supervision.1 + +# 1 INTRODUCTION + +A text-to-speech (TTS) system processes natural language text inputs to produce synthetic human-like speech outputs. Typical TTS pipelines consist of a number of stages trained or designed independently – e.g. text normalisation, aligned linguistic featurisation, mel-spectrogram synthesis, and raw audio waveform synthesis (Taylor, 2009). Although these pipelines have proven capable of realistic and high-fidelity speech synthesis and enjoy wide real-world use today, these modular approaches come with a number of drawbacks. They often require supervision at each stage, in some cases necessitating expensive “ground truth” annotations to guide the outputs of each stage, and sequential training of the stages. Further, they are unable to reap the full potential rewards of data-driven “end-to-end" learning widely observed in a number of prediction and synthesis task domains across machine learning. + +In this work, we aim to simplify the TTS pipeline and take on the challenging task of synthesising speech from text or phonemes in an end-to-end manner. We propose EATS – End-to-end Adversarial Text-to-Speech – generative models for TTS trained adversarially (Goodfellow et al., 2014) that operate on either pure text or raw (temporally unaligned) phoneme input sequences, and produce raw speech waveforms as output. These models eliminate the typical intermediate bottlenecks present in most state-of-the-art TTS engines by maintaining learnt intermediate feature representations throughout the network. + +Our speech synthesis models are composed of two high-level submodules, detailed in Section 2. An aligner processes the raw input sequence and produces relatively low-frequency $( 2 0 0 \ : \mathrm { H z } )$ aligned features in its own learnt, abstract feature space. The features output by the aligner may be thought of as taking the place of the earlier stages of typical TTS pipelines – e.g., temporally aligned melspectrograms or linguistic features. These features are then input to the decoder which upsamples the features from the aligner by 1D convolutions to produce $2 4 \mathrm { k H z }$ audio waveforms. + +By carefully designing the aligner and guiding training by a combination of adversarial feedback and domain-specific loss functions, we demonstrate that a TTS system can be learnt nearly end-to-end, resulting in high-fidelity natural-sounding speech approaching the state-of-the-art TTS systems. Our main contributions include: + +• A fully differentiable and efficient feed-forward aligner architecture that predicts the duration of each input token and produces an audio-aligned representation. +• The use of flexible dynamic time warping-based prediction losses to enforce alignment with input conditioning while allowing the model to capture the variability of timing in human speech. +• An overall system achieving a mean opinion score of 4.083, approaching the state of the art from models trained using richer supervisory signals. + +# 2 METHOD + +Our goal is to learn a neural network (the generator) which maps an input sequence of characters or phonemes to raw audio at $2 4 \mathrm { k H z }$ . Beyond the vastly different lengths of the input and output signals, this task is also challenging because the input and output are not aligned, i.e. it is not known beforehand which output tokens each input token will correspond to. To address these challenges, we divide the generator into two blocks: (i) the aligner, which maps the unaligned input sequence to a representation which is aligned with the output, but has a lower sample rate of $2 0 0 \mathrm { H z }$ ; and (ii) the decoder, which upsamples the aligner’s output to the full audio frequency. The entire generator architecture is differentiable, and is trained end to end. Importantly, it is also a feed-forward convolutional network, which makes it well-suited for applications where fast batched inference is important: our EATS implementation generates speech at a speed of $2 0 0 \times$ realtime on a single NVIDIA V100 GPU (see Appendix A and Table 3 for details). It is illustrated in Figure 1. + +The generator is inspired by GAN-TTS (Binkowski et al., 2020), a text-to-speech generative ad- ´ versarial network operating on aligned linguistic features. We employ the GAN-TTS generator as the decoder in our model, but instead of upsampling pre-computed linguistic features, its input comes from the aligner block. We make it speaker-conditional by feeding in a speaker embedding s alongside the latent vector $\mathbf { z }$ , to enable training on a larger dataset with recordings from multiple speakers. We also adopt the multiple random window discriminators (RWDs) from GAN-TTS, which have been proven effective for adversarial raw waveform modelling, and we preprocess real audio input by applying a simple $\mu$ -law transform. Hence, the generator is trained to produce audio in the $\mu$ -law domain and we apply the inverse transformation to its outputs when sampling. + +The loss function we use to train the generator is as follows: + +$$ +\mathcal { L } _ { G } = \mathcal { L } _ { G , \mathrm { a d v } } + \lambda _ { \mathrm { p r e d } } \cdot \mathcal { L } _ { \mathrm { p r e d } } ^ { \prime \prime } + \lambda _ { \mathrm { l e n g t h } } \cdot \mathcal { L } _ { \mathrm { l e n g t h } } , +$$ + +where $\mathcal { L } _ { G , \mathrm { a d v } }$ is the adversarial loss, linear in the discriminators’ outputs, paired with the hinge loss (Lim & Ye, 2017; Tran et al., 2017) used as the discriminators’ objective, as used in GANTTS (Binkowski et al., 2020). The use of an adversarial (Goodfellow et al., 2014) loss is an advantage ´ of our approach, as this setup allows for efficient feed-forward training and inference, and such losses tend to be mode-seeking in practice, a useful behaviour in a strongly conditioned setting where realism is an important design goal, as in the case of text-to-speech. In the remainder of this section, we describe the aligner network and the auxiliary predictiondetail, and recap the components which were adopted from G $( \mathcal { L } _ { \mathrm { { p r e d } } } ^ { \prime \prime } )$ and lengthS. $( \mathcal { L } _ { \mathrm { l e n g t h } } )$ losses in + +# 2.1 ALIGNER + +Given a token sequence ${ \bf x } = ( x _ { 1 } , \dots , x _ { N } )$ of length $N$ , we first compute token representations ${ \bf h } = f ( { \bf x } , { \bf z } , { \bf s } )$ , where $f$ is a stack of dilated convolutions (van den Oord et al., 2016) interspersed with batch normalisation (Ioffe & Szegedy, 2015) and ReLU activations. The latents $\mathbf { z }$ and speaker embedding s modulate the scale and shift parameters of the batch normalisation layers (Dumoulin et al., 2017; De Vries et al., 2017). We then predict the length for each input token individually: $l _ { n } = g ( h _ { n } , \mathbf { z } , \mathbf { s } )$ , where $g$ is an MLP. We use a ReLU nonlinearity at the output to ensure that the predicted lengths are non-sum of the token lengths: $\begin{array} { r } { e _ { n } = \sum _ { m = 1 } ^ { n } l _ { m } } \end{array}$ then find the predicted token end p, and the token centre positions as $\begin{array} { r } { c _ { n } = e _ { n } - \frac { 1 } { 2 } l _ { n } } \end{array}$ mulative. Based on these predicted positions, we can interpolate the token representations into an audio-aligned representation at $2 0 0 \mathrm { H z }$ , $\mathbf { a } = ( a _ { 1 } , \ldots , a _ { S } )$ , where $S = \lceil e _ { N } \rceil$ is the total number of output time steps. To compute $a _ { t }$ , we obtain interpolation weights for the token representations $h _ { n }$ using a softmax over the squared distance between $t$ and $c _ { n }$ , scaled by a temperature parameter $\sigma ^ { 2 }$ , which we set to 10.0 (i.e. a Gaussian kernel): + +$$ +w _ { t } ^ { n } = \frac { \exp { \left( - \sigma ^ { - 2 } ( t - c _ { n } ) ^ { 2 } \right) } } { \sum _ { m = 1 } ^ { N } \exp { \left( - \sigma ^ { - 2 } ( t - c _ { m } ) ^ { 2 } \right) } } . +$$ + +Using these weights, we can then compute $\begin{array} { r } { a _ { t } \ = \ \sum _ { n = 1 } ^ { N } w _ { t } ^ { n } h _ { n } } \end{array}$ , which amounts to non-uniform interpolation. By predicting token lengths and obtaining positions using cumulative summation, instead of predicting positions directly, we implicitly enforce monotonicity of the alignment. Note that tokens which have a non-monotonic effect on prosody, such as punctuation, can still affect the entire utterance thanks to the stack of dilated convolutions $f$ , whose receptive field is large enough to allow for propagation of information across the entire token sequence. The convolutions also ensure generalisation across different sequence lengths. Appendix B includes pseudocode for the aligner. + +# 2.2 WINDOWED GENERATOR TRAINING + +Training examples vary widely in length, from about 1 to 20 seconds. We cannot pad all sequences to a maximal length during training, as this would be wasteful and prohibitively expensive: 20 seconds of audio at $2 4 \mathrm { k H z }$ correspond to 480,000 timesteps, which results in high memory requirements. Instead, we randomly extract a 2 second window from each example, which we will refer to as a training window, by uniformly sampling a random offset $\eta$ . The aligner produces a $2 0 0 \mathrm { H z }$ audio-aligned representation for this window, which is then fed to the decoder (see Figure 1). Note that we only need to compute $a _ { t }$ for time steps $t$ that fall within the sampled window, but we do have to compute the predicted token lengths $l _ { n }$ for the entire input sequence. During evaluation, we simply produce the audio-aligned representation for the full utterance and run the decoder on it, which is possible because it is fully convolutional. + +# 2.3 ADVERSARIAL DISCRIMINATORS + +![](images/e8346596cd53edabed8d93e517d344c6bdce1b87d2b7209f1d540d66775d362c.jpg) +Figure 1: A diagram of the generator, including the monotonic interpolation-based aligner. $z$ and ch denote the latent Gaussian vector and the number of output channels, respectively. During training, audio windows have a fixed length of 2 seconds and are generated from the conditioning text using random offsets $\eta$ and predicted phoneme lengths; the shaded areas in the logits grid and waveform are not synthesised. For inference (sampling), we set $\eta = 0$ . In the No Phonemes ablation, the phonemizer is skipped and the character sequence is fed directly into the aligner. + +Random window discriminators. We use an ensemble of random window discriminators (RWDs) adopted from GAN-TTS. Each RWD operates on audio fragments of different lengths, randomly sampled from the training window. We use five RWDs with window sizes 240, 480, 960, 1920 and 3600. This enables each RWD to operate at a different resolution. Note that 3600 samples at $2 4 ~ \mathrm { k H z }$ corresponds to $1 5 0 ~ \mathrm { m s }$ of audio, so all RWDs operate on short timescales. All RWDs in our model are unconditional with respect to text: they cannot access the text sequence or the aligner output. (GAN-TTS uses 10 RWDs, including 5 conditioned on linguistic features which we omit.) They are, however, conditioned on the speaker, via projection embedding (Miyato & Koyama, 2018). + +Spectrogram discriminator. We use an additional discriminator which operates on the full training window in the spectrogram domain. We extract log-scaled mel-spectrograms from the audio signals and use the BigGAN-deep architecture (Brock et al., 2018), essentially treating the spectrograms as + +images. The spectrogram discriminator also uses speaker identity through projection embedding. +Details on the spectrogram discriminator architecture are included in Appendix C. + +# 2.4 SPECTROGRAM PREDICTION LOSS + +In preliminary experiments, we discovered that adversarial feedback is insufficient to learn alignment. At the start of training, the aligner does not produce an accurate alignment, so the information in the input tokens is incorrectly temporally distributed. This encourages the decoder to ignore the aligner output. The unconditional discriminators provide no useful learning signal to correct this. If we want to use conditional discriminators instead, we face a different problem: we do not have aligned ground truth. Conditional discriminators also need an aligner module, which cannot function correctly at the start of training, effectively turning them into unconditional discriminators. Although it should be possible in theory to train the discriminators’ aligner modules adversarially, we find that this does not work in practice, and training gets stuck. + +Instead, we propose to guide learning by using an explicit prediction loss in the spectrogram domain: we minimise the $L _ { 1 }$ loss between the log-scaled mel-spectrograms of the generator output, and the corresponding ground truth training window. This helps training to take off, and renders conditional discriminators unnecessary, simplifying the model. Let $S _ { \mathrm { g e n } }$ be the spectrogram of the generated audio, $S _ { \mathrm { g t } }$ the spectrogram of the corresponding ground truth, and $S [ t , f ]$ the log-scaled magnitude at time step $t$ and mel-frequency bin $f$ . Then the prediction loss is: + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { p r e d } } = \frac { 1 } { F } \sum _ { t = 1 } ^ { T } \sum _ { f = 1 } ^ { F } | S _ { \mathrm { g e n } } [ t , f ] - S _ { \mathrm { g t } } [ t , f ] | . } \end{array} +$$ + +$T$ and $F$ are the total number of time steps and mel-frequency bins respectively. Computing the prediction loss in the spectrogram domain, rather than the time domain, has the advantage of increased invariance to phase differences between the generated and ground truth signals, which are not perceptually salient. Seeing as the spectrogram extraction operation has several hyperparameters and its implementation is not standardised, we provide the code we used for this in Appendix D. We applied a small amount of jitter (by up to $\pm 6 0$ samples at $2 4 \mathrm { k H z }$ ) to the ground truth waveform before computing $S _ { \mathrm { g t } }$ , which helped to reduce artifacts in the generated audio. + +The inability to learn alignment from adversarial feedback alone is worth expanding on: likelihoodbased autoregressive models have no issues learning alignment, because they are able to benefit from teacher forcing (Williams & Zipser, 1989) during training: the model is trained to perform next step prediction on each sequence step, given the preceding ground truth, and it is expected to infer alignment only one step at a time. This is not compatible with feed-forward adversarial models however, so the prediction loss is necessary to bootstrap alignment learning for our model. + +Note that although we make use of mel-spectrograms for training in $\mathcal { L } _ { \mathrm { p r e d } }$ (and to compute the inputs for the spectrogram discriminator, Section 2.3), the generator itself does not produce spectrograms as part of the generation process. Rather, its outputs are raw waveforms, and we convert these waveforms to spectrograms only for training (backpropagating gradients through the waveform to mel-spectrogram conversion operation). + +# 2.5 DYNAMIC TIME WARPING + +The spectrogram prediction loss incorrectly assumes that token lengths are deterministic. We can relax the requirement that the generated and ground truth spectrograms are exactly aligned, by incorporating dynamic time warping (DTW) (Sakoe, 1971; Sakoe & Chiba, 1978). We calculate the prediction loss by iteratively finding a minimal-cost alignment path $p$ between the generated and target spectrograms, $S _ { \mathrm { g e n } }$ and $S _ { \mathrm { g t } }$ . We start at the first time step in both spectrograms: $p _ { \mathrm { g e n , 1 } } = p _ { \mathrm { g t , 1 } } = 1$ At each iteration $k$ , we take one of three possible actions: + +1. go to the next time step in both $S _ { \mathrm { g e n } } , S _ { \mathrm { g t } } \colon p _ { \mathrm { g e n } , k + 1 } = p _ { \mathrm { g e n } , k } + 1 , p _ { \mathrm { g t } , k + 1 } = p _ { \mathrm { g t } , k } + 1 ;$ +2. go to the next time step in $S _ { \mathrm { g t } }$ only: $p _ { \mathrm { g e n } , k + 1 } = p _ { \mathrm { g e n } , k } , p _ { \mathrm { g t } , k + 1 } = p _ { \mathrm { g t } , k } + 1$ ; +3. go to the next time step in $S _ { \mathrm { g e n } }$ only: $p _ { \mathrm { g e n } , k + 1 } = p _ { \mathrm { g e n } , k } + 1$ , pgt,k+1 = pgt,k. + +The resulting path is $p = \langle ( p _ { \mathrm { g e n } , 1 } , p _ { \mathrm { g t } , 1 } ) , \dots , ( p _ { \mathrm { g e n } , K _ { p } } , p _ { \mathrm { g t } , K _ { p } } ) \rangle$ , where $K _ { p }$ is the length. Each action is assigned a cost based on the $L _ { 1 }$ distance between $S _ { \mathrm { g e n } } [ p _ { \mathrm { g e n } , k } ]$ and $\mathrm { \dot { \cal S } } _ { \mathrm { g t } } [ p _ { \mathrm { g t } , k } ]$ , and a warp penalty $w$ which is incurred if we choose not to advance both spectrograms in lockstep (i.e. we are warping the spectrogram by taking action 2 or 3; we use $w = 1 . 0$ ). The warp penalty thus encourages alignment paths that do not deviate too far from the identity alignment. Let $\delta _ { k }$ be an indicator which is 1 for iterations where warping occurs, and 0 otherwise. Then the total path cost $c _ { p }$ is: + +$$ +\begin{array} { r } { c _ { p } = \sum _ { k = 1 } ^ { K _ { p } } \Big ( \boldsymbol { w } \cdot \boldsymbol { \delta _ { k } } + \frac { 1 } { F } \sum _ { f = 1 } ^ { F } | S _ { \mathrm { g e n } } [ p _ { \mathrm { g e n } , k } , f ] - S _ { \mathrm { g t } } [ p _ { \mathrm { g t } , k } , f ] | \Big ) . } \end{array} +$$ + +depends on the degree of warping $( T \leq K _ { p } \leq 2 T - 1 )$ . The DTW prediction loss is then: + +$$ +\mathcal { L } _ { \mathrm { p r e d } } ^ { \prime } = \operatorname* { m i n } _ { p \in \mathcal { P } } c _ { p } , +$$ + +where $\mathcal { P }$ is the set of all valid paths. $p \in \mathcal P$ only when $p _ { \mathrm { g e n , 1 } } = p _ { \mathrm { g t , 1 } } = 1$ and $p _ { \mathrm { g e n } , K _ { p } } = p _ { \mathrm { g t } , K _ { p } } = T$ i.e. the first and last timesteps of the spectrograms are aligned. To find the minimum, we use dynamic programming. Figure 2 shows a diagram of an optimal alignment path between two sequences. + +DTW is differentiable, but the minimum across all paths makes optimisation difficult, because the gradient is propagated only through the minimal path. We use a soft version of DTW instead (Cuturi & Blondel, 2017), which replaces the minimum with the soft minimum: + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { p r e d } } ^ { \prime \prime } = - \tau \cdot \log \sum _ { p \in \mathcal { P } } \exp \left( - \frac { c _ { p } } { \tau } \right) , } \end{array} +$$ + +where $\tau = 0 . 0 1$ is a temperature parameter and the loss scale factor $\lambda _ { \mathrm { p r e d } } = 1 . 0$ . Note that the minimum operation is recovered by letting $\tau 0$ . The resulting loss is a weighted aggregated cost across all paths, enabling gradient propagation through all feasible paths. This creates a trade-off: a higher $\tau$ makes optimisation easier, but the resulting loss less accurately reflects the minimal path cost. Pseudocode for the soft DTW procedure is provided in Appendix E. + +By relaxing alignment in the prediction loss, the generator can produce waveforms that are not exactly aligned, without being heavily penalised for it. This creates a synergy with the adversarial loss: instead of working against each other because of the rigidity of the prediction loss, the losses now cooperate to reward realistic audio generation with stochastic alignment. Note that the prediction loss is computed on a training window, and not on full length utterances, so we still assume that the start and end points of the windows are exactly aligned. While this might be incorrect, it does not seem to be much of a problem in practice. + +![](images/3ec946c31ee94122d585bbdb325279673d19931189642e35e802f93e8666c4d4.jpg) +Figure 2: Dynamic time warping between two sequences finds a minimal-cost alignment path. Positions where warping occurs are marked with a border. + +# 2.6 ALIGNER LENGTH LOSS + +To ensure that the model produces realistic token length predictions, we add a loss which encourages the predicted utterance length to be close to the ground truth length. This length is found by summing all token length predictions. Let $L$ be the the number of time steps in the training utterance at $2 0 0 \mathrm { H z }$ , $l _ { n }$ the predicted length of the $n$ th token, and $N$ the number of tokens, then the length loss is: + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { l e n g t h } } = \frac { 1 } { 2 } \left( L - \sum _ { n = 1 } ^ { N } l _ { n } \right) ^ { 2 } . } \end{array} +$$ + +We use a scale factor $\lambda _ { \mathrm { l e n g t h } } = 0 . 1$ . Note that we cannot match the predicted lengths $l _ { n }$ to the ground truth lengths individually, because the latter are not available. + +# 2.7 TEXT PRE-PROCESSING + +Although our model works well with character input, we find that sample quality improves significantly using phoneme input instead. This is not too surprising, given the heterogeneous way in which spellings map to phonemes, particularly in the English language. Many character sequences also have special pronunciations, such as numbers, dates, units of measurement and website domains, and a very large training dataset would be required for the model to learn to pronounce these correctly. Text normalisation (Zhang et al., 2019) can be applied beforehand to spell out these sequences as they are typically pronounced (e.g., 1976 could become nineteen seventy six), potentially followed by conversion to phonemes. We use an open source tool, phonemizer (Bernard, 2020), which performs partial normalisation and phonemisation (see Appendix F). Finally, whether we train on text or phoneme input sequences, we pre- and post-pad the sequence with a special silence token (for training and inference), to allow the aligner to account for silence at the beginning and end of each utterance. + +# 3 RELATED WORK + +Speech generation saw significant quality improvements once treating it as a generative modelling problem became the norm (Zen et al., 2009; van den Oord et al., 2016). Likelihood-based approaches dominate, but generative adversarial networks (GANs) (Goodfellow et al., 2014) have been making significant inroads recently. A common thread through most of the literature is a separation of the speech generation process into multiple stages: coarse-grained temporally aligned intermediate representations, such as mel-spectrograms, are used to divide the task into more manageable subproblems. Many works focus exclusively on either spectrogram generation or vocoding (generating a waveform from a spectrogram). Our work is different in this respect, and we will point out which stages of the generation process are addressed by each model. In Appendix J, Table 6 we compare these methods in terms of the inputs and outputs to each stage of their pipelines. + +Initially, most likelihood-based models for TTS were autoregressive (van den Oord et al., 2016; Mehri et al., 2017; Arik et al., 2017), which means that there is a sequential dependency between subsequent time steps of the produced output signal. That makes these models impractical for real-time use, although this can be addressed with careful engineering (Kalchbrenner et al., 2018; Valin & Skoglund, 2019). More recently, flow-based models (Papamakarios et al., 2019) have been explored as a feed-forward alternative that enables fast inference (without sequential dependencies). These can either be trained directly using maximum likelihood (Prenger et al., 2019; Kim et al., 2019; Ping et al., 2019b), or through distillation from an autoregressive model (van den Oord et al., 2018; Ping et al., 2019a). All of these models produce waveforms conditioned on an intermediate representation: either spectrograms or “linguistic features”, which contain temporally-aligned high-level information about the speech signal. Spectrogram-conditioned waveform models are often referred to as vocoders. + +A growing body of work has applied GAN (Goodfellow et al., 2014) variants to speech synthesis (Donahue et al., 2019). An important advantage of adversarial losses for TTS is a focus on realism over diversity; the latter is less important in this setting. This enables a more efficient use of capacity compared to models trained with maximum likelihood. MelGAN (Kumar et al., 2019) and Parallel WaveGAN (Yamamoto et al., 2020) are adversarial vocoders, producing raw waveforms from mel-spectrograms. Neekhara et al. (2019) predict magnitude spectrograms from mel-spectrograms. Most directly related to our work is GAN-TTS (Binkowski et al., 2020), which produces waveforms ´ conditioned on aligned linguistic features, and we build upon that work. + +Another important line of work covers spectrogram generation from text. Such models rely on a vocoder to convert the spectrograms into waveforms (for which one of the previously mentioned models could be used, or a traditional spectrogram inversion technique (Griffin & Lim, 1984)). Tacotron 1 & 2 (Wang et al., 2017; Shen et al., 2018), Deep Voice 2 & 3 (Gibiansky et al., 2017; Ping et al., 2018), TransformerTTS (Li et al., 2019), Flowtron (Valle et al., 2020), and VoiceLoop (Taigman et al., 2017) are autoregressive models that generate spectrograms or vocoder features frame by frame. Guo et al. (2019) suggest using an adversarial loss to reduce exposure bias (Bengio et al., 2015; Ranzato et al., 2016) in such models. MelNet (Vasquez & Lewis, 2019) is autoregressive over both time and frequency. ParaNet (Peng et al., 2019) and FastSpeech (Ren et al., 2019) are nonautoregressive, but they require distillation (Hinton et al., 2015) from an autoregressive model. Recent flow-based approaches Flow-TTS (Miao et al., 2020) and Glow-TTS (Kim et al., 2020) are feedforward without requiring distillation. Most spectrogram generation models require training of a custom vocoder model on generated spectrograms, because their predictions are imperfect and the vocoder needs to be able to compensate for this2. Note that some of these works also propose new vocoder architectures in tandem with spectrogram generation models. + +Unlike all of the aforementioned methods, as highlighted in Appendix J, Table 6, our model is a single feed-forward neural network, trained end-to-end in a single stage, which produces waveforms given character or phoneme sequences, and learns to align without additional supervision from auxiliary sources (e.g. temporally aligned linguistic features from an external model) or teacher forcing. This simplifies the training process considerably. Char2wav (Sotelo et al., 2017) is finetuned end-to-end in the same fashion, but requires a pre-training stage with vocoder features used for intermediate supervision. + +Spectrogram prediction losses have been used extensively for feed-forward audio prediction models (Yamamoto et al., 2019; 2020; Yang et al., 2020; Arık et al., 2018; Engel et al., 2020; Wang et al., + +2019; Défossez et al., 2018). We note that the $L _ { 1 }$ loss we use (along with (Défossez et al., 2018)), is comparatively simple, as spectrogram losses in the literature tend to have separate terms penalising magnitudes, log-magnitudes and phase components, each with their own scaling factors, and often across multiple resolutions. Dynamic time warping on spectrograms is a component of many speech recognition systems (Sakoe, 1971; Sakoe & Chiba, 1978), and has also been used for evaluation of TTS systems (Sailor & Patil, 2014; Chevelu et al., 2015). Cuturi & Blondel (2017) proposed the soft version of DTW we use in this work as a differentiable loss function for time series models. Kim et al. (2020) propose Monotonic Alignment Search (MAS), which relates to DTW in that both use dynamic programming to implicitly align sequences for TTS. However, they have different goals: MAS finds the optimal alignment between the text and a latent representation, whereas we use DTW to relax the constraints imposed by our spectrogram prediction loss term. Several mechanisms have been proposed to exploit monotonicity in tasks that require sequence alignment, including attention mechanisms (Graves, 2013; Zhang et al., 2018; Vasquez & Lewis, 2019; He et al., 2019; Raffel et al., 2017; Chiu & Raffel, 2018), loss functions (Graves et al., 2006; Graves, 2012) and search-based approaches (Kim et al., 2020). For TTS, incorporating this constraint has been found to help generalisation to long sequences (Battenberg et al., 2020). We incorporate monotonicity by using an interpolation mechanism, which is cheap to compute because it is not recurrent (unlike many monotonic attention mechanisms). + +# 4 EVALUATION + +In this section we discuss the setup and results of our empirical evaluation, describing the hyperparameter settings used for training and validating the architectural decisions and loss function components detailed in Section 2. Our primary metric used to evaluate speech quality is the Mean Opinion Score (MOS) given by human raters, computed by taking the mean of 1-5 naturalness ratings given across 1000 held-out conditioning sequences. In Appendix I we also report the Fréchet DeepSpeech Distance (FDSD), proposed by Binkowski et al. (2020) as a speech synthesis quality metric. Appendix A ´ reports training and evaluation hyperparameters we used for all experiments. + +# 4.1 MULTI-SPEAKER DATASET + +We train all models on a private dataset that consists of high-quality recordings of human speech performed by professional voice actors, and corresponding text. The voice pool consists of 69 female and male voices of North American English speakers, while the audio clips contain full sentences of lengths varying from less than 1 to 20 seconds at $2 4 \mathrm { k H z }$ frequency. Individual voices are unevenly distributed, accounting for from 15 minutes to over 51 hours of recorded speech, totalling 260.49 hours. At training time, we sample 2 second windows from the individual clips, post-padding those shorter than 2 seconds with silence. For evaluation, we focus on the single most prolific speaker in our dataset, with all our main MOS results reported with the model conditioned on that speaker ID, but also report MOS results for each of the top four speakers using our main multi-speaker model. + +# 4.2 RESULTS + +In Table 1 we present quantitative results for our EATS model described in Section 2, as well as several ablations of the different model and learning signal components. The architecture and training setup of each ablation is identical to our base EATS model except in terms of the differences described by the columns in Table 1. Each ablation is “subtractive”, representing the full EATS system minus one particular feature. Our main result achieved by the base multi-speaker model is a mean opinion score (MOS) of 4.083. Although it is difficult to compare directly with prior results from the literature due to dataset differences, we nonetheless include MOS results from prior works (Binkowski et al., ´ 2020; van den Oord et al., 2016; 2018), with MOS in the 4.2 to $4 . 4 +$ range. Compared to these prior models, which rely on aligned linguistic features, EATS uses substantially less supervision. + +The No RWDs, No MelSpecD, and No Discriminators ablations all achieved substantially worse MOS results than our proposed model, demonstrating the importance of adversarial feedback. In particular, the No RWDs ablation, with an MOS of 2.526, demonstrates the importance of the raw audio feedback, and removing RWDs significantly degrades the high frequency components. No MelSpecD causes intermittent artifacts and distortion, and removing all discriminators results in audio that sounds robotic and distorted throughout. The No $\mathcal { L } _ { \mathrm { l e n g t h } }$ and No $\mathcal { L } _ { \mathrm { p r e d } }$ ablations result in a model that does not train at all. Comparing our model with No DTW (MOS 3.559), the temporal flexibility provided by dynamic time warping significantly improves fidelity: removing it causes warbling and unnatural phoneme lengths. No Phonemes is trained with raw character inputs and attains MOS 3.423, due to occasional mispronunciations and unusual stress patterns. No Mon. Int. uses an aligner with a transformer-based attention mechanism (described in Appendix G) in place of our monotonic interpolation architecture, which turns out to generalise poorly to long utterances (yielding MOS 3.551). Finally, comparing against training with only a Single Speaker (MOS 3.829) shows that our EATS model benefits from a much larger multi-speaker dataset, even though MOS is evaluated only on this same single speaker on which the ablation was solely trained. Samples from each ablation are available at https://deepmind.com/research/publications/ End-to-End-Adversarial-Text-to-Speech. + +Table 1: Mean Opinion Scores (MOS) for our final EATS model and the ablations described in Section 4, sorted by MOS. The middle columns indicate which components of our final model are enabled or ablated. Data describes the training set as Multispeaker (MS) or Single Speaker (SS). Inputs describes the inputs as raw characters (Ch) or phonemes $\mathrm { ( P h ) }$ produced by Phonemizer. RWD (Random Window Discriminators), $M S D$ (Mel-spectrogram Discriminator), and $\mathcal { L } _ { \mathrm { l e n g t h } }$ (length prediction loss) indicate the presence $( \checkmark )$ or absence $( \times )$ of each of these training components described in Section 2. $\mathcal { L } _ { \mathrm { p r e d } }$ indicates which spectrogram prediction loss was used: with DTW $( \mathcal { L } _ { \mathrm { p r e d } } ^ { \prime \prime }$ , Eq. 6), without DTW $\scriptstyle \sum _ { \mathrm { p r e d } }$ , Eq. 3), or absent $( \times )$ . Align describes the architecture of the aligner as monotonic interpolation (MI) or attention-based (Attn). We also compare against recent state-of-the-art approaches from the literature which are trained on aligned linguistic features (unlike our models). Our MOS evaluation set matches that of GAN-TTS (Binkowski et al., 2020) (and our ´ “Single Speaker” training subset matches the GAN-TTS training set); the other approaches are not directly comparable due to dataset differences. + +
ModelData InputsRWDMSDLlengthLpred AlignMOS
Natural Speech4.55 ± 0.075
GAN-TTS (Binkowski et al., 2020)4.213 ± 0.046
WaveNet (van den Oord et al.,2016)4.41 ± 0.069
Par: WaveNet (van den Oord et al.,2018)4.41 ± 0.078
Tacotron 2 (Shen et al.,2018)4.526 ±0.066
No LlengthMSPh>>×MI[does not train]
NoLpredMSPh××MI[does not train]
No DiscriminatorsMSPh<>×MI1.407 ± 0.040
No RWDsMSPhMI2.526 ± 0.060
No PhonemesMSChMI3.423 ± 0.073
No MelSpecDMSPhMI3.525 ± 0.057
No Mon. Int.MSPh√ √Attn3.551 ± 0.073
No DTWMSPhMI3.559 ± 0.065
Single SpeakerSSPh<>>×<>>MI3.829 ± 0.055
EATS (Ours)MSPhLpred MI4.083±0.049
+ +Table 2: Mean Opinion Scores (MOS) for the top four speakers with the most data in our training set. All evaluations are done using our single multi-speaker EATS model. + +
Speaker#1#2#3#4
Speaking Time (Hours)51.6831.2120.6810.32
MOS4.083 ± 0.0493.828 ± 0.0514.149 ± 0.0453.761 ± 0.052
+ +We demonstrate that the aligner learns to use the latent vector z to vary the predicted token lengths in Appendix H. In Table 2 we present additional MOS results from our main multi-speaker EATS model for the four most prolific speakers in our training data3. MOS generally improves with more training data, although the correlation is imperfect (e.g., Speaker #3 achieves the highest MOS with only the third most training data). + +# 5 DISCUSSION + +We have presented an adversarial approach to text-to-speech synthesis which can learn from a relatively weak supervisory signal – normalised text or phonemes paired with corresponding speech audio. The speech generated by our proposed model matches the given conditioning texts and generalises to unobserved texts, with naturalness judged by human raters approaching state-of-the-art systems with multi-stage training pipelines or additional supervision. The proposed system described in Section 2 is efficient in both training and inference. In particular, it does not rely on autoregressive sampling or teacher forcing, avoiding issues like exposure bias (Bengio et al., 2015; Ranzato et al., 2016) and reduced parallelism at inference time, or the complexities introduced by distillation to a more efficient feed-forward model after the fact (van den Oord et al., 2018; Ping et al., 2019a). + +While there remains a gap between the fidelity of the speech produced by our method and the stateof-the-art systems, we nonetheless believe that the end-to-end problem setup is a promising avenue for future advancements and research in text-to-speech. End-to-end learning enables the system as a whole to benefit from large amounts of training data, freeing models to optimise their intermediate representations for the task at hand, rather than constraining them to work with the typical bottlenecks (e.g., mel-spectrograms, aligned linguistic features) imposed by most TTS pipelines today. We see some evidence of this occurring in the comparison between our main result, trained using data from 69 speakers, against the Single Speaker ablation: the former is trained using roughly four times the data and synthesises more natural speech in the single voice on which the latter is trained. + +Notably, our current approach does not attempt to address the text normalisation and phonemisation problems, relying on a separate, fixed system for these aspects, while a fully end-to-end TTS system could operate on unnormalised raw text. We believe that a fully data-driven approach could ultimately prevail even in this setup given sufficient training data and model capacity. + +# ACKNOWLEDGMENTS + +The authors would like to thank Norman Casagrande, Yutian Chen, Aidan Clark, Kazuya Kawakami, Pauline Luc, and many other colleagues at DeepMind for valuable discussions and input. + +# REFERENCES + +Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S. 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In ICASSP, 2018. + +Table 3: EATS batched inference benchmarks, timing inference (speech generation) on a Google Cloud TPU v3 (1 chip with 2 cores), a single NVIDIA V100 GPU, or an Intel Xeon E5-1650 v4 CPU at $3 . 6 0 \ : \mathrm { G H z }$ (6 physical cores). We use a batch size of 2, 8, or 16 utterances (Utt.), each 30 seconds long (input length of 600 phoneme tokens, padded if necessary). One “run” consists of 10 consecutive forward passes at the given batch size. We perform 101 such runs and report the median run time (Med. Run Time (s)) and the resulting Realtime Factor, the ratio of the total duration of the generated speech (Length / Run (s)) to the run time. (Note: GPU benchmarking is done using single precision (IEEE FP32) floating point; switching to half precision (IEEE FP16) could yield further speedups.) + +
Hardware#Utt./ Batch# Batch / Run# Utt. / RunLength / Utt. (s)Length / Run (s)Med. Run Time (s)Realtime Factor
TPU v3 (1 chip)161016030480030.53157.2×
V100 GPU (1)8108030240011.60206.8×
Xeon CPU (6 cores)210203060070.428.520×
+ +# A HYPERPARAMETERS AND OTHER DETAILS + +Our models are trained for $5 \cdot 1 0 ^ { 5 }$ steps, where a single step consists of one discriminator update followed by one generator update, each using a minibatch size of 1024, with batches sampled independently in each of these two updates. Both updates are computed using the Adam optimizer (Kingma & Ba, 2015) with $\beta _ { 1 } = 0$ and $\beta _ { 2 } = 0 . 9 9 9$ , and a learning rate of $1 0 ^ { - 3 }$ with a cosine decay (Loshchilov & Hutter, 2017) schedule used such that the learning rate is 0 at step 500K. We apply spectral normalisation (Miyato et al., 2018) to the weights of the generator’s decoder module and to the discriminators (but not to the generator’s aligner module). Parameters are initialised orthogonally and off-diagonal orthogonal regularisation with weight $1 0 ^ { - 4 }$ is applied to the generator, following BigGAN (Brock et al., 2018). Minibatches are split over 64 or 128 cores (32 or 64 chips) of Google Cloud TPU v3 Pods, which allows training of a single model within up to 58 hours. We use crossreplica BatchNorm (Ioffe & Szegedy, 2015) to compute batch statistics aggregated across all devices. Like in GAN-TTS (Binkowski et al., 2020), our trained generator requires computation of ´ standing statistics before sampling; i.e., accumulating batch norm statistics from 200 forward passes. As in GAN-TTS (Binkowski et al., 2020) and BigGAN (Brock et al., 2018), we use an exponential moving ´ average of the generator weights for inference, with a decay of 0.9999. Although GANs are known to exhibit stability issues sometimes, we found that EATS model training consistently converges. + +Models were implemented using TensorFlow (Abadi et al., 2015) v1 framework and the Sonnet (Reynolds et al., 2017) neural network library. We used the TF-Replicator (Buchlovsky et al., 2019) library for data parallel training over TPUs. + +Inference speed. In Table 3 we report benchmarks for EATS batched inference on two modern hardware platforms (Google Cloud TPU v3, NVIDIA V100 GPU, Intel Xeon E5-1650 CPU). We find that EATS can generate speech two orders of magnitude faster than realtime on a GPU or TPU, demonstrating the efficiency of our feed-forward model. On the GPU, generating 2400 seconds (40 minutes) of speech (80 utterances of 30 seconds each) takes 11.60 seconds on average (median), for a realtime factor of $2 0 6 . 8 \times$ . On TPU we observe a realtime factor of $1 5 7 . 2 \times$ per chip (2 cores), or $7 8 . 6 \times$ per core. On a CPU, inference runs at $8 . 5 2 \times$ realtime. + +# B ALIGNER PSEUDOCODE + +In Figure 3 we present pseudocode for the EATS aligner described in Section 2.1. + +# C SPECTROGRAM DISCRIMINATOR ARCHITECTURE + +In this Appendix we present details of the architecture of the spectrogram discriminator (Section 2.3). The discriminator’s inputs are $4 7 \times 8 0 \times 1$ images, produced by adding a channel dimension to the $4 7 \times 8 0$ output of the mel-spectrogram computation (Appendix D) from the length 48000 input waveforms (2 seconds of audio at $2 4 \mathrm { k H z }$ ). + +Then, the architecture is like that of the BigGAN-deep (Brock et al., 2018) discriminator for $1 2 8 \times 1 2 8$ images (listed in BigGAN (Brock et al., 2018) Appendix B, Table 7 (b)), but removing the first two “ResBlocks” and the “Non-Local Block” (self-attention) – rows 2-4 in the architecture table (keeping row 1, the input convolution, and rows $^ { 5 + }$ afterwards, as is). This removes one $2 \times 2$ downsampling step as the resolution of the spectrogram inputs is smaller than the $1 2 8 \times 1 2 8$ images for which the BigGAN-deep architecture was designed. We set the channel width multiplier referenced in the table to $c h = 6 4$ . + +def EATSAligner(token_sequences, token_vocab_size, lengths, speaker_ids, num_speakers, noise, out_offset, out_sequence_length=6000, sigma2=10.): """Returns audio-aligned features and lengths for the given input sequences. "N" denotes the batch size throughout the comments. Args: token_sequences: batch of token sequences indicating the ID of each token, padded to a fixed maximum sequence length (400 for training, 600 for sampling). Tokens may either correspond to raw characters or phonemes (as output by Phonemizer). Each sequence should begin and end with a special silence token (assumed to have already been added to the inputs). (dtype=int, shape=[N, in_sequence_length=600]) token_vocab_size: scalar int indicating the number of tokens. (All values in token_sequences should be in [0, token_vocab_size).) lengths: indicates the true length $< =$ in_sequence_length=600 of each sequence in token_sequences before padding was added. (dtype=int, shape=[N]) speaker_ids: ints indicating the speaker ID. (dtype=int, shape=[N]) num_speakers: scalar int indicating the number of speakers. (All values in speaker_ids should be in [0, num_speakers).) noise: 128D noise sampled from a standard isotropic Gaussian (N(0,1)). (dtype=float, shape=[N, 128]) out_offset: first timestep to output. Randomly sampled for training, 0 for sampling. (dtype=int, shape=[N]) out_sequence_length: scalar int length of the output sequence at 200 Hz. 400 for training (2 seconds), 6000 for sampling (30 seconds). sigma2: scalar float temperature (sigma\*\*2) for the softmax. + +Returns: + +aligned_features: audio-aligned features to be fed into the decoder. (dtype=float, shape=[N, out_sequence_length, 256]) aligned_lengths: the predicted audio-aligned lengths. (dtype=float, shape=[N]) + +$\#$ Learn embeddings of the input tokens and speaker IDs. +embedded_tokens $=$ Embed(input_vocab_size=token_vocab_size, $\begin{array} { r l } { \# } & { { } - > \quad [ N , } \end{array}$ 600, 256] output_dim=256)(token_sequences) +embedded_speaker_ids = Embed(input_vocab_size=num_speakers, $\begin{array} { r l } { \# } & { { } - > \quad [ N , } \end{array}$ 128] output_dim=128)(speaker_ids) + +# Make the "class-conditioning" inputs for class-conditional batch norm (CCBN) # using the embedded speaker IDs and the noise. ccbn_condition $=$ Concat([embedded_speaker_ids, noise], axis=1) $\begin{array} { l l l } { { \# } } & { { - > } } & { { [ N , } } \end{array}$ 256] $\#$ Add a dummy sequence axis to ccbn_condition for broadcasting. ccbn_condition = ccbn_condition[:, None, :] $\begin{array} { r l } { \# } & { { } - > \quad [ N , } \end{array}$ 1, 256] + +# Use \`lengths\` to make a mask indicating valid entries of token_sequences. sequence_length = token_sequences.shape[1] # = 600 mask $=$ Range(sequence_length)[None, :] < lengths[:, None] $\begin{array} { r l } { \# } & { { } - > \quad [ N , } \end{array}$ 600] + +# $\#$ Dilated 1D convolution stack. + +# # 10 blocks \* 6 convs per block = 60 convolutions total. + +$\textrm { \scriptsize x } =$ embedded_tokens + +conv_mask $=$ mask[:, :, None] $\# \quad - > \quad [ N ,$ 600, 1]; dummy axis for broadcast. for _ in range(10): + +for a, b in [(1, 2), (4, 8), (16, 32)]: block_inputs = x $\textrm { \textbf { x } } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) $\textrm { \textbf { x } } =$ MaskedConv1D(output_channels=256, kernel_size=3, dilation=a)( x, conv_mask) $\textrm { \textbf { x } } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) x = MaskedConv1D(output_channels=256, kernel_size=3, dilation=b)( x, conv_mask) $\begin{array} { r l } { \mathrm { ~ x ~ } } & { { } + = } \end{array}$ block_inputs $\# \mathrm { ~ ~ { ~ - > ~ } ~ } [ N ,$ 600, 256] + +# Save dilated conv stack outputs as unaligned_features. unaligned_features $= \times$ # [N, 600, 256] + +$\#$ Map to predicted token lengths. + +$\textrm { \scriptsize x } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) $\textrm { \scriptsize x } =$ Conv1D(output_channels=256, kernel_size=1)(x) $\textrm { \scriptsize x } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) x = Conv1D(output_channels=1, kernel_size=1)(x) $\# \mathrm { ~ ~ { ~ - > ~ } ~ } [ N ,$ 600, 1] token_lengths $=$ ReLU(x[:, :, 0]) # -> [N, 600] token_ends = CumSum(token_lengths, axis=1) # -> [N, 600] token_centres $=$ token_ends (token_lengths / 2.) # -> [N, 600] $\#$ Compute predicted length as the last valid entry of token_ends. -> [N] aligned_lengths $=$ [end[length-1] for end, length in zip(token_ends, lengths)] $\#$ Compute output grid $\begin{array} { r l } { - > } & { { } [ N , } \end{array}$ out_sequence_length=6000] out_pos $=$ Range(out_sequence_length)[None, :] $^ +$ out_offset[:, None] out_pos $=$ Cast(out_pos[:, :, None], float) # -> [N, 6000, 1] diff = token_centres[:, None, :] - out_pos # -> [N, 6000, 600] logits $=$ -(diff\*\*2 / sigma2) # -> [N, 6000, 600] $\#$ Mask out invalid input locations (flip 0/1 to 1/0); add dummy output axis. logits_inv_mask $\ c = ~ 1$ . - Cast(mask[:, None, :], float) # -> [N, 1, 600] masked_logits $=$ logits - 1e9 \* logits_inv_mask # -> [N, 6000, 600] weights $=$ Softmax(masked_logits, axis=2) # -> [N, 6000, 600] # Do a batch matmul (written as an einsum) to compute the aligned features. # aligned_features -> [N, 6000, 256] aligned_features $=$ Einsum('noi,nid->nod', weights, unaligned_features) + +return aligned_features, aligned_lengths + +# import tensorflow.compat.v1 as tf + +def get_mel_spectrogram(waveforms, invert_mu_law $=$ True, mu=255., jitter=False, max_jitter_steps $\scriptscriptstyle = 6 0$ ): """Computes mel-spectrograms for the given waveforms. Args: waveforms: a tf.Tensor corresponding to a batch of waveforms sampled at 24 kHz. (dtype $=$ tf.float32, shape=[N, sequence_length]) invert_mu_law: whether to apply mu-law inversion to the input waveforms. In EATS both the real data and generator outputs are mu-law'ed, so this is always set to True. mu: The mu value used if invert_mu_law $=$ True (ignored otherwise). jitter: whether to apply random jitter to the input waveforms before computing spectrograms. Set to True only for GT spectrograms input to the prediction loss. max_jitter_steps: maximum number of steps by which the input waveforms are randomly jittered if jitte $\gamma =$ True (ignored otherwise). Returns: A 3D tensor with spectrograms for the corresponding input waveforms. + +(dtype $=$ tf.float32, shape=[N, num_frames=ceil(sequence_length/1024), num_bin $\scriptstyle 3 = 8 0 ]$ ) + +waveforms.shape.assert_has_rank(2) t $=$ waveforms + +if jitter: + +assert max_jitter_steps $\scriptstyle > = 0$ crop_shape $=$ [t.shape[1]] t $=$ tf.pad(t, [[0, 0], [max_jitter_steps, max_jitter_steps]]) # Jitter independently for each batch item. t $=$ tf.map_fn(lambda ti: tf.image.random_crop(ti, crop_shape), t) +if invert_mu_law: t $=$ tf.sign(t) / mu $\star$ ( $( \mathrm { ~ 1 ~ ~ { ~ + ~ } ~ } \mathrm { m u }$ ) $\star \star$ tf.abs(t) - 1) +t $=$ tf.signal.stft(t, frame_length $= 2 0 4 8$ , frame_step $^ { 1 = }$ 1024, pad_end $=$ True) +$\qquad \pm \quad =$ tf.abs(t) +mel_weight_matrix $=$ tf.signal.linear_to_mel_weight_matrix( num_mel_bins $= 8 0$ , num_spectrogram_bins $= \pm$ .shape[-1], sample_rate $^ { = 2 }$ 4000., lower_edge_hert $z = 8 0$ ., upper_edge_hert $z = 7$ 600.) +t $=$ tf.tensordot(t, mel_weight_matrix, axes $= 1$ ) +t = tf.log(1. $^ +$ 10000.\*t) +return t +en_spectrograms_for_pred_loss $=$ get_mel_spectrogram(gen_waveforms, jitter=False) +eal_spectrograms_for_pred_loss $=$ get_mel_spectrogram(real_waveforms, jitter $: =$ True) + +# D MEL-SPECTROGRAM COMPUTATION + +In Figure 4 we include the TensorFlow (Abadi et al., 2015) code used to compute the mel-spectrograms fed into the spectrogram discriminator (Section 2.3) and the spectrogram prediction loss (Section 2.4). Note that for use in the prediction lfor real spectrograms and jitter ses Fa $\mathcal { L } _ { \mathrm { p r e d } }$ or or $\mathcal { L } _ { \mathrm { p r e d } } ^ { \prime \prime }$ , we call this function with jitterted spectrograms. When used for t $=$ True spec$=$ +trogram discriminator inputs, we do not apply jitter to either real or generated spectrograms, setting jitter $=$ False in both cases. + +def soft_minimum(values, temperature): """Compute the soft minimum with the given temperature.""" return -temperature $\star$ log(sum(exp(-values / temperature))) + +def skew_matrix(x): """Skew a matrix so that the diagonals become the rows.""" height, width $= \times$ .shape $\begin{array} { r l } { \mathrm { y } } & { { } = } \end{array}$ zeros(height $^ +$ width - 1, width) for i in range(height $^ +$ width - 1): for j in range(width): # Shift each column j down by j steps. y[i, j] $=$ x[clip(i - j, 0, height - 1), j] return y + +def spectrogram_dtw_error(spec_a, spec_b, warp_penalty $= 1$ .0, temperature ${ } = 0$ .01): """Compute DTW error given a pair of spectrograms.""" # Compute cost matrix. diffs $=$ abs(spec_a[None, :, :] - spec_b[:, None, :]) costs $=$ mean(diffs, axis $\ c = - 1$ ) # pairwise L1 cost, square the diffs for L2. size $=$ cost.shape[-1] + +# # Initialise path costs. + +path_cost $=$ INFINITY $\star$ ones(size + 1) path_cost_prev $=$ INFINITY $\star$ ones(size + 1) path_cost_prev[0] $\mathrm { ~ ~ { ~ \ b ~ = ~ } ~ 0 ~ . ~ 0 ~ }$ + +# E DYNAMIC TIME WARPING PSEUDOCODE + +In Figure 5 we present pseudocode for the soft dynamic time warping (DTW) procedure we use in the spectrogram prediction loss $\mathcal { L } _ { \mathrm { p r e d } } ^ { \prime \prime }$ . + +Note that the complexity of this implementation is quadratic. It could be made more efficient using Itakura or Sakoe-Chiba bands (Itakura, 1975; Sakoe & Chiba, 1978), but we found that enabling or disabling DTW for the prediction loss did not meaningfully affect training time, so this optimisation is not necessary in practice. + +
Outputsymbol|x4i;-ir~"
Substitute symbol|kk1j··
+ +Table 4: The symbols in this table are replaced or removed when they appear in phonemizer’s output. + +# F TEXT PREPROCESSING + +We use phonemizer (Bernard, 2020) (version 2.2) to perform partial normalisation and phonemisation of the input text (for all our results except for the No Phonemes ablation, where we use character sequences as input directly). We used the espeak backend (with espeak-ng version 1.50), which produces phoneme sequences using the International Phonetic Alphabet (IPA). We enabled the following options that phonemizer provides: + +• with_stress, which includes primary and secondary stress marks in the output; +• strip, which removes spurious whitespace; +• preserve_punctuation, which ensures that punctuation is left unchanged. This is important because punctuation can meaningfully affect prosody. + +The phoneme sequences produced by phonemizer contain some rare symbols (usually in non-English words), which we replace with more frequent symbols. The substitutions we perform are listed in Table 4. This results in a set of 51 distinct symbols. The character sequence + +Modern text-to-speech synthesis pipelines typically involve multiple processing stages. + +becomes + +m"A:dÄn t"Ekstt@sp"i:tS s"InT@s­Is p"aIplaInz t"IpIkli Inv"A:lv m­2ltIp@l pô"A:sEsIN st"eIdZ1z. + +# G TRANSFORMER-BASED ATTENTION ALIGNER BASELINE + +In this Appendix we describe our transformer-based attention aligner baseline, used in Section 4 to compare against our monotonic interpolation-based aligner described in Section 2.1. We use transformer attention (Vaswani et al., 2017) with output positional features as the queries, and a sum of input positional features and encoder output as the keys. The encoder outputs are from the same dilated convolution stack as used in our EATS model, normalised using Layer Normalization (Ba et al., 2016) before input into the transformer. We omit the fully-connected output layer following the attention mechanism. Both sets of positional features use the sinusoidal encodings from Vaswani et al. (2017). We use 4 heads with key and value dimensions of 64 per head. Its outputs are taken as the audio-aligned feature representations, after which we apply Batch Normalisation and ReLU non-linearity before upsampling via the decoder. + +![](images/3ef521790c4d80c0df2016f80038681a2a2fc8745a9a4e169bfc645b29a69160.jpg) +Figure 6: Positions of the tokens over time for 128 utterances generated from the same text, with different latent vectors z. Close-ups of the start and end of the sequence show the variability of the predicted lengths. + +![](images/4615de26fe49bebc4e39539846b680faf596421869fab4e1492d981b39e84a56.jpg) +Figure 7: Histogram of lengths for 128 utterances generated from the same text, with different latent vectors $\mathbf { z }$ . + +# H VARIATION IN ALIGNMENT + +To demonstrate that the aligner module makes use of the latent vector z to account for variations in token lengths, we generated 128 different renditions of the second sentence from the abstract: “In this work, we take on the challenging task of learning to synthesise speech from normalised text or phonemes in an end-to-end manner, resulting in models which operate directly on character or phoneme input sequences and produce raw speech audio outputs.”. Figure 6 shows the positions of the tokens over time, with close-ups of the start and end of the sequence, to make the subtle variations in length more visible. Figure 7 shows a histogram of the lengths of the generated utterances. The variation is subtle (less than $2 \%$ for this utterance), but noticeable. Given that the training data consists of high-quality recordings of human speech performed by professional voice actors, only a modest degree of variation is to be expected. + +Table 5: Mean Opinion Scores (MOS) and Fréchet DeepSpeech Distances (FDSD) for our final EATS model and the ablations described in Section 4, sorted by MOS. FDSD scores presented here were computed on held-out validation multi-speaker set and therefore could not be obtained for the Single Speaker ablation. Due to dataset differences, these are also not comparable with the FDSD values reported for GAN-TTS by Binkowski et al. (2020). ´ + +
ModelMOSFDSD
Natural Speech4.55 ± 0.0750.682
No Discriminators1.407 ± 0.0401.594
No RWDs2.526 ± 0.0600.757
No Phonemes3.423 ± 0.0730.688
No MelSpecD3.525 ± 0.0570.849
No Mon. Int.3.551 ± 0.0730.724
No DTW3.559 ± 0.0650.694
EATS4.083 ± 0.0490.702
+ +# I EVALUATION WITH FRÉCHET DEEPSPEECH DISTANCE + +We found Fréchet DeepSpeech Distances (Binkowski et al., 2020), both conditional and unconditional, ´ unreliable in our setting. Although they provided useful guidance at the early stages of model iteration – i.e., were able to clearly distinguish the models that do and do not train – FDSD scores of the models of reasonable quality were not in line with their Mean Opinion Scores, as shown for our ablations in Table 5. + +A possible reason for FDSD working less well in our setting is the fact that our models rely on features extracted from spectrograms similar to those computed at the DeepSpeech preprocessing stage. As our models combine losses computed on raw audio and mel-spectrograms, it might be the case that the speech generated by some model is of lower quality, yet has convincing spectrograms. Comparison of two of our ablations seems to affirm this hypothesis: the No MelSpecD model achieves much higher MOS $( \approx 3 . 5 )$ than the No RWDs ablation $( \approx 2 . 5 )$ which is optimised only against spectrogram-based losses. Their FDSDs, however, suggest the opposite ranking of these models. + +Another potential cause for the discrepancy between MOS and FDSD is the difference in samples for which these scores were established. While FDSD was computed on samples randomly held out from the training set, the MOS was computed on more challenging, often longer utterances. As we did not have ground truth audio for the latter, we could not compute FDSD for these samples. The sample sizes commonly used for the metrics based on Fréchet distance, e.g. (Heusel et al., 2017; Kurach et al., 2019; Binkowski et al., 2020), are also usually larger than the ones used for MOS ´ testing (van den Oord et al., 2016; Binkowski et al., 2020); we used 5,120 samples for FDSD and ´ 1,000 for MOS. + +We also note that conditional FDSD is not immediately applicable in our setting, as it requires fixed length (two second) samples with aligned conditionings, while in our case there is no fixed alignment between the ground truth characters and audio. + +We hope that future research will revisit the challenge of automatic quantitative evaluation of text-tospeech models and produce a reliable quality metric for models operating in our current regime. + +Table 6: A comparison of TTS methods. The model stages described in each paper are shown by linking together the inputs, outputs and intermediate representations that are used: characters $\mathbf { \Pi } ( \mathbf { C h } )$ , phonemes $\mathbf { ( P h ) }$ , mel-spectrograms (MelS), magnitude spectrograms (MagS), cepstral features (Cep), linguistic features (Ling, such as phoneme durations and fundamental frequencies, or WORLD (Morise et al., 2016) features for Char2wav (Sotelo et al., 2017) and VoiceLoop (Taigman et al., 2017)), and audio $\mathbf { \Pi } ( \mathbf { A u } )$ . Arrows with various superscripts describe model components: autoregressive (AR), feed-forward (FF), or feed-forward requiring distillation $( \mathbf { F } \mathbf { F } ^ { * } )$ . Arrows without a superscript indicate components that do not require learning. 1 Stage means the model is trained in a single stage to map from unaligned text/phonemes to audio (without, e.g., distillation or separate vocoder training). EATS is the only feed-forward model that fulfills this requirement. + +
Stages1 StageNotes
WaveNet (van den Oord et al.,2016)AAu Ling×
SampleRNN (Mehri et al., 2017)AAu×not a TTS model
Deep Voice (Arik et al.,2017)Ch APhLing ARAu×uses segmentation model
WaveRNN (Kalchbrenner etal.,2018)Ling AR ARAu×
LPCNet (Valin & Skoglund,2019)ARAu Cep×
WaveGlow (Prenger et al.,2019)MelS FF Au×
FloWaveNet (Kim et al.,2019)FAu MelS×
WaveFlow (Ping et al.,2019b)ARAu MelS×partially autoregressive
Par: WaveNet (van den Oord et al.,2018)Ling FF* →Au×distillation
ClariNet (Ping et al.,2019a), teacherARAu Ch/Ph
ClariNet (Ping etal.,2019a),studentAu Ch/Ph×distillation
WaveGAN(Donahue et al.,2019)Au×not a TTS model
MelGAN (Kumar etal., 2019)MelsAu×
Par: WaveGAN(Yamamoto et al.,2020)Ph AMels FAu×
AdVoc (Neekhara et al.,2019)MelsMagS×
GAN-TTS (Binkowski etal., 2020)Ling FAu FF×
Tacotron (Wang et al.,2017)ChAMels MagS→Au×uses Griffin & Lim (1984)
Tacotron 2 (Shen et al.,2018)AMelSAAu Ch×
Deep Voice 2(Gibiansky et al.,2017)×uses segmentation model
DV2 Tacotron (Gibiansky et al.,2017)ChAMagS AAu×
Deep Voice 3 (Ping et al.,2018)Ch AMelS AAu×several alternative vocoders
TransformerTTS(Li etal.,2019)Ch→Ph AMelS AAu×
Flowtron (Valle et al.,2020)Ch AMelsAu×
VoiceLoop (Taigman etal.,2017)Ph ALing → Au×
GAN Exposure (Guo et al.,2019)Ph A MelS A Au×
MelNet (Vasquez & Lewis,2019)AMelS→Au Ch-×
ParaNet (Peng et al.,2019)FF* MelsAu Ch/Ph×distillation
FastSpeech (Ren et al.,2019)FAu Ph FF* MelS×distillation
Flow-TTS (Miao et al.,2020)Mels Au Ch
Glow-TTS(Kim et al.,2020)PhMels Au× ×
Char2wav (Sotelo et al.,2017)ChALing ARAu×end-to-end finetuning
EATS (Ours)Ch/Ph → Au
+ +# J COMPARISON OF TTS METHODS + +In Table 6 we compare recent TTS approaches in terms of the inputs and outputs to each stage of the pipeline, and whether they are learnt in a single stage or multiple stages. Differentiating EATS from each prior approach is the fact that it learns a feed-forward mapping from text/phonemes to audio end-to-end in a single stage, without requiring distillation or separate vocoder training. The ClariNet teacher model (Ping et al., 2019a) is also trained in a single stage, but it uses teacher forcing to achieve this, requiring the model to be autoregressive. A separate distillation stage is necessary to obtain a feed-forward model in this case. \ No newline at end of file diff --git a/parse/train/rsf1z-JSj87/rsf1z-JSj87_content_list.json b/parse/train/rsf1z-JSj87/rsf1z-JSj87_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..1b9e2f4b66a7ca5ff99105f1eceb031d4f748b5b --- /dev/null +++ b/parse/train/rsf1z-JSj87/rsf1z-JSj87_content_list.json @@ -0,0 +1,2611 @@ +[ + { + "type": "text", + "text": "END-TO-END ADVERSARIAL TEXT-TO-SPEECH ", + "text_level": 1, + "bbox": [ + 173, + 98, + 743, + 121 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jeff Donahue∗, Sander Dieleman∗, Mikołaj Binkowski, Erich Elsen, Karen Simonyan ´ ∗ DeepMind {jeffdonahue,sedielem,binek,eriche,simonyan}@google.com ", + "bbox": [ + 184, + 141, + 782, + 184 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 220, + 544, + 236 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Modern text-to-speech synthesis pipelines typically involve multiple processing stages, each of which is designed or learnt independently from the rest. In this work, we take on the challenging task of learning to synthesise speech from normalised text or phonemes in an end-to-end manner, resulting in models which operate directly on character or phoneme input sequences and produce raw speech audio outputs. Our proposed generator is feed-forward and thus efficient for both training and inference, using a differentiable alignment scheme based on token length prediction. It learns to produce high fidelity audio through a combination of adversarial feedback and prediction losses constraining the generated audio to roughly match the ground truth in terms of its total duration and mel-spectrogram. To allow the model to capture temporal variation in the generated audio, we employ soft dynamic time warping in the spectrogram-based prediction loss. The resulting model achieves a mean opinion score exceeding 4 on a 5 point scale, which is comparable to the state-of-the-art models relying on multi-stage training and additional supervision.1 ", + "bbox": [ + 232, + 252, + 764, + 460 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 489, + 336, + 506 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "A text-to-speech (TTS) system processes natural language text inputs to produce synthetic human-like speech outputs. Typical TTS pipelines consist of a number of stages trained or designed independently – e.g. text normalisation, aligned linguistic featurisation, mel-spectrogram synthesis, and raw audio waveform synthesis (Taylor, 2009). Although these pipelines have proven capable of realistic and high-fidelity speech synthesis and enjoy wide real-world use today, these modular approaches come with a number of drawbacks. They often require supervision at each stage, in some cases necessitating expensive “ground truth” annotations to guide the outputs of each stage, and sequential training of the stages. Further, they are unable to reap the full potential rewards of data-driven “end-to-end\" learning widely observed in a number of prediction and synthesis task domains across machine learning. ", + "bbox": [ + 173, + 521, + 825, + 646 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we aim to simplify the TTS pipeline and take on the challenging task of synthesising speech from text or phonemes in an end-to-end manner. We propose EATS – End-to-end Adversarial Text-to-Speech – generative models for TTS trained adversarially (Goodfellow et al., 2014) that operate on either pure text or raw (temporally unaligned) phoneme input sequences, and produce raw speech waveforms as output. These models eliminate the typical intermediate bottlenecks present in most state-of-the-art TTS engines by maintaining learnt intermediate feature representations throughout the network. ", + "bbox": [ + 174, + 650, + 825, + 748 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Our speech synthesis models are composed of two high-level submodules, detailed in Section 2. An aligner processes the raw input sequence and produces relatively low-frequency $( 2 0 0 \\ : \\mathrm { H z } )$ aligned features in its own learnt, abstract feature space. The features output by the aligner may be thought of as taking the place of the earlier stages of typical TTS pipelines – e.g., temporally aligned melspectrograms or linguistic features. These features are then input to the decoder which upsamples the features from the aligner by 1D convolutions to produce $2 4 \\mathrm { k H z }$ audio waveforms. ", + "bbox": [ + 174, + 752, + 825, + 837 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "By carefully designing the aligner and guiding training by a combination of adversarial feedback and domain-specific loss functions, we demonstrate that a TTS system can be learnt nearly end-to-end, resulting in high-fidelity natural-sounding speech approaching the state-of-the-art TTS systems. Our main contributions include: ", + "bbox": [ + 176, + 840, + 823, + 869 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• A fully differentiable and efficient feed-forward aligner architecture that predicts the duration of each input token and produces an audio-aligned representation. \n• The use of flexible dynamic time warping-based prediction losses to enforce alignment with input conditioning while allowing the model to capture the variability of timing in human speech. \n• An overall system achieving a mean opinion score of 4.083, approaching the state of the art from models trained using richer supervisory signals. ", + "bbox": [ + 173, + 141, + 826, + 238 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 METHOD ", + "text_level": 1, + "bbox": [ + 174, + 256, + 282, + 272 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our goal is to learn a neural network (the generator) which maps an input sequence of characters or phonemes to raw audio at $2 4 \\mathrm { k H z }$ . Beyond the vastly different lengths of the input and output signals, this task is also challenging because the input and output are not aligned, i.e. it is not known beforehand which output tokens each input token will correspond to. To address these challenges, we divide the generator into two blocks: (i) the aligner, which maps the unaligned input sequence to a representation which is aligned with the output, but has a lower sample rate of $2 0 0 \\mathrm { H z }$ ; and (ii) the decoder, which upsamples the aligner’s output to the full audio frequency. The entire generator architecture is differentiable, and is trained end to end. Importantly, it is also a feed-forward convolutional network, which makes it well-suited for applications where fast batched inference is important: our EATS implementation generates speech at a speed of $2 0 0 \\times$ realtime on a single NVIDIA V100 GPU (see Appendix A and Table 3 for details). It is illustrated in Figure 1. ", + "bbox": [ + 173, + 285, + 825, + 439 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The generator is inspired by GAN-TTS (Binkowski et al., 2020), a text-to-speech generative ad- ´ versarial network operating on aligned linguistic features. We employ the GAN-TTS generator as the decoder in our model, but instead of upsampling pre-computed linguistic features, its input comes from the aligner block. We make it speaker-conditional by feeding in a speaker embedding s alongside the latent vector $\\mathbf { z }$ , to enable training on a larger dataset with recordings from multiple speakers. We also adopt the multiple random window discriminators (RWDs) from GAN-TTS, which have been proven effective for adversarial raw waveform modelling, and we preprocess real audio input by applying a simple $\\mu$ -law transform. Hence, the generator is trained to produce audio in the $\\mu$ -law domain and we apply the inverse transformation to its outputs when sampling. ", + "bbox": [ + 173, + 443, + 825, + 569 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The loss function we use to train the generator is as follows: ", + "bbox": [ + 173, + 573, + 568, + 588 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/27eac29c9a6d3953f508878899213ec3765f3d0e5217338928d3458581c3a01f.jpg", + "text": "$$\n\\mathcal { L } _ { G } = \\mathcal { L } _ { G , \\mathrm { a d v } } + \\lambda _ { \\mathrm { p r e d } } \\cdot \\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime } + \\lambda _ { \\mathrm { l e n g t h } } \\cdot \\mathcal { L } _ { \\mathrm { l e n g t h } } ,\n$$", + "text_format": "latex", + "bbox": [ + 333, + 594, + 661, + 614 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\mathcal { L } _ { G , \\mathrm { a d v } }$ is the adversarial loss, linear in the discriminators’ outputs, paired with the hinge loss (Lim & Ye, 2017; Tran et al., 2017) used as the discriminators’ objective, as used in GANTTS (Binkowski et al., 2020). The use of an adversarial (Goodfellow et al., 2014) loss is an advantage ´ of our approach, as this setup allows for efficient feed-forward training and inference, and such losses tend to be mode-seeking in practice, a useful behaviour in a strongly conditioned setting where realism is an important design goal, as in the case of text-to-speech. In the remainder of this section, we describe the aligner network and the auxiliary predictiondetail, and recap the components which were adopted from G $( \\mathcal { L } _ { \\mathrm { { p r e d } } } ^ { \\prime \\prime } )$ and lengthS. $( \\mathcal { L } _ { \\mathrm { l e n g t h } } )$ losses in ", + "bbox": [ + 173, + 619, + 825, + 731 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 ALIGNER ", + "text_level": 1, + "bbox": [ + 174, + 747, + 281, + 761 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Given a token sequence ${ \\bf x } = ( x _ { 1 } , \\dots , x _ { N } )$ of length $N$ , we first compute token representations ${ \\bf h } = f ( { \\bf x } , { \\bf z } , { \\bf s } )$ , where $f$ is a stack of dilated convolutions (van den Oord et al., 2016) interspersed with batch normalisation (Ioffe & Szegedy, 2015) and ReLU activations. The latents $\\mathbf { z }$ and speaker embedding s modulate the scale and shift parameters of the batch normalisation layers (Dumoulin et al., 2017; De Vries et al., 2017). We then predict the length for each input token individually: $l _ { n } = g ( h _ { n } , \\mathbf { z } , \\mathbf { s } )$ , where $g$ is an MLP. We use a ReLU nonlinearity at the output to ensure that the predicted lengths are non-sum of the token lengths: $\\begin{array} { r } { e _ { n } = \\sum _ { m = 1 } ^ { n } l _ { m } } \\end{array}$ then find the predicted token end p, and the token centre positions as $\\begin{array} { r } { c _ { n } = e _ { n } - \\frac { 1 } { 2 } l _ { n } } \\end{array}$ mulative. Based on these predicted positions, we can interpolate the token representations into an audio-aligned representation at $2 0 0 \\mathrm { H z }$ , $\\mathbf { a } = ( a _ { 1 } , \\ldots , a _ { S } )$ , where $S = \\lceil e _ { N } \\rceil$ is the total number of output time steps. To compute $a _ { t }$ , we obtain interpolation weights for the token representations $h _ { n }$ using a softmax over the squared distance between $t$ and $c _ { n }$ , scaled by a temperature parameter $\\sigma ^ { 2 }$ , which we set to 10.0 (i.e. a Gaussian kernel): ", + "bbox": [ + 173, + 770, + 826, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 132 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/45815cf2671e815e34f001fd64acc004229a13ba08900675bb14c40609d9b470.jpg", + "text": "$$\nw _ { t } ^ { n } = \\frac { \\exp { \\left( - \\sigma ^ { - 2 } ( t - c _ { n } ) ^ { 2 } \\right) } } { \\sum _ { m = 1 } ^ { N } \\exp { \\left( - \\sigma ^ { - 2 } ( t - c _ { m } ) ^ { 2 } \\right) } } .\n$$", + "text_format": "latex", + "bbox": [ + 372, + 133, + 625, + 174 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Using these weights, we can then compute $\\begin{array} { r } { a _ { t } \\ = \\ \\sum _ { n = 1 } ^ { N } w _ { t } ^ { n } h _ { n } } \\end{array}$ , which amounts to non-uniform interpolation. By predicting token lengths and obtaining positions using cumulative summation, instead of predicting positions directly, we implicitly enforce monotonicity of the alignment. Note that tokens which have a non-monotonic effect on prosody, such as punctuation, can still affect the entire utterance thanks to the stack of dilated convolutions $f$ , whose receptive field is large enough to allow for propagation of information across the entire token sequence. The convolutions also ensure generalisation across different sequence lengths. Appendix B includes pseudocode for the aligner. ", + "bbox": [ + 173, + 180, + 825, + 281 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 WINDOWED GENERATOR TRAINING ", + "text_level": 1, + "bbox": [ + 176, + 299, + 460, + 313 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Training examples vary widely in length, from about 1 to 20 seconds. We cannot pad all sequences to a maximal length during training, as this would be wasteful and prohibitively expensive: 20 seconds of audio at $2 4 \\mathrm { k H z }$ correspond to 480,000 timesteps, which results in high memory requirements. Instead, we randomly extract a 2 second window from each example, which we will refer to as a training window, by uniformly sampling a random offset $\\eta$ . The aligner produces a $2 0 0 \\mathrm { H z }$ audio-aligned representation for this window, which is then fed to the decoder (see Figure 1). Note that we only need to compute $a _ { t }$ for time steps $t$ that fall within the sampled window, but we do have to compute the predicted token lengths $l _ { n }$ for the entire input sequence. During evaluation, we simply produce the audio-aligned representation for the full utterance and run the decoder on it, which is possible because it is fully convolutional. ", + "bbox": [ + 174, + 324, + 485, + 601 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.3 ADVERSARIAL DISCRIMINATORS ", + "text_level": 1, + "bbox": [ + 178, + 619, + 441, + 632 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/e8346596cd53edabed8d93e517d344c6bdce1b87d2b7209f1d540d66775d362c.jpg", + "image_caption": [ + "Figure 1: A diagram of the generator, including the monotonic interpolation-based aligner. $z$ and ch denote the latent Gaussian vector and the number of output channels, respectively. During training, audio windows have a fixed length of 2 seconds and are generated from the conditioning text using random offsets $\\eta$ and predicted phoneme lengths; the shaded areas in the logits grid and waveform are not synthesised. For inference (sampling), we set $\\eta = 0$ . In the No Phonemes ablation, the phonemizer is skipped and the character sequence is fed directly into the aligner. " + ], + "image_footnote": [], + "bbox": [ + 500, + 292, + 823, + 662 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Random window discriminators. We use an ensemble of random window discriminators (RWDs) adopted from GAN-TTS. Each RWD operates on audio fragments of different lengths, randomly sampled from the training window. We use five RWDs with window sizes 240, 480, 960, 1920 and 3600. This enables each RWD to operate at a different resolution. Note that 3600 samples at $2 4 ~ \\mathrm { k H z }$ corresponds to $1 5 0 ~ \\mathrm { m s }$ of audio, so all RWDs operate on short timescales. All RWDs in our model are unconditional with respect to text: they cannot access the text sequence or the aligner output. (GAN-TTS uses 10 RWDs, including 5 conditioned on linguistic features which we omit.) They are, however, conditioned on the speaker, via projection embedding (Miyato & Koyama, 2018). ", + "bbox": [ + 174, + 643, + 485, + 851 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 852, + 705, + 866 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Spectrogram discriminator. We use an additional discriminator which operates on the full training window in the spectrogram domain. We extract log-scaled mel-spectrograms from the audio signals and use the BigGAN-deep architecture (Brock et al., 2018), essentially treating the spectrograms as ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "images. The spectrogram discriminator also uses speaker identity through projection embedding. \nDetails on the spectrogram discriminator architecture are included in Appendix C. ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.4 SPECTROGRAM PREDICTION LOSS ", + "text_level": 1, + "bbox": [ + 176, + 147, + 449, + 161 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In preliminary experiments, we discovered that adversarial feedback is insufficient to learn alignment. At the start of training, the aligner does not produce an accurate alignment, so the information in the input tokens is incorrectly temporally distributed. This encourages the decoder to ignore the aligner output. The unconditional discriminators provide no useful learning signal to correct this. If we want to use conditional discriminators instead, we face a different problem: we do not have aligned ground truth. Conditional discriminators also need an aligner module, which cannot function correctly at the start of training, effectively turning them into unconditional discriminators. Although it should be possible in theory to train the discriminators’ aligner modules adversarially, we find that this does not work in practice, and training gets stuck. ", + "bbox": [ + 173, + 170, + 825, + 295 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Instead, we propose to guide learning by using an explicit prediction loss in the spectrogram domain: we minimise the $L _ { 1 }$ loss between the log-scaled mel-spectrograms of the generator output, and the corresponding ground truth training window. This helps training to take off, and renders conditional discriminators unnecessary, simplifying the model. Let $S _ { \\mathrm { g e n } }$ be the spectrogram of the generated audio, $S _ { \\mathrm { g t } }$ the spectrogram of the corresponding ground truth, and $S [ t , f ]$ the log-scaled magnitude at time step $t$ and mel-frequency bin $f$ . Then the prediction loss is: ", + "bbox": [ + 173, + 299, + 825, + 383 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/dfef56075b01fa14853b720235db6f8454bc544cb2c4c329b0b4af381fd1c3ba.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { p r e d } } = \\frac { 1 } { F } \\sum _ { t = 1 } ^ { T } \\sum _ { f = 1 } ^ { F } | S _ { \\mathrm { g e n } } [ t , f ] - S _ { \\mathrm { g t } } [ t , f ] | . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 341, + 397, + 658, + 420 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "$T$ and $F$ are the total number of time steps and mel-frequency bins respectively. Computing the prediction loss in the spectrogram domain, rather than the time domain, has the advantage of increased invariance to phase differences between the generated and ground truth signals, which are not perceptually salient. Seeing as the spectrogram extraction operation has several hyperparameters and its implementation is not standardised, we provide the code we used for this in Appendix D. We applied a small amount of jitter (by up to $\\pm 6 0$ samples at $2 4 \\mathrm { k H z }$ ) to the ground truth waveform before computing $S _ { \\mathrm { g t } }$ , which helped to reduce artifacts in the generated audio. ", + "bbox": [ + 173, + 426, + 825, + 526 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The inability to learn alignment from adversarial feedback alone is worth expanding on: likelihoodbased autoregressive models have no issues learning alignment, because they are able to benefit from teacher forcing (Williams & Zipser, 1989) during training: the model is trained to perform next step prediction on each sequence step, given the preceding ground truth, and it is expected to infer alignment only one step at a time. This is not compatible with feed-forward adversarial models however, so the prediction loss is necessary to bootstrap alignment learning for our model. ", + "bbox": [ + 174, + 530, + 825, + 614 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Note that although we make use of mel-spectrograms for training in $\\mathcal { L } _ { \\mathrm { p r e d } }$ (and to compute the inputs for the spectrogram discriminator, Section 2.3), the generator itself does not produce spectrograms as part of the generation process. Rather, its outputs are raw waveforms, and we convert these waveforms to spectrograms only for training (backpropagating gradients through the waveform to mel-spectrogram conversion operation). ", + "bbox": [ + 174, + 618, + 825, + 688 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2.5 DYNAMIC TIME WARPING ", + "text_level": 1, + "bbox": [ + 174, + 703, + 392, + 717 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The spectrogram prediction loss incorrectly assumes that token lengths are deterministic. We can relax the requirement that the generated and ground truth spectrograms are exactly aligned, by incorporating dynamic time warping (DTW) (Sakoe, 1971; Sakoe & Chiba, 1978). We calculate the prediction loss by iteratively finding a minimal-cost alignment path $p$ between the generated and target spectrograms, $S _ { \\mathrm { g e n } }$ and $S _ { \\mathrm { g t } }$ . We start at the first time step in both spectrograms: $p _ { \\mathrm { g e n , 1 } } = p _ { \\mathrm { g t , 1 } } = 1$ At each iteration $k$ , we take one of three possible actions: ", + "bbox": [ + 174, + 726, + 825, + 810 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "1. go to the next time step in both $S _ { \\mathrm { g e n } } , S _ { \\mathrm { g t } } \\colon p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } + 1 , p _ { \\mathrm { g t } , k + 1 } = p _ { \\mathrm { g t } , k } + 1 ;$ \n2. go to the next time step in $S _ { \\mathrm { g t } }$ only: $p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } , p _ { \\mathrm { g t } , k + 1 } = p _ { \\mathrm { g t } , k } + 1$ ; \n3. go to the next time step in $S _ { \\mathrm { g e n } }$ only: $p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } + 1$ , pgt,k+1 = pgt,k. ", + "bbox": [ + 212, + 819, + 805, + 875 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The resulting path is $p = \\langle ( p _ { \\mathrm { g e n } , 1 } , p _ { \\mathrm { g t } , 1 } ) , \\dots , ( p _ { \\mathrm { g e n } , K _ { p } } , p _ { \\mathrm { g t } , K _ { p } } ) \\rangle$ , where $K _ { p }$ is the length. Each action is assigned a cost based on the $L _ { 1 }$ distance between $S _ { \\mathrm { g e n } } [ p _ { \\mathrm { g e n } , k } ]$ and $\\mathrm { \\dot { \\cal S } } _ { \\mathrm { g t } } [ p _ { \\mathrm { g t } , k } ]$ , and a warp penalty $w$ which is incurred if we choose not to advance both spectrograms in lockstep (i.e. we are warping the spectrogram by taking action 2 or 3; we use $w = 1 . 0$ ). The warp penalty thus encourages alignment paths that do not deviate too far from the identity alignment. Let $\\delta _ { k }$ be an indicator which is 1 for iterations where warping occurs, and 0 otherwise. Then the total path cost $c _ { p }$ is: ", + "bbox": [ + 176, + 881, + 821, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 825, + 146 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/5e55027ea6418ddbbb991219c835af82b42c74a3172fd85b36bb0223dc35e50a.jpg", + "text": "$$\n\\begin{array} { r } { c _ { p } = \\sum _ { k = 1 } ^ { K _ { p } } \\Big ( \\boldsymbol { w } \\cdot \\boldsymbol { \\delta _ { k } } + \\frac { 1 } { F } \\sum _ { f = 1 } ^ { F } | S _ { \\mathrm { g e n } } [ p _ { \\mathrm { g e n } , k } , f ] - S _ { \\mathrm { g t } } [ p _ { \\mathrm { g t } , k } , f ] | \\Big ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 281, + 148, + 717, + 176 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "depends on the degree of warping $( T \\leq K _ { p } \\leq 2 T - 1 )$ . The DTW prediction loss is then: ", + "bbox": [ + 192, + 178, + 781, + 194 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a0274c1bfcce379ed130b205b04215c357f6e780ecd4665614c4bcf802543ff3.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime } = \\operatorname* { m i n } _ { p \\in \\mathcal { P } } c _ { p } ,\n$$", + "text_format": "latex", + "bbox": [ + 442, + 196, + 553, + 219 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathcal { P }$ is the set of all valid paths. $p \\in \\mathcal P$ only when $p _ { \\mathrm { g e n , 1 } } = p _ { \\mathrm { g t , 1 } } = 1$ and $p _ { \\mathrm { g e n } , K _ { p } } = p _ { \\mathrm { g t } , K _ { p } } = T$ i.e. the first and last timesteps of the spectrograms are aligned. To find the minimum, we use dynamic programming. Figure 2 shows a diagram of an optimal alignment path between two sequences. ", + "bbox": [ + 173, + 223, + 825, + 265 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "DTW is differentiable, but the minimum across all paths makes optimisation difficult, because the gradient is propagated only through the minimal path. We use a soft version of DTW instead (Cuturi & Blondel, 2017), which replaces the minimum with the soft minimum: ", + "bbox": [ + 173, + 270, + 614, + 325 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/63b0bbdd0ea571b873711903c5b179bb9f83e424aee2ca04f4637076877dcb55.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime } = - \\tau \\cdot \\log \\sum _ { p \\in \\mathcal { P } } \\exp \\left( - \\frac { c _ { p } } { \\tau } \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 271, + 328, + 514, + 348 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\tau = 0 . 0 1$ is a temperature parameter and the loss scale factor $\\lambda _ { \\mathrm { p r e d } } = 1 . 0$ . Note that the minimum operation is recovered by letting $\\tau 0$ . The resulting loss is a weighted aggregated cost across all paths, enabling gradient propagation through all feasible paths. This creates a trade-off: a higher $\\tau$ makes optimisation easier, but the resulting loss less accurately reflects the minimal path cost. Pseudocode for the soft DTW procedure is provided in Appendix E. ", + "bbox": [ + 174, + 349, + 614, + 448 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "By relaxing alignment in the prediction loss, the generator can produce waveforms that are not exactly aligned, without being heavily penalised for it. This creates a synergy with the adversarial loss: instead of working against each other because of the rigidity of the prediction loss, the losses now cooperate to reward realistic audio generation with stochastic alignment. Note that the prediction loss is computed on a training window, and not on full length utterances, so we still assume that the start and end points of the windows are exactly aligned. While this might be incorrect, it does not seem to be much of a problem in practice. ", + "bbox": [ + 174, + 452, + 617, + 536 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/3ec946c31ee94122d585bbdb325279673d19931189642e35e802f93e8666c4d4.jpg", + "image_caption": [ + "Figure 2: Dynamic time warping between two sequences finds a minimal-cost alignment path. Positions where warping occurs are marked with a border. " + ], + "image_footnote": [], + "bbox": [ + 630, + 286, + 823, + 436 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 536, + 818, + 577 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.6 ALIGNER LENGTH LOSS ", + "text_level": 1, + "bbox": [ + 174, + 590, + 380, + 604 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To ensure that the model produces realistic token length predictions, we add a loss which encourages the predicted utterance length to be close to the ground truth length. This length is found by summing all token length predictions. Let $L$ be the the number of time steps in the training utterance at $2 0 0 \\mathrm { H z }$ , $l _ { n }$ the predicted length of the $n$ th token, and $N$ the number of tokens, then the length loss is: ", + "bbox": [ + 173, + 614, + 825, + 671 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/cfe00b01bfe2a11b352c8e3753171589565351b9c39d23dd72a5cfe5844cb4d9.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { l e n g t h } } = \\frac { 1 } { 2 } \\left( L - \\sum _ { n = 1 } ^ { N } l _ { n } \\right) ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 393, + 672, + 604, + 703 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We use a scale factor $\\lambda _ { \\mathrm { l e n g t h } } = 0 . 1$ . Note that we cannot match the predicted lengths $l _ { n }$ to the ground truth lengths individually, because the latter are not available. ", + "bbox": [ + 174, + 705, + 825, + 733 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "2.7 TEXT PRE-PROCESSING ", + "text_level": 1, + "bbox": [ + 176, + 747, + 379, + 761 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Although our model works well with character input, we find that sample quality improves significantly using phoneme input instead. This is not too surprising, given the heterogeneous way in which spellings map to phonemes, particularly in the English language. Many character sequences also have special pronunciations, such as numbers, dates, units of measurement and website domains, and a very large training dataset would be required for the model to learn to pronounce these correctly. Text normalisation (Zhang et al., 2019) can be applied beforehand to spell out these sequences as they are typically pronounced (e.g., 1976 could become nineteen seventy six), potentially followed by conversion to phonemes. We use an open source tool, phonemizer (Bernard, 2020), which performs partial normalisation and phonemisation (see Appendix F). Finally, whether we train on text or phoneme input sequences, we pre- and post-pad the sequence with a special silence token (for training and inference), to allow the aligner to account for silence at the beginning and end of each utterance. ", + "bbox": [ + 173, + 770, + 826, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 102, + 339, + 117 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Speech generation saw significant quality improvements once treating it as a generative modelling problem became the norm (Zen et al., 2009; van den Oord et al., 2016). Likelihood-based approaches dominate, but generative adversarial networks (GANs) (Goodfellow et al., 2014) have been making significant inroads recently. A common thread through most of the literature is a separation of the speech generation process into multiple stages: coarse-grained temporally aligned intermediate representations, such as mel-spectrograms, are used to divide the task into more manageable subproblems. Many works focus exclusively on either spectrogram generation or vocoding (generating a waveform from a spectrogram). Our work is different in this respect, and we will point out which stages of the generation process are addressed by each model. In Appendix J, Table 6 we compare these methods in terms of the inputs and outputs to each stage of their pipelines. ", + "bbox": [ + 174, + 133, + 825, + 272 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Initially, most likelihood-based models for TTS were autoregressive (van den Oord et al., 2016; Mehri et al., 2017; Arik et al., 2017), which means that there is a sequential dependency between subsequent time steps of the produced output signal. That makes these models impractical for real-time use, although this can be addressed with careful engineering (Kalchbrenner et al., 2018; Valin & Skoglund, 2019). More recently, flow-based models (Papamakarios et al., 2019) have been explored as a feed-forward alternative that enables fast inference (without sequential dependencies). These can either be trained directly using maximum likelihood (Prenger et al., 2019; Kim et al., 2019; Ping et al., 2019b), or through distillation from an autoregressive model (van den Oord et al., 2018; Ping et al., 2019a). All of these models produce waveforms conditioned on an intermediate representation: either spectrograms or “linguistic features”, which contain temporally-aligned high-level information about the speech signal. Spectrogram-conditioned waveform models are often referred to as vocoders. ", + "bbox": [ + 174, + 276, + 826, + 429 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "A growing body of work has applied GAN (Goodfellow et al., 2014) variants to speech synthesis (Donahue et al., 2019). An important advantage of adversarial losses for TTS is a focus on realism over diversity; the latter is less important in this setting. This enables a more efficient use of capacity compared to models trained with maximum likelihood. MelGAN (Kumar et al., 2019) and Parallel WaveGAN (Yamamoto et al., 2020) are adversarial vocoders, producing raw waveforms from mel-spectrograms. Neekhara et al. (2019) predict magnitude spectrograms from mel-spectrograms. Most directly related to our work is GAN-TTS (Binkowski et al., 2020), which produces waveforms ´ conditioned on aligned linguistic features, and we build upon that work. ", + "bbox": [ + 174, + 434, + 825, + 545 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Another important line of work covers spectrogram generation from text. Such models rely on a vocoder to convert the spectrograms into waveforms (for which one of the previously mentioned models could be used, or a traditional spectrogram inversion technique (Griffin & Lim, 1984)). Tacotron 1 & 2 (Wang et al., 2017; Shen et al., 2018), Deep Voice 2 & 3 (Gibiansky et al., 2017; Ping et al., 2018), TransformerTTS (Li et al., 2019), Flowtron (Valle et al., 2020), and VoiceLoop (Taigman et al., 2017) are autoregressive models that generate spectrograms or vocoder features frame by frame. Guo et al. (2019) suggest using an adversarial loss to reduce exposure bias (Bengio et al., 2015; Ranzato et al., 2016) in such models. MelNet (Vasquez & Lewis, 2019) is autoregressive over both time and frequency. ParaNet (Peng et al., 2019) and FastSpeech (Ren et al., 2019) are nonautoregressive, but they require distillation (Hinton et al., 2015) from an autoregressive model. Recent flow-based approaches Flow-TTS (Miao et al., 2020) and Glow-TTS (Kim et al., 2020) are feedforward without requiring distillation. Most spectrogram generation models require training of a custom vocoder model on generated spectrograms, because their predictions are imperfect and the vocoder needs to be able to compensate for this2. Note that some of these works also propose new vocoder architectures in tandem with spectrogram generation models. ", + "bbox": [ + 174, + 550, + 825, + 758 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Unlike all of the aforementioned methods, as highlighted in Appendix J, Table 6, our model is a single feed-forward neural network, trained end-to-end in a single stage, which produces waveforms given character or phoneme sequences, and learns to align without additional supervision from auxiliary sources (e.g. temporally aligned linguistic features from an external model) or teacher forcing. This simplifies the training process considerably. Char2wav (Sotelo et al., 2017) is finetuned end-to-end in the same fashion, but requires a pre-training stage with vocoder features used for intermediate supervision. ", + "bbox": [ + 174, + 762, + 825, + 859 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Spectrogram prediction losses have been used extensively for feed-forward audio prediction models (Yamamoto et al., 2019; 2020; Yang et al., 2020; Arık et al., 2018; Engel et al., 2020; Wang et al., ", + "bbox": [ + 176, + 864, + 823, + 893 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "2019; Défossez et al., 2018). We note that the $L _ { 1 }$ loss we use (along with (Défossez et al., 2018)), is comparatively simple, as spectrogram losses in the literature tend to have separate terms penalising magnitudes, log-magnitudes and phase components, each with their own scaling factors, and often across multiple resolutions. Dynamic time warping on spectrograms is a component of many speech recognition systems (Sakoe, 1971; Sakoe & Chiba, 1978), and has also been used for evaluation of TTS systems (Sailor & Patil, 2014; Chevelu et al., 2015). Cuturi & Blondel (2017) proposed the soft version of DTW we use in this work as a differentiable loss function for time series models. Kim et al. (2020) propose Monotonic Alignment Search (MAS), which relates to DTW in that both use dynamic programming to implicitly align sequences for TTS. However, they have different goals: MAS finds the optimal alignment between the text and a latent representation, whereas we use DTW to relax the constraints imposed by our spectrogram prediction loss term. Several mechanisms have been proposed to exploit monotonicity in tasks that require sequence alignment, including attention mechanisms (Graves, 2013; Zhang et al., 2018; Vasquez & Lewis, 2019; He et al., 2019; Raffel et al., 2017; Chiu & Raffel, 2018), loss functions (Graves et al., 2006; Graves, 2012) and search-based approaches (Kim et al., 2020). For TTS, incorporating this constraint has been found to help generalisation to long sequences (Battenberg et al., 2020). We incorporate monotonicity by using an interpolation mechanism, which is cheap to compute because it is not recurrent (unlike many monotonic attention mechanisms). ", + "bbox": [ + 174, + 104, + 825, + 353 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 EVALUATION ", + "text_level": 1, + "bbox": [ + 176, + 371, + 313, + 386 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section we discuss the setup and results of our empirical evaluation, describing the hyperparameter settings used for training and validating the architectural decisions and loss function components detailed in Section 2. Our primary metric used to evaluate speech quality is the Mean Opinion Score (MOS) given by human raters, computed by taking the mean of 1-5 naturalness ratings given across 1000 held-out conditioning sequences. In Appendix I we also report the Fréchet DeepSpeech Distance (FDSD), proposed by Binkowski et al. (2020) as a speech synthesis quality metric. Appendix A ´ reports training and evaluation hyperparameters we used for all experiments. ", + "bbox": [ + 174, + 398, + 825, + 496 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 MULTI-SPEAKER DATASET ", + "text_level": 1, + "bbox": [ + 174, + 511, + 397, + 523 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We train all models on a private dataset that consists of high-quality recordings of human speech performed by professional voice actors, and corresponding text. The voice pool consists of 69 female and male voices of North American English speakers, while the audio clips contain full sentences of lengths varying from less than 1 to 20 seconds at $2 4 \\mathrm { k H z }$ frequency. Individual voices are unevenly distributed, accounting for from 15 minutes to over 51 hours of recorded speech, totalling 260.49 hours. At training time, we sample 2 second windows from the individual clips, post-padding those shorter than 2 seconds with silence. For evaluation, we focus on the single most prolific speaker in our dataset, with all our main MOS results reported with the model conditioned on that speaker ID, but also report MOS results for each of the top four speakers using our main multi-speaker model. ", + "bbox": [ + 174, + 534, + 825, + 659 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.2 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 672, + 277, + 686 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In Table 1 we present quantitative results for our EATS model described in Section 2, as well as several ablations of the different model and learning signal components. The architecture and training setup of each ablation is identical to our base EATS model except in terms of the differences described by the columns in Table 1. Each ablation is “subtractive”, representing the full EATS system minus one particular feature. Our main result achieved by the base multi-speaker model is a mean opinion score (MOS) of 4.083. Although it is difficult to compare directly with prior results from the literature due to dataset differences, we nonetheless include MOS results from prior works (Binkowski et al., ´ 2020; van den Oord et al., 2016; 2018), with MOS in the 4.2 to $4 . 4 +$ range. Compared to these prior models, which rely on aligned linguistic features, EATS uses substantially less supervision. ", + "bbox": [ + 174, + 695, + 825, + 821 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The No RWDs, No MelSpecD, and No Discriminators ablations all achieved substantially worse MOS results than our proposed model, demonstrating the importance of adversarial feedback. In particular, the No RWDs ablation, with an MOS of 2.526, demonstrates the importance of the raw audio feedback, and removing RWDs significantly degrades the high frequency components. No MelSpecD causes intermittent artifacts and distortion, and removing all discriminators results in audio that sounds robotic and distorted throughout. The No $\\mathcal { L } _ { \\mathrm { l e n g t h } }$ and No $\\mathcal { L } _ { \\mathrm { p r e d } }$ ablations result in a model that does not train at all. Comparing our model with No DTW (MOS 3.559), the temporal flexibility provided by dynamic time warping significantly improves fidelity: removing it causes warbling and unnatural phoneme lengths. No Phonemes is trained with raw character inputs and attains MOS 3.423, due to occasional mispronunciations and unusual stress patterns. No Mon. Int. uses an aligner with a transformer-based attention mechanism (described in Appendix G) in place of our monotonic interpolation architecture, which turns out to generalise poorly to long utterances (yielding MOS 3.551). Finally, comparing against training with only a Single Speaker (MOS 3.829) shows that our EATS model benefits from a much larger multi-speaker dataset, even though MOS is evaluated only on this same single speaker on which the ablation was solely trained. Samples from each ablation are available at https://deepmind.com/research/publications/ End-to-End-Adversarial-Text-to-Speech. ", + "bbox": [ + 174, + 825, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/8e6caf3ffb57b432925eff74463cd565e20e83507b07d7669c740ecf637b01bf.jpg", + "table_caption": [ + "Table 1: Mean Opinion Scores (MOS) for our final EATS model and the ablations described in Section 4, sorted by MOS. The middle columns indicate which components of our final model are enabled or ablated. Data describes the training set as Multispeaker (MS) or Single Speaker (SS). Inputs describes the inputs as raw characters (Ch) or phonemes $\\mathrm { ( P h ) }$ produced by Phonemizer. RWD (Random Window Discriminators), $M S D$ (Mel-spectrogram Discriminator), and $\\mathcal { L } _ { \\mathrm { l e n g t h } }$ (length prediction loss) indicate the presence $( \\checkmark )$ or absence $( \\times )$ of each of these training components described in Section 2. $\\mathcal { L } _ { \\mathrm { p r e d } }$ indicates which spectrogram prediction loss was used: with DTW $( \\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime }$ , Eq. 6), without DTW $\\scriptstyle \\sum _ { \\mathrm { p r e d } }$ , Eq. 3), or absent $( \\times )$ . Align describes the architecture of the aligner as monotonic interpolation (MI) or attention-based (Attn). We also compare against recent state-of-the-art approaches from the literature which are trained on aligned linguistic features (unlike our models). Our MOS evaluation set matches that of GAN-TTS (Binkowski et al., 2020) (and our ´ “Single Speaker” training subset matches the GAN-TTS training set); the other approaches are not directly comparable due to dataset differences. " + ], + "table_footnote": [], + "table_body": "
ModelData InputsRWDMSDLlengthLpred AlignMOS
Natural Speech4.55 ± 0.075
GAN-TTS (Binkowski et al., 2020)4.213 ± 0.046
WaveNet (van den Oord et al.,2016)4.41 ± 0.069
Par: WaveNet (van den Oord et al.,2018)4.41 ± 0.078
Tacotron 2 (Shen et al.,2018)4.526 ±0.066
No LlengthMSPh>>×MI[does not train]
NoLpredMSPh××MI[does not train]
No DiscriminatorsMSPh<>×MI1.407 ± 0.040
No RWDsMSPhMI2.526 ± 0.060
No PhonemesMSChMI3.423 ± 0.073
No MelSpecDMSPhMI3.525 ± 0.057
No Mon. Int.MSPh√ √Attn3.551 ± 0.073
No DTWMSPhMI3.559 ± 0.065
Single SpeakerSSPh<>>×<>>MI3.829 ± 0.055
EATS (Ours)MSPhLpred MI4.083±0.049
", + "bbox": [ + 184, + 101, + 810, + 315 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/7729cfcb6f7eaa521fe3a19bfb41946a780a1f69440a6124754a459d530d7ea6.jpg", + "table_caption": [ + "Table 2: Mean Opinion Scores (MOS) for the top four speakers with the most data in our training set. All evaluations are done using our single multi-speaker EATS model. " + ], + "table_footnote": [], + "table_body": "
Speaker#1#2#3#4
Speaking Time (Hours)51.6831.2120.6810.32
MOS4.083 ± 0.0493.828 ± 0.0514.149 ± 0.0453.761 ± 0.052
", + "bbox": [ + 179, + 530, + 813, + 589 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 662, + 826, + 803 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We demonstrate that the aligner learns to use the latent vector z to vary the predicted token lengths in Appendix H. In Table 2 we present additional MOS results from our main multi-speaker EATS model for the four most prolific speakers in our training data3. MOS generally improves with more training data, although the correlation is imperfect (e.g., Speaker #3 achieves the highest MOS with only the third most training data). ", + "bbox": [ + 174, + 808, + 825, + 878 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 DISCUSSION ", + "text_level": 1, + "bbox": [ + 174, + 102, + 310, + 117 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We have presented an adversarial approach to text-to-speech synthesis which can learn from a relatively weak supervisory signal – normalised text or phonemes paired with corresponding speech audio. The speech generated by our proposed model matches the given conditioning texts and generalises to unobserved texts, with naturalness judged by human raters approaching state-of-the-art systems with multi-stage training pipelines or additional supervision. The proposed system described in Section 2 is efficient in both training and inference. In particular, it does not rely on autoregressive sampling or teacher forcing, avoiding issues like exposure bias (Bengio et al., 2015; Ranzato et al., 2016) and reduced parallelism at inference time, or the complexities introduced by distillation to a more efficient feed-forward model after the fact (van den Oord et al., 2018; Ping et al., 2019a). ", + "bbox": [ + 174, + 131, + 825, + 256 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "While there remains a gap between the fidelity of the speech produced by our method and the stateof-the-art systems, we nonetheless believe that the end-to-end problem setup is a promising avenue for future advancements and research in text-to-speech. End-to-end learning enables the system as a whole to benefit from large amounts of training data, freeing models to optimise their intermediate representations for the task at hand, rather than constraining them to work with the typical bottlenecks (e.g., mel-spectrograms, aligned linguistic features) imposed by most TTS pipelines today. We see some evidence of this occurring in the comparison between our main result, trained using data from 69 speakers, against the Single Speaker ablation: the former is trained using roughly four times the data and synthesises more natural speech in the single voice on which the latter is trained. ", + "bbox": [ + 174, + 261, + 825, + 386 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Notably, our current approach does not attempt to address the text normalisation and phonemisation problems, relying on a separate, fixed system for these aspects, while a fully end-to-end TTS system could operate on unnormalised raw text. We believe that a fully data-driven approach could ultimately prevail even in this setup given sufficient training data and model capacity. ", + "bbox": [ + 174, + 391, + 825, + 445 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 460, + 326, + 473 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The authors would like to thank Norman Casagrande, Yutian Chen, Aidan Clark, Kazuya Kawakami, Pauline Luc, and many other colleagues at DeepMind for valuable discussions and input. ", + "bbox": [ + 176, + 482, + 825, + 510 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 285, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Martín Abadi, Ashish Agarwal, Paul Barham, Eugene Brevdo, Zhifeng Chen, Craig Citro, Greg S. 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", + "bbox": [ + 171, + 828, + 823, + 858 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/95ea0f8c1d98951090bc2d9b51d59a20654ce3119bf73ee0d8ef5adbf38ad930.jpg", + "table_caption": [ + "Table 3: EATS batched inference benchmarks, timing inference (speech generation) on a Google Cloud TPU v3 (1 chip with 2 cores), a single NVIDIA V100 GPU, or an Intel Xeon E5-1650 v4 CPU at $3 . 6 0 \\ : \\mathrm { G H z }$ (6 physical cores). We use a batch size of 2, 8, or 16 utterances (Utt.), each 30 seconds long (input length of 600 phoneme tokens, padded if necessary). One “run” consists of 10 consecutive forward passes at the given batch size. We perform 101 such runs and report the median run time (Med. Run Time (s)) and the resulting Realtime Factor, the ratio of the total duration of the generated speech (Length / Run (s)) to the run time. (Note: GPU benchmarking is done using single precision (IEEE FP32) floating point; switching to half precision (IEEE FP16) could yield further speedups.) " + ], + "table_footnote": [], + "table_body": "
Hardware#Utt./ Batch# Batch / Run# Utt. / RunLength / Utt. (s)Length / Run (s)Med. Run Time (s)Realtime Factor
TPU v3 (1 chip)161016030480030.53157.2×
V100 GPU (1)8108030240011.60206.8×
Xeon CPU (6 cores)210203060070.428.520×
", + "bbox": [ + 183, + 101, + 812, + 180 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A HYPERPARAMETERS AND OTHER DETAILS ", + "text_level": 1, + "bbox": [ + 174, + 340, + 560, + 356 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Our models are trained for $5 \\cdot 1 0 ^ { 5 }$ steps, where a single step consists of one discriminator update followed by one generator update, each using a minibatch size of 1024, with batches sampled independently in each of these two updates. Both updates are computed using the Adam optimizer (Kingma & Ba, 2015) with $\\beta _ { 1 } = 0$ and $\\beta _ { 2 } = 0 . 9 9 9$ , and a learning rate of $1 0 ^ { - 3 }$ with a cosine decay (Loshchilov & Hutter, 2017) schedule used such that the learning rate is 0 at step 500K. We apply spectral normalisation (Miyato et al., 2018) to the weights of the generator’s decoder module and to the discriminators (but not to the generator’s aligner module). Parameters are initialised orthogonally and off-diagonal orthogonal regularisation with weight $1 0 ^ { - 4 }$ is applied to the generator, following BigGAN (Brock et al., 2018). Minibatches are split over 64 or 128 cores (32 or 64 chips) of Google Cloud TPU v3 Pods, which allows training of a single model within up to 58 hours. We use crossreplica BatchNorm (Ioffe & Szegedy, 2015) to compute batch statistics aggregated across all devices. Like in GAN-TTS (Binkowski et al., 2020), our trained generator requires computation of ´ standing statistics before sampling; i.e., accumulating batch norm statistics from 200 forward passes. As in GAN-TTS (Binkowski et al., 2020) and BigGAN (Brock et al., 2018), we use an exponential moving ´ average of the generator weights for inference, with a decay of 0.9999. Although GANs are known to exhibit stability issues sometimes, we found that EATS model training consistently converges. ", + "bbox": [ + 174, + 368, + 825, + 592 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Models were implemented using TensorFlow (Abadi et al., 2015) v1 framework and the Sonnet (Reynolds et al., 2017) neural network library. We used the TF-Replicator (Buchlovsky et al., 2019) library for data parallel training over TPUs. ", + "bbox": [ + 174, + 595, + 826, + 637 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Inference speed. In Table 3 we report benchmarks for EATS batched inference on two modern hardware platforms (Google Cloud TPU v3, NVIDIA V100 GPU, Intel Xeon E5-1650 CPU). We find that EATS can generate speech two orders of magnitude faster than realtime on a GPU or TPU, demonstrating the efficiency of our feed-forward model. On the GPU, generating 2400 seconds (40 minutes) of speech (80 utterances of 30 seconds each) takes 11.60 seconds on average (median), for a realtime factor of $2 0 6 . 8 \\times$ . On TPU we observe a realtime factor of $1 5 7 . 2 \\times$ per chip (2 cores), or $7 8 . 6 \\times$ per core. On a CPU, inference runs at $8 . 5 2 \\times$ realtime. ", + "bbox": [ + 174, + 651, + 825, + 748 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B ALIGNER PSEUDOCODE ", + "text_level": 1, + "bbox": [ + 176, + 102, + 405, + 117 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In Figure 3 we present pseudocode for the EATS aligner described in Section 2.1. ", + "bbox": [ + 174, + 131, + 705, + 146 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C SPECTROGRAM DISCRIMINATOR ARCHITECTURE ", + "text_level": 1, + "bbox": [ + 173, + 164, + 611, + 180 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In this Appendix we present details of the architecture of the spectrogram discriminator (Section 2.3). The discriminator’s inputs are $4 7 \\times 8 0 \\times 1$ images, produced by adding a channel dimension to the $4 7 \\times 8 0$ output of the mel-spectrogram computation (Appendix D) from the length 48000 input waveforms (2 seconds of audio at $2 4 \\mathrm { k H z }$ ). ", + "bbox": [ + 174, + 193, + 825, + 248 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Then, the architecture is like that of the BigGAN-deep (Brock et al., 2018) discriminator for $1 2 8 \\times 1 2 8$ images (listed in BigGAN (Brock et al., 2018) Appendix B, Table 7 (b)), but removing the first two “ResBlocks” and the “Non-Local Block” (self-attention) – rows 2-4 in the architecture table (keeping row 1, the input convolution, and rows $^ { 5 + }$ afterwards, as is). This removes one $2 \\times 2$ downsampling step as the resolution of the spectrogram inputs is smaller than the $1 2 8 \\times 1 2 8$ images for which the BigGAN-deep architecture was designed. We set the channel width multiplier referenced in the table to $c h = 6 4$ . ", + "bbox": [ + 173, + 252, + 825, + 351 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "def EATSAligner(token_sequences, token_vocab_size, lengths, speaker_ids, num_speakers, noise, out_offset, out_sequence_length=6000, sigma2=10.): \"\"\"Returns audio-aligned features and lengths for the given input sequences. \"N\" denotes the batch size throughout the comments. Args: token_sequences: batch of token sequences indicating the ID of each token, padded to a fixed maximum sequence length (400 for training, 600 for sampling). Tokens may either correspond to raw characters or phonemes (as output by Phonemizer). Each sequence should begin and end with a special silence token (assumed to have already been added to the inputs). (dtype=int, shape=[N, in_sequence_length=600]) token_vocab_size: scalar int indicating the number of tokens. (All values in token_sequences should be in [0, token_vocab_size).) lengths: indicates the true length $< =$ in_sequence_length=600 of each sequence in token_sequences before padding was added. (dtype=int, shape=[N]) speaker_ids: ints indicating the speaker ID. (dtype=int, shape=[N]) num_speakers: scalar int indicating the number of speakers. (All values in speaker_ids should be in [0, num_speakers).) noise: 128D noise sampled from a standard isotropic Gaussian (N(0,1)). (dtype=float, shape=[N, 128]) out_offset: first timestep to output. Randomly sampled for training, 0 for sampling. (dtype=int, shape=[N]) out_sequence_length: scalar int length of the output sequence at 200 Hz. 400 for training (2 seconds), 6000 for sampling (30 seconds). sigma2: scalar float temperature (sigma\\*\\*2) for the softmax. ", + "bbox": [ + 264, + 97, + 728, + 358 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Returns: ", + "bbox": [ + 274, + 367, + 323, + 373 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "aligned_features: audio-aligned features to be fed into the decoder. (dtype=float, shape=[N, out_sequence_length, 256]) aligned_lengths: the predicted audio-aligned lengths. (dtype=float, shape=[N]) ", + "bbox": [ + 282, + 375, + 684, + 409 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\#$ Learn embeddings of the input tokens and speaker IDs. \nembedded_tokens $=$ Embed(input_vocab_size=token_vocab_size, $\\begin{array} { r l } { \\# } & { { } - > \\quad [ N , } \\end{array}$ 600, 256] output_dim=256)(token_sequences) \nembedded_speaker_ids = Embed(input_vocab_size=num_speakers, $\\begin{array} { r l } { \\# } & { { } - > \\quad [ N , } \\end{array}$ 128] output_dim=128)(speaker_ids) ", + "bbox": [ + 272, + 416, + 732, + 458 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Make the \"class-conditioning\" inputs for class-conditional batch norm (CCBN) # using the embedded speaker IDs and the noise. ccbn_condition $=$ Concat([embedded_speaker_ids, noise], axis=1) $\\begin{array} { l l l } { { \\# } } & { { - > } } & { { [ N , } } \\end{array}$ 256] $\\#$ Add a dummy sequence axis to ccbn_condition for broadcasting. ccbn_condition = ccbn_condition[:, None, :] $\\begin{array} { r l } { \\# } & { { } - > \\quad [ N , } \\end{array}$ 1, 256] ", + "bbox": [ + 274, + 465, + 730, + 508 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Use \\`lengths\\` to make a mask indicating valid entries of token_sequences. sequence_length = token_sequences.shape[1] # = 600 mask $=$ Range(sequence_length)[None, :] < lengths[:, None] $\\begin{array} { r l } { \\# } & { { } - > \\quad [ N , } \\end{array}$ 600] ", + "bbox": [ + 274, + 515, + 710, + 541 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\#$ Dilated 1D convolution stack. ", + "text_level": 1, + "bbox": [ + 276, + 549, + 455, + 558 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# 10 blocks \\* 6 convs per block = 60 convolutions total. ", + "text_level": 1, + "bbox": [ + 272, + 558, + 601, + 565 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\textrm { \\scriptsize x } =$ embedded_tokens ", + "bbox": [ + 274, + 566, + 387, + 574 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "conv_mask $=$ mask[:, :, None] $\\# \\quad - > \\quad [ N ,$ 600, 1]; dummy axis for broadcast. for _ in range(10): ", + "bbox": [ + 274, + 574, + 702, + 590 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "for a, b in [(1, 2), (4, 8), (16, 32)]: block_inputs = x $\\textrm { \\textbf { x } } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) $\\textrm { \\textbf { x } } =$ MaskedConv1D(output_channels=256, kernel_size=3, dilation=a)( x, conv_mask) $\\textrm { \\textbf { x } } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) x = MaskedConv1D(output_channels=256, kernel_size=3, dilation=b)( x, conv_mask) $\\begin{array} { r l } { \\mathrm { ~ x ~ } } & { { } + = } \\end{array}$ block_inputs $\\# \\mathrm { ~ ~ { ~ - > ~ } ~ } [ N ,$ 600, 256] ", + "bbox": [ + 277, + 590, + 687, + 665 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "# Save dilated conv stack outputs as unaligned_features. unaligned_features $= \\times$ # [N, 600, 256] ", + "bbox": [ + 272, + 666, + 602, + 681 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\#$ Map to predicted token lengths. ", + "bbox": [ + 276, + 690, + 467, + 698 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "$\\textrm { \\scriptsize x } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) $\\textrm { \\scriptsize x } =$ Conv1D(output_channels=256, kernel_size=1)(x) $\\textrm { \\scriptsize x } =$ ReLU(ClassConditionalBatchNorm(x, ccbn_condition)) x = Conv1D(output_channels=1, kernel_size=1)(x) $\\# \\mathrm { ~ ~ { ~ - > ~ } ~ } [ N ,$ 600, 1] token_lengths $=$ ReLU(x[:, :, 0]) # -> [N, 600] token_ends = CumSum(token_lengths, axis=1) # -> [N, 600] token_centres $=$ token_ends (token_lengths / 2.) # -> [N, 600] $\\#$ Compute predicted length as the last valid entry of token_ends. -> [N] aligned_lengths $=$ [end[length-1] for end, length in zip(token_ends, lengths)] $\\#$ Compute output grid $\\begin{array} { r l } { - > } & { { } [ N , } \\end{array}$ out_sequence_length=6000] out_pos $=$ Range(out_sequence_length)[None, :] $^ +$ out_offset[:, None] out_pos $=$ Cast(out_pos[:, :, None], float) # -> [N, 6000, 1] diff = token_centres[:, None, :] - out_pos # -> [N, 6000, 600] logits $=$ -(diff\\*\\*2 / sigma2) # -> [N, 6000, 600] $\\#$ Mask out invalid input locations (flip 0/1 to 1/0); add dummy output axis. logits_inv_mask $\\ c = ~ 1$ . - Cast(mask[:, None, :], float) # -> [N, 1, 600] masked_logits $=$ logits - 1e9 \\* logits_inv_mask # -> [N, 6000, 600] weights $=$ Softmax(masked_logits, axis=2) # -> [N, 6000, 600] # Do a batch matmul (written as an einsum) to compute the aligned features. # aligned_features -> [N, 6000, 256] aligned_features $=$ Einsum('noi,nid->nod', weights, unaligned_features) ", + "bbox": [ + 274, + 699, + 727, + 773 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "", + "bbox": [ + 274, + 781, + 722, + 882 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "return aligned_features, aligned_lengths ", + "bbox": [ + 276, + 890, + 511, + 898 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "import tensorflow.compat.v1 as tf ", + "text_level": 1, + "bbox": [ + 186, + 101, + 444, + 112 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "def get_mel_spectrogram(waveforms, invert_mu_law $=$ True, mu=255., jitter=False, max_jitter_steps $\\scriptscriptstyle = 6 0$ ): \"\"\"Computes mel-spectrograms for the given waveforms. Args: waveforms: a tf.Tensor corresponding to a batch of waveforms sampled at 24 kHz. (dtype $=$ tf.float32, shape=[N, sequence_length]) invert_mu_law: whether to apply mu-law inversion to the input waveforms. In EATS both the real data and generator outputs are mu-law'ed, so this is always set to True. mu: The mu value used if invert_mu_law $=$ True (ignored otherwise). jitter: whether to apply random jitter to the input waveforms before computing spectrograms. Set to True only for GT spectrograms input to the prediction loss. max_jitter_steps: maximum number of steps by which the input waveforms are randomly jittered if jitte $\\gamma =$ True (ignored otherwise). Returns: A 3D tensor with spectrograms for the corresponding input waveforms. ", + "bbox": [ + 192, + 127, + 813, + 349 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "(dtype $=$ tf.float32, shape=[N, num_frames=ceil(sequence_length/1024), num_bin $\\scriptstyle 3 = 8 0 ]$ ) ", + "bbox": [ + 212, + 333, + 738, + 367 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "waveforms.shape.assert_has_rank(2) t $=$ waveforms ", + "bbox": [ + 199, + 377, + 467, + 398 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "if jitter: ", + "bbox": [ + 200, + 400, + 279, + 410 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "assert max_jitter_steps $\\scriptstyle > = 0$ crop_shape $=$ [t.shape[1]] t $=$ tf.pad(t, [[0, 0], [max_jitter_steps, max_jitter_steps]]) # Jitter independently for each batch item. t $=$ tf.map_fn(lambda ti: tf.image.random_crop(ti, crop_shape), t) \nif invert_mu_law: t $=$ tf.sign(t) / mu $\\star$ ( $( \\mathrm { ~ 1 ~ ~ { ~ + ~ } ~ } \\mathrm { m u }$ ) $\\star \\star$ tf.abs(t) - 1) \nt $=$ tf.signal.stft(t, frame_length $= 2 0 4 8$ , frame_step $^ { 1 = }$ 1024, pad_end $=$ True) \n$\\qquad \\pm \\quad =$ tf.abs(t) \nmel_weight_matrix $=$ tf.signal.linear_to_mel_weight_matrix( num_mel_bins $= 8 0$ , num_spectrogram_bins $= \\pm$ .shape[-1], sample_rate $^ { = 2 }$ 4000., lower_edge_hert $z = 8 0$ ., upper_edge_hert $z = 7$ 600.) \nt $=$ tf.tensordot(t, mel_weight_matrix, axes $= 1$ ) \nt = tf.log(1. $^ +$ 10000.\\*t) \nreturn t \nen_spectrograms_for_pred_loss $=$ get_mel_spectrogram(gen_waveforms, jitter=False) \neal_spectrograms_for_pred_loss $=$ get_mel_spectrogram(real_waveforms, jitter $: =$ True) ", + "bbox": [ + 196, + 411, + 758, + 633 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "D MEL-SPECTROGRAM COMPUTATION ", + "text_level": 1, + "bbox": [ + 173, + 681, + 509, + 696 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "In Figure 4 we include the TensorFlow (Abadi et al., 2015) code used to compute the mel-spectrograms fed into the spectrogram discriminator (Section 2.3) and the spectrogram prediction loss (Section 2.4). Note that for use in the prediction lfor real spectrograms and jitter ses Fa $\\mathcal { L } _ { \\mathrm { p r e d } }$ or or $\\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime }$ , we call this function with jitterted spectrograms. When used for t $=$ True spec$=$ \ntrogram discriminator inputs, we do not apply jitter to either real or generated spectrograms, setting jitter $=$ False in both cases. ", + "bbox": [ + 174, + 709, + 826, + 794 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "def soft_minimum(values, temperature): \"\"\"Compute the soft minimum with the given temperature.\"\"\" return -temperature $\\star$ log(sum(exp(-values / temperature))) ", + "bbox": [ + 184, + 101, + 656, + 133 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "def skew_matrix(x): \"\"\"Skew a matrix so that the diagonals become the rows.\"\"\" height, width $= \\times$ .shape $\\begin{array} { r l } { \\mathrm { y } } & { { } = } \\end{array}$ zeros(height $^ +$ width - 1, width) for i in range(height $^ +$ width - 1): for j in range(width): # Shift each column j down by j steps. y[i, j] $=$ x[clip(i - j, 0, height - 1), j] return y ", + "bbox": [ + 184, + 156, + 702, + 246 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "def spectrogram_dtw_error(spec_a, spec_b, warp_penalty $= 1$ .0, temperature ${ } = 0$ .01): \"\"\"Compute DTW error given a pair of spectrograms.\"\"\" # Compute cost matrix. diffs $=$ abs(spec_a[None, :, :] - spec_b[:, None, :]) costs $=$ mean(diffs, axis $\\ c = - 1$ ) # pairwise L1 cost, square the diffs for L2. size $=$ cost.shape[-1] ", + "bbox": [ + 186, + 266, + 795, + 333 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "# Initialise path costs. ", + "text_level": 1, + "bbox": [ + 202, + 344, + 387, + 354 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "path_cost $=$ INFINITY $\\star$ ones(size + 1) path_cost_prev $=$ INFINITY $\\star$ ones(size + 1) path_cost_prev[0] $\\mathrm { ~ ~ { ~ \\ b ~ = ~ } ~ 0 ~ . ~ 0 ~ }$ ", + "bbox": [ + 200, + 356, + 531, + 388 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E DYNAMIC TIME WARPING PSEUDOCODE ", + "text_level": 1, + "bbox": [ + 173, + 570, + 539, + 585 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In Figure 5 we present pseudocode for the soft dynamic time warping (DTW) procedure we use in the spectrogram prediction loss $\\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime }$ . ", + "bbox": [ + 173, + 598, + 823, + 630 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Note that the complexity of this implementation is quadratic. It could be made more efficient using Itakura or Sakoe-Chiba bands (Itakura, 1975; Sakoe & Chiba, 1978), but we found that enabling or disabling DTW for the prediction loss did not meaningfully affect training time, so this optimisation is not necessary in practice. ", + "bbox": [ + 174, + 632, + 825, + 688 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/600df82be11f475429851e369bebb414060ffaeb67c32df7dc4a013917b9e49e.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Outputsymbol|x4i;-ir~"
Substitute symbol|kk1j··
", + "bbox": [ + 289, + 102, + 700, + 146 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Table 4: The symbols in this table are replaced or removed when they appear in phonemizer’s output. ", + "bbox": [ + 169, + 162, + 825, + 178 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "F TEXT PREPROCESSING ", + "text_level": 1, + "bbox": [ + 176, + 202, + 395, + 218 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We use phonemizer (Bernard, 2020) (version 2.2) to perform partial normalisation and phonemisation of the input text (for all our results except for the No Phonemes ablation, where we use character sequences as input directly). We used the espeak backend (with espeak-ng version 1.50), which produces phoneme sequences using the International Phonetic Alphabet (IPA). We enabled the following options that phonemizer provides: ", + "bbox": [ + 173, + 231, + 826, + 301 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "• with_stress, which includes primary and secondary stress marks in the output; \n• strip, which removes spurious whitespace; \n• preserve_punctuation, which ensures that punctuation is left unchanged. This is important because punctuation can meaningfully affect prosody. ", + "bbox": [ + 173, + 310, + 825, + 377 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "The phoneme sequences produced by phonemizer contain some rare symbols (usually in non-English words), which we replace with more frequent symbols. The substitutions we perform are listed in Table 4. This results in a set of 51 distinct symbols. The character sequence ", + "bbox": [ + 174, + 386, + 825, + 428 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Modern text-to-speech synthesis pipelines typically involve multiple processing stages. ", + "bbox": [ + 230, + 438, + 764, + 467 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "becomes ", + "bbox": [ + 173, + 476, + 233, + 489 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "m\"A:dÄn t\"Ekstt@sp\"i:tS s\"InT@s­Is p\"aIplaInz t\"IpIkli Inv\"A:lv m­2ltIp@l pô\"A:sEsIN st\"eIdZ1z. ", + "bbox": [ + 228, + 500, + 766, + 529 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "G TRANSFORMER-BASED ATTENTION ALIGNER BASELINE ", + "text_level": 1, + "bbox": [ + 176, + 551, + 669, + 568 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "In this Appendix we describe our transformer-based attention aligner baseline, used in Section 4 to compare against our monotonic interpolation-based aligner described in Section 2.1. We use transformer attention (Vaswani et al., 2017) with output positional features as the queries, and a sum of input positional features and encoder output as the keys. The encoder outputs are from the same dilated convolution stack as used in our EATS model, normalised using Layer Normalization (Ba et al., 2016) before input into the transformer. We omit the fully-connected output layer following the attention mechanism. Both sets of positional features use the sinusoidal encodings from Vaswani et al. (2017). We use 4 heads with key and value dimensions of 64 per head. Its outputs are taken as the audio-aligned feature representations, after which we apply Batch Normalisation and ReLU non-linearity before upsampling via the decoder. ", + "bbox": [ + 173, + 580, + 825, + 719 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/3ef521790c4d80c0df2016f80038681a2a2fc8745a9a4e169bfc645b29a69160.jpg", + "image_caption": [ + "Figure 6: Positions of the tokens over time for 128 utterances generated from the same text, with different latent vectors z. Close-ups of the start and end of the sequence show the variability of the predicted lengths. " + ], + "image_footnote": [], + "bbox": [ + 181, + 121, + 802, + 296 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/4615de26fe49bebc4e39539846b680faf596421869fab4e1492d981b39e84a56.jpg", + "image_caption": [ + "Figure 7: Histogram of lengths for 128 utterances generated from the same text, with different latent vectors $\\mathbf { z }$ . " + ], + "image_footnote": [], + "bbox": [ + 318, + 400, + 653, + 577 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "H VARIATION IN ALIGNMENT ", + "text_level": 1, + "bbox": [ + 176, + 645, + 434, + 661 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "To demonstrate that the aligner module makes use of the latent vector z to account for variations in token lengths, we generated 128 different renditions of the second sentence from the abstract: “In this work, we take on the challenging task of learning to synthesise speech from normalised text or phonemes in an end-to-end manner, resulting in models which operate directly on character or phoneme input sequences and produce raw speech audio outputs.”. Figure 6 shows the positions of the tokens over time, with close-ups of the start and end of the sequence, to make the subtle variations in length more visible. Figure 7 shows a histogram of the lengths of the generated utterances. The variation is subtle (less than $2 \\%$ for this utterance), but noticeable. Given that the training data consists of high-quality recordings of human speech performed by professional voice actors, only a modest degree of variation is to be expected. ", + "bbox": [ + 173, + 674, + 825, + 814 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/f8a6316d486182d7353e1ed8a1e01209eaeaf2291f67e997e2921bf781f6d49b.jpg", + "table_caption": [ + "Table 5: Mean Opinion Scores (MOS) and Fréchet DeepSpeech Distances (FDSD) for our final EATS model and the ablations described in Section 4, sorted by MOS. FDSD scores presented here were computed on held-out validation multi-speaker set and therefore could not be obtained for the Single Speaker ablation. Due to dataset differences, these are also not comparable with the FDSD values reported for GAN-TTS by Binkowski et al. (2020). ´ " + ], + "table_footnote": [], + "table_body": "
ModelMOSFDSD
Natural Speech4.55 ± 0.0750.682
No Discriminators1.407 ± 0.0401.594
No RWDs2.526 ± 0.0600.757
No Phonemes3.423 ± 0.0730.688
No MelSpecD3.525 ± 0.0570.849
No Mon. Int.3.551 ± 0.0730.724
No DTW3.559 ± 0.0650.694
EATS4.083 ± 0.0490.702
", + "bbox": [ + 336, + 101, + 656, + 253 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "I EVALUATION WITH FRÉCHET DEEPSPEECH DISTANCE ", + "text_level": 1, + "bbox": [ + 174, + 364, + 653, + 382 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We found Fréchet DeepSpeech Distances (Binkowski et al., 2020), both conditional and unconditional, ´ unreliable in our setting. Although they provided useful guidance at the early stages of model iteration – i.e., were able to clearly distinguish the models that do and do not train – FDSD scores of the models of reasonable quality were not in line with their Mean Opinion Scores, as shown for our ablations in Table 5. ", + "bbox": [ + 173, + 395, + 825, + 464 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "A possible reason for FDSD working less well in our setting is the fact that our models rely on features extracted from spectrograms similar to those computed at the DeepSpeech preprocessing stage. As our models combine losses computed on raw audio and mel-spectrograms, it might be the case that the speech generated by some model is of lower quality, yet has convincing spectrograms. Comparison of two of our ablations seems to affirm this hypothesis: the No MelSpecD model achieves much higher MOS $( \\approx 3 . 5 )$ than the No RWDs ablation $( \\approx 2 . 5 )$ which is optimised only against spectrogram-based losses. Their FDSDs, however, suggest the opposite ranking of these models. ", + "bbox": [ + 173, + 469, + 825, + 580 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Another potential cause for the discrepancy between MOS and FDSD is the difference in samples for which these scores were established. While FDSD was computed on samples randomly held out from the training set, the MOS was computed on more challenging, often longer utterances. As we did not have ground truth audio for the latter, we could not compute FDSD for these samples. The sample sizes commonly used for the metrics based on Fréchet distance, e.g. (Heusel et al., 2017; Kurach et al., 2019; Binkowski et al., 2020), are also usually larger than the ones used for MOS ´ testing (van den Oord et al., 2016; Binkowski et al., 2020); we used 5,120 samples for FDSD and ´ 1,000 for MOS. ", + "bbox": [ + 173, + 585, + 825, + 696 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We also note that conditional FDSD is not immediately applicable in our setting, as it requires fixed length (two second) samples with aligned conditionings, while in our case there is no fixed alignment between the ground truth characters and audio. ", + "bbox": [ + 176, + 700, + 823, + 742 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We hope that future research will revisit the challenge of automatic quantitative evaluation of text-tospeech models and produce a reliable quality metric for models operating in our current regime. ", + "bbox": [ + 173, + 747, + 825, + 776 + ], + "page_idx": 20 + }, + { + "type": "table", + "img_path": "images/070d91881cd339f889f753d58ce44172edfccd9a0357addd1c45321e9cb41e33.jpg", + "table_caption": [ + "Table 6: A comparison of TTS methods. The model stages described in each paper are shown by linking together the inputs, outputs and intermediate representations that are used: characters $\\mathbf { \\Pi } ( \\mathbf { C h } )$ , phonemes $\\mathbf { ( P h ) }$ , mel-spectrograms (MelS), magnitude spectrograms (MagS), cepstral features (Cep), linguistic features (Ling, such as phoneme durations and fundamental frequencies, or WORLD (Morise et al., 2016) features for Char2wav (Sotelo et al., 2017) and VoiceLoop (Taigman et al., 2017)), and audio $\\mathbf { \\Pi } ( \\mathbf { A u } )$ . Arrows with various superscripts describe model components: autoregressive (AR), feed-forward (FF), or feed-forward requiring distillation $( \\mathbf { F } \\mathbf { F } ^ { * } )$ . Arrows without a superscript indicate components that do not require learning. 1 Stage means the model is trained in a single stage to map from unaligned text/phonemes to audio (without, e.g., distillation or separate vocoder training). EATS is the only feed-forward model that fulfills this requirement. " + ], + "table_footnote": [], + "table_body": "
Stages1 StageNotes
WaveNet (van den Oord et al.,2016)AAu Ling×
SampleRNN (Mehri et al., 2017)AAu×not a TTS model
Deep Voice (Arik et al.,2017)Ch APhLing ARAu×uses segmentation model
WaveRNN (Kalchbrenner etal.,2018)Ling AR ARAu×
LPCNet (Valin & Skoglund,2019)ARAu Cep×
WaveGlow (Prenger et al.,2019)MelS FF Au×
FloWaveNet (Kim et al.,2019)FAu MelS×
WaveFlow (Ping et al.,2019b)ARAu MelS×partially autoregressive
Par: WaveNet (van den Oord et al.,2018)Ling FF* →Au×distillation
ClariNet (Ping et al.,2019a), teacherARAu Ch/Ph
ClariNet (Ping etal.,2019a),studentAu Ch/Ph×distillation
WaveGAN(Donahue et al.,2019)Au×not a TTS model
MelGAN (Kumar etal., 2019)MelsAu×
Par: WaveGAN(Yamamoto et al.,2020)Ph AMels FAu×
AdVoc (Neekhara et al.,2019)MelsMagS×
GAN-TTS (Binkowski etal., 2020)Ling FAu FF×
Tacotron (Wang et al.,2017)ChAMels MagS→Au×uses Griffin & Lim (1984)
Tacotron 2 (Shen et al.,2018)AMelSAAu Ch×
Deep Voice 2(Gibiansky et al.,2017)×uses segmentation model
DV2 Tacotron (Gibiansky et al.,2017)ChAMagS AAu×
Deep Voice 3 (Ping et al.,2018)Ch AMelS AAu×several alternative vocoders
TransformerTTS(Li etal.,2019)Ch→Ph AMelS AAu×
Flowtron (Valle et al.,2020)Ch AMelsAu×
VoiceLoop (Taigman etal.,2017)Ph ALing → Au×
GAN Exposure (Guo et al.,2019)Ph A MelS A Au×
MelNet (Vasquez & Lewis,2019)AMelS→Au Ch-×
ParaNet (Peng et al.,2019)FF* MelsAu Ch/Ph×distillation
FastSpeech (Ren et al.,2019)FAu Ph FF* MelS×distillation
Flow-TTS (Miao et al.,2020)Mels Au Ch
Glow-TTS(Kim et al.,2020)PhMels Au× ×
Char2wav (Sotelo et al.,2017)ChALing ARAu×end-to-end finetuning
EATS (Ours)Ch/Ph → Au
", + "bbox": [ + 179, + 172, + 810, + 702 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "J COMPARISON OF TTS METHODS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 472, + 117 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "In Table 6 we compare recent TTS approaches in terms of the inputs and outputs to each stage of the pipeline, and whether they are learnt in a single stage or multiple stages. Differentiating EATS from each prior approach is the fact that it learns a feed-forward mapping from text/phonemes to audio end-to-end in a single stage, without requiring distillation or separate vocoder training. The ClariNet teacher model (Ping et al., 2019a) is also trained in a single stage, but it uses teacher forcing to achieve this, requiring the model to be autoregressive. A separate distillation stage is necessary to obtain a feed-forward model in this case. 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The resulting", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "spans": [ + { + "bbox": [ + 141, + 332, + 470, + 345 + ], + "score": 1.0, + "content": "model achieves a mean opinion score exceeding 4 on a 5 point scale, which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 343, + 470, + 356 + ], + "score": 1.0, + "content": "is comparable to the state-of-the-art models relying on multi-stage training and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 354, + 239, + 366 + ], + "spans": [ + { + "bbox": [ + 142, + 354, + 239, + 366 + ], + "score": 1.0, + "content": "additional supervision.1", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 12, + "bbox_fs": [ + 141, + 199, + 470, + 366 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 388, + 206, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 208, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 208, + 404 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 413, + 505, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 505, + 426 + ], + "score": 1.0, + "content": "A text-to-speech (TTS) system processes natural language text inputs to produce synthetic human-like", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "speech outputs. Typical TTS pipelines consist of a number of stages trained or designed independently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "– e.g. text normalisation, aligned linguistic featurisation, mel-spectrogram synthesis, and raw audio", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "waveform synthesis (Taylor, 2009). Although these pipelines have proven capable of realistic and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 456, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 471 + ], + "score": 1.0, + "content": "high-fidelity speech synthesis and enjoy wide real-world use today, these modular approaches come", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 467, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 505, + 482 + ], + "score": 1.0, + "content": "with a number of drawbacks. They often require supervision at each stage, in some cases necessitating", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 478, + 504, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 504, + 492 + ], + "score": 1.0, + "content": "expensive “ground truth” annotations to guide the outputs of each stage, and sequential training of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 489, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 505 + ], + "score": 1.0, + "content": "stages. Further, they are unable to reap the full potential rewards of data-driven “end-to-end\" learning", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 500, + 490, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 490, + 515 + ], + "score": 1.0, + "content": "widely observed in a number of prediction and synthesis task domains across machine learning.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25, + "bbox_fs": [ + 104, + 413, + 506, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 515, + 505, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 529 + ], + "score": 1.0, + "content": "In this work, we aim to simplify the TTS pipeline and take on the challenging task of synthesising", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "score": 1.0, + "content": "speech from text or phonemes in an end-to-end manner. We propose EATS – End-to-end Adversarial", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "Text-to-Speech – generative models for TTS trained adversarially (Goodfellow et al., 2014) that", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "operate on either pure text or raw (temporally unaligned) phoneme input sequences, and produce raw", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 559, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 506, + 573 + ], + "score": 1.0, + "content": "speech waveforms as output. These models eliminate the typical intermediate bottlenecks present", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 505, + 583 + ], + "score": 1.0, + "content": "in most state-of-the-art TTS engines by maintaining learnt intermediate feature representations", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 582, + 205, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 205, + 594 + ], + "score": 1.0, + "content": "throughout the network.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 515, + 506, + 594 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 596, + 505, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "Our speech synthesis models are composed of two high-level submodules, detailed in Section 2. An", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 608, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 435, + 621 + ], + "score": 1.0, + "content": "aligner processes the raw input sequence and produces relatively low-frequency", + "type": "text" + }, + { + "bbox": [ + 436, + 608, + 471, + 619 + ], + "score": 0.73, + "content": "( 2 0 0 \\ : \\mathrm { H z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 608, + 505, + 621 + ], + "score": 1.0, + "content": "aligned", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 619, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 505, + 631 + ], + "score": 1.0, + "content": "features in its own learnt, abstract feature space. 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Our", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 218, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 218, + 105 + ], + "score": 1.0, + "content": "main contributions include:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 112, + 506, + 189 + ], + "lines": [ + { + "bbox": [ + 106, + 112, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 106, + 112, + 505, + 125 + ], + "score": 1.0, + "content": "• A fully differentiable and efficient feed-forward aligner architecture that predicts the duration of", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 113, + 124, + 369, + 136 + ], + "spans": [ + { + "bbox": [ + 113, + 124, + 369, + 136 + ], + "score": 1.0, + "content": "each input token and produces an audio-aligned representation.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 153 + ], + "score": 1.0, + "content": "• The use of flexible dynamic time warping-based prediction losses to enforce alignment with input", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 114, + 151, + 482, + 163 + ], + "spans": [ + { + "bbox": [ + 114, + 151, + 482, + 163 + ], + "score": 1.0, + "content": "conditioning while allowing the model to capture the variability of timing in human speech.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 165, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 180 + ], + "score": 1.0, + "content": "• An overall system achieving a mean opinion score of 4.083, approaching the state of the art from", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 114, + 177, + 308, + 190 + ], + "spans": [ + { + "bbox": [ + 114, + 177, + 308, + 190 + ], + "score": 1.0, + "content": "models trained using richer supervisory signals.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4.5 + }, + { + "type": "title", + "bbox": [ + 107, + 203, + 173, + 216 + ], + "lines": [ + { + "bbox": [ + 105, + 201, + 174, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 174, + 219 + ], + "score": 1.0, + "content": "2 METHOD", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 226, + 505, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 226, + 505, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 240 + ], + "score": 1.0, + "content": "Our goal is to learn a neural network (the generator) which maps an input sequence of characters", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 237, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 226, + 251 + ], + "score": 1.0, + "content": "or phonemes to raw audio at", + "type": "text" + }, + { + "bbox": [ + 226, + 238, + 257, + 249 + ], + "score": 0.67, + "content": "2 4 \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 237, + 506, + 251 + ], + "score": 1.0, + "content": ". 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It is illustrated in Figure 1.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 505, + 451 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "The generator is inspired by GAN-TTS (Binkowski et al., 2020), a text-to-speech generative ad- ´", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "versarial network operating on aligned linguistic features. We employ the GAN-TTS generator", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "score": 1.0, + "content": "as the decoder in our model, but instead of upsampling pre-computed linguistic features, its input", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 383, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 398 + ], + "score": 1.0, + "content": "comes from the aligner block. 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We also adopt the multiple random window discriminators (RWDs) from GAN-TTS, which", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "have been proven effective for adversarial raw waveform modelling, and we preprocess real audio", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 215, + 441 + ], + "score": 1.0, + "content": "input by applying a simple", + "type": "text" + }, + { + "bbox": [ + 216, + 429, + 223, + 440 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "-law transform. Hence, the generator is trained to produce audio in the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 438, + 446, + 453 + ], + "spans": [ + { + "bbox": [ + 107, + 441, + 114, + 451 + ], + "score": 0.75, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 438, + 446, + 453 + ], + "score": 1.0, + "content": "-law domain and we apply the inverse transformation to its outputs when sampling.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 348, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 453, + 348, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 348, + 467 + ], + "score": 1.0, + "content": "The loss function we use to train the generator is as follows:", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 204, + 471, + 405, + 487 + ], + "lines": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "spans": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { G } = \\mathcal { L } _ { G , \\mathrm { a d v } } + \\lambda _ { \\mathrm { p r e d } } \\cdot \\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime } + \\lambda _ { \\mathrm { l e n g t h } } \\cdot \\mathcal { L } _ { \\mathrm { l e n g t h } } ,", + "type": "interline_equation", + "image_path": "27eac29c9a6d3953f508878899213ec3765f3d0e5217338928d3458581c3a01f.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 134, + 505 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 492, + 164, + 503 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { G , \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 490, + 506, + 505 + ], + "score": 1.0, + "content": "is the adversarial loss, linear in the discriminators’ outputs, paired with the hinge", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "score": 1.0, + "content": "loss (Lim & Ye, 2017; Tran et al., 2017) used as the discriminators’ objective, as used in GAN-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 511, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 104, + 511, + 505, + 527 + ], + "score": 1.0, + "content": "TTS (Binkowski et al., 2020). The use of an adversarial (Goodfellow et al., 2014) loss is an advantage ´", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "of our approach, as this setup allows for efficient feed-forward training and inference, and such", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 536, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 547 + ], + "score": 1.0, + "content": "losses tend to be mode-seeking in practice, a useful behaviour in a strongly conditioned setting where", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 545, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 104, + 545, + 506, + 559 + ], + "score": 1.0, + "content": "realism is an important design goal, as in the case of text-to-speech. In the remainder of this section,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 101, + 552, + 509, + 580 + ], + "spans": [ + { + "bbox": [ + 101, + 552, + 353, + 580 + ], + "score": 1.0, + "content": "we describe the aligner network and the auxiliary predictiondetail, and recap the components which were adopted from G", + "type": "text" + }, + { + "bbox": [ + 353, + 557, + 383, + 569 + ], + "score": 0.88, + "content": "( \\mathcal { L } _ { \\mathrm { { p r e d } } } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 552, + 431, + 580 + ], + "score": 1.0, + "content": "and lengthS.", + "type": "text" + }, + { + "bbox": [ + 431, + 558, + 466, + 569 + ], + "score": 0.75, + "content": "( \\mathcal { L } _ { \\mathrm { l e n g t h } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 552, + 509, + 580 + ], + "score": 1.0, + "content": "losses in", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 107, + 592, + 172, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 591, + 173, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 173, + 605 + ], + "score": 1.0, + "content": "2.1 ALIGNER", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 106, + 610, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 208, + 624 + ], + "score": 1.0, + "content": "Given a token sequence", + "type": "text" + }, + { + "bbox": [ + 208, + 611, + 285, + 623 + ], + "score": 0.91, + "content": "{ \\bf x } = ( x _ { 1 } , \\dots , x _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 610, + 327, + 624 + ], + "score": 1.0, + "content": "of length", + "type": "text" + }, + { + "bbox": [ + 328, + 612, + 338, + 621 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 610, + 506, + 624 + ], + "score": 1.0, + "content": ", we first compute token representations", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 107, + 622, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 107, + 622, + 165, + 634 + ], + "score": 0.92, + "content": "{ \\bf h } = f ( { \\bf x } , { \\bf z } , { \\bf s } )", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 622, + 197, + 634 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 197, + 622, + 204, + 633 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 622, + 505, + 634 + ], + "score": 1.0, + "content": "is a stack of dilated convolutions (van den Oord et al., 2016) interspersed", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 447, + 645 + ], + "score": 1.0, + "content": "with batch normalisation (Ioffe & Szegedy, 2015) and ReLU activations. The latents", + "type": "text" + }, + { + "bbox": [ + 447, + 635, + 454, + 643 + ], + "score": 0.52, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "and speaker", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 644, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 655 + ], + "score": 1.0, + "content": "embedding s modulate the scale and shift parameters of the batch normalisation layers (Dumoulin", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "et al., 2017; De Vries et al., 2017). We then predict the length for each input token individually:", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 107, + 666, + 172, + 678 + ], + "score": 0.92, + "content": "l _ { n } = g ( h _ { n } , \\mathbf { z } , \\mathbf { s } )", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 666, + 204, + 678 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 204, + 667, + 211, + 677 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "is an MLP. 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It is illustrated in Figure 1.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 226, + 506, + 348 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 351, + 505, + 451 + ], + "lines": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "The generator is inspired by GAN-TTS (Binkowski et al., 2020), a text-to-speech generative ad- ´", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "versarial network operating on aligned linguistic features. We employ the GAN-TTS generator", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "score": 1.0, + "content": "as the decoder in our model, but instead of upsampling pre-computed linguistic features, its input", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 383, + 505, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 505, + 398 + ], + "score": 1.0, + "content": "comes from the aligner block. We make it speaker-conditional by feeding in a speaker embedding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 395, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 222, + 408 + ], + "score": 1.0, + "content": "s alongside the latent vector", + "type": "text" + }, + { + "bbox": [ + 222, + 398, + 228, + 406 + ], + "score": 0.56, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 395, + 505, + 408 + ], + "score": 1.0, + "content": ", to enable training on a larger dataset with recordings from multiple", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "speakers. We also adopt the multiple random window discriminators (RWDs) from GAN-TTS, which", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 505, + 430 + ], + "score": 1.0, + "content": "have been proven effective for adversarial raw waveform modelling, and we preprocess real audio", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 428, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 215, + 441 + ], + "score": 1.0, + "content": "input by applying a simple", + "type": "text" + }, + { + "bbox": [ + 216, + 429, + 223, + 440 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 428, + 506, + 441 + ], + "score": 1.0, + "content": "-law transform. Hence, the generator is trained to produce audio in the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 438, + 446, + 453 + ], + "spans": [ + { + "bbox": [ + 107, + 441, + 114, + 451 + ], + "score": 0.75, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 438, + 446, + 453 + ], + "score": 1.0, + "content": "-law domain and we apply the inverse transformation to its outputs when sampling.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 351, + 506, + 453 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 454, + 348, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 453, + 348, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 348, + 467 + ], + "score": 1.0, + "content": "The loss function we use to train the generator is as follows:", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 453, + 348, + 467 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 204, + 471, + 405, + 487 + ], + "lines": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "spans": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { G } = \\mathcal { L } _ { G , \\mathrm { a d v } } + \\lambda _ { \\mathrm { p r e d } } \\cdot \\mathcal { L } _ { \\mathrm { p r e d } } ^ { \\prime \\prime } + \\lambda _ { \\mathrm { l e n g t h } } \\cdot \\mathcal { L } _ { \\mathrm { l e n g t h } } ,", + "type": "interline_equation", + "image_path": "27eac29c9a6d3953f508878899213ec3765f3d0e5217338928d3458581c3a01f.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 204, + 471, + 405, + 487 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 491, + 505, + 579 + ], + "lines": [ + { + "bbox": [ + 105, + 490, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 490, + 134, + 505 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 492, + 164, + 503 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { G , \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 490, + 506, + 505 + ], + "score": 1.0, + "content": "is the adversarial loss, linear in the discriminators’ outputs, paired with the hinge", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "score": 1.0, + "content": "loss (Lim & Ye, 2017; Tran et al., 2017) used as the discriminators’ objective, as used in GAN-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 511, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 104, + 511, + 505, + 527 + ], + "score": 1.0, + "content": "TTS (Binkowski et al., 2020). The use of an adversarial (Goodfellow et al., 2014) loss is an advantage ´", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "of our approach, as this setup allows for efficient feed-forward training and inference, and such", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 536, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 547 + ], + "score": 1.0, + "content": "losses tend to be mode-seeking in practice, a useful behaviour in a strongly conditioned setting where", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 545, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 104, + 545, + 506, + 559 + ], + "score": 1.0, + "content": "realism is an important design goal, as in the case of text-to-speech. In the remainder of this section,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 101, + 552, + 509, + 580 + ], + "spans": [ + { + "bbox": [ + 101, + 552, + 353, + 580 + ], + "score": 1.0, + "content": "we describe the aligner network and the auxiliary predictiondetail, and recap the components which were adopted from G", + "type": "text" + }, + { + "bbox": [ + 353, + 557, + 383, + 569 + ], + "score": 0.88, + "content": "( \\mathcal { L } _ { \\mathrm { { p r e d } } } ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 552, + 431, + 580 + ], + "score": 1.0, + "content": "and lengthS.", + "type": "text" + }, + { + "bbox": [ + 431, + 558, + 466, + 569 + ], + "score": 0.75, + "content": "( \\mathcal { L } _ { \\mathrm { l e n g t h } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 552, + 509, + 580 + ], + "score": 1.0, + "content": "losses in", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34, + "bbox_fs": [ + 101, + 490, + 509, + 580 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 592, + 172, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 591, + 173, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 173, + 605 + ], + "score": 1.0, + "content": "2.1 ALIGNER", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 106, + 610, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 208, + 624 + ], + "score": 1.0, + "content": "Given a token sequence", + "type": "text" + }, + { + "bbox": [ + 208, + 611, + 285, + 623 + ], + "score": 0.91, + "content": "{ \\bf x } = ( x _ { 1 } , \\dots , x _ { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 610, + 327, + 624 + ], + "score": 1.0, + "content": "of length", + "type": "text" + }, + { + "bbox": [ + 328, + 612, + 338, + 621 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 610, + 506, + 624 + ], + "score": 1.0, + "content": ", we first compute token representations", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 107, + 622, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 107, + 622, + 165, + 634 + ], + "score": 0.92, + "content": "{ \\bf h } = f ( { \\bf x } , { \\bf z } , { \\bf s } )", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 622, + 197, + 634 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 197, + 622, + 204, + 633 + ], + "score": 0.86, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 622, + 505, + 634 + ], + "score": 1.0, + "content": "is a stack of dilated convolutions (van den Oord et al., 2016) interspersed", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 447, + 645 + ], + "score": 1.0, + "content": "with batch normalisation (Ioffe & Szegedy, 2015) and ReLU activations. The latents", + "type": "text" + }, + { + "bbox": [ + 447, + 635, + 454, + 643 + ], + "score": 0.52, + "content": "\\mathbf { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "and speaker", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 644, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 505, + 655 + ], + "score": 1.0, + "content": "embedding s modulate the scale and shift parameters of the batch normalisation layers (Dumoulin", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "et al., 2017; De Vries et al., 2017). We then predict the length for each input token individually:", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 107, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 107, + 666, + 172, + 678 + ], + "score": 0.92, + "content": "l _ { n } = g ( h _ { n } , \\mathbf { z } , \\mathbf { s } )", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 666, + 204, + 678 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 204, + 667, + 211, + 677 + ], + "score": 0.79, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "is an MLP. 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"content": "w _ { t } ^ { n } = \\frac { \\exp { \\left( - \\sigma ^ { - 2 } ( t - c _ { n } ) ^ { 2 } \\right) } } { \\sum _ { m = 1 } ^ { N } \\exp { \\left( - \\sigma ^ { - 2 } ( t - c _ { m } ) ^ { 2 } \\right) } } .", + "type": "interline_equation", + "image_path": "45815cf2671e815e34f001fd64acc004229a13ba08900675bb14c40609d9b470.jpg" + } + ] + } + ], + "index": 2.5, + "virtual_lines": [ + { + "bbox": [ + 228, + 106, + 383, + 122.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 228, + 122.0, + 383, + 138.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 143, + 505, + 223 + ], + "lines": [ + { + "bbox": [ + 102, + 140, + 509, + 165 + ], + "spans": [ + { + "bbox": [ + 102, + 140, + 289, + 165 + ], + "score": 1.0, + "content": "Using these weights, we can then compute", + "type": "text" + }, + { + "bbox": [ + 290, + 143, + 368, + 159 + ], + "score": 0.93, + "content": "\\begin{array} { r } { a _ { t } \\ = \\ \\sum _ { n = 1 } ^ { N } 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Note", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 178, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 505, + 191 + ], + "score": 1.0, + "content": "that tokens which have a non-monotonic effect on prosody, such as punctuation, can still affect the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 336, + 202 + ], + "score": 1.0, + "content": "entire utterance thanks to the stack of dilated convolutions", + "type": "text" + }, + { + "bbox": [ + 337, + 190, + 344, + 201 + ], + "score": 0.84, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 190, + 505, + 202 + ], + "score": 1.0, + "content": ", whose receptive field is large enough to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "score": 1.0, + "content": "allow for propagation of information across the entire token sequence. 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In the No Phonemes ablation, the phone-", + "type": "text" + } + ], + "index": 80 + }, + { + "bbox": [ + 303, + 641, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 303, + 641, + 505, + 653 + ], + "score": 1.0, + "content": "mizer is skipped and the character sequence is fed", + "type": "text" + } + ], + "index": 81 + }, + { + "bbox": [ + 304, + 651, + 402, + 664 + ], + "spans": [ + { + "bbox": [ + 304, + 651, + 402, + 664 + ], + "score": 1.0, + "content": "directly into the aligner.", + "type": "text" + } + ], + "index": 82 + } + ], + "index": 76.5 + } + ], + "index": 60.0 + }, + { + "type": "text", + "bbox": [ + 107, + 510, + 297, + 674 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 297, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 297, + 522 + ], + "score": 1.0, + "content": "Random window discriminators. We use an", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 521, + 297, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 297, + 532 + ], + "score": 1.0, + "content": "ensemble of random window discriminators", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 532, + 297, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 297, + 543 + ], + "score": 1.0, + "content": "(RWDs) adopted from GAN-TTS. Each RWD", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 542, + 298, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 298, + 556 + ], + "score": 1.0, + "content": "operates on audio fragments of different lengths,", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 554, + 299, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 299, + 565 + ], + "score": 1.0, + "content": "randomly sampled from the training window.", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 105, + 564, + 299, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 299, + 577 + ], + "score": 1.0, + "content": "We use five RWDs with window sizes 240, 480,", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 576, + 297, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 297, + 586 + ], + "score": 1.0, + "content": "960, 1920 and 3600. This enables each RWD to", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 106, + 587, + 298, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 298, + 598 + ], + "score": 1.0, + "content": "operate at a different resolution. Note that 3600", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 598, + 298, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 153, + 609 + ], + "score": 1.0, + "content": "samples at", + "type": "text" + }, + { + "bbox": [ + 154, + 598, + 186, + 608 + ], + "score": 0.74, + "content": "2 4 ~ \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 598, + 252, + 609 + ], + "score": 1.0, + "content": "corresponds to", + "type": "text" + }, + { + "bbox": [ + 252, + 598, + 284, + 609 + ], + "score": 0.48, + "content": "1 5 0 ~ \\mathrm { m s }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 598, + 298, + 609 + ], + "score": 1.0, + "content": "of", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 106, + 609, + 298, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 298, + 620 + ], + "score": 1.0, + "content": "audio, so all RWDs operate on short timescales.", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 106, + 619, + 297, + 631 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 297, + 631 + ], + "score": 1.0, + "content": "All RWDs in our model are unconditional with", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 106, + 631, + 298, + 642 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 298, + 642 + ], + "score": 1.0, + "content": "respect to text: they cannot access the text se-", + "type": "text" + } + ], + "index": 65 + }, + { + "bbox": [ + 106, + 642, + 297, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 297, + 653 + ], + "score": 1.0, + "content": "quence or the aligner output. (GAN-TTS uses", + "type": "text" + } + ], + "index": 66 + }, + { + "bbox": [ + 106, + 652, + 297, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 652, + 297, + 664 + ], + "score": 1.0, + "content": "10 RWDs, including 5 conditioned on linguistic", + "type": "text" + } + ], + "index": 67 + }, + { + "bbox": [ + 105, + 662, + 298, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 298, + 677 + ], + "score": 1.0, + "content": "features which we omit.) They are, however,", + "type": "text" + } + ], + "index": 83 + }, + { + "bbox": [ + 106, + 673, + 433, + 687 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 433, + 687 + ], + "score": 1.0, + "content": "conditioned on the speaker, via projection embedding (Miyato & Koyama, 2018).", + "type": "text" + } + ], + "index": 84 + } + ], + "index": 61, + "bbox_fs": [ + 105, + 510, + 299, + 677 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 675, + 432, + 686 + ], + "lines": [], + "index": 84, + "bbox_fs": [ + 106, + 673, + 433, + 687 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 506, + 713 + ], + "score": 1.0, + "content": "Spectrogram discriminator. We use an additional discriminator which operates on the full training", + "type": "text" + } + ], + "index": 85 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "window in the spectrogram domain. We extract log-scaled mel-spectrograms from the audio signals", + "type": "text" + } + ], + "index": 86 + }, + { + "bbox": [ + 106, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "and use the BigGAN-deep architecture (Brock et al., 2018), essentially treating the spectrograms as", + "type": "text" + } + ], + "index": 87 + } + ], + "index": 86, + "bbox_fs": [ + 105, + 697, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 507, + 96 + ], + "score": 1.0, + "content": "images. The spectrogram discriminator also uses speaker identity through projection embedding.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 436, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 436, + 106 + ], + "score": 1.0, + "content": "Details on the spectrogram discriminator architecture are included in Appendix C.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "title", + "bbox": [ + 108, + 117, + 275, + 128 + ], + "lines": [ + { + "bbox": [ + 106, + 116, + 277, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 277, + 129 + ], + "score": 1.0, + "content": "2.4 SPECTROGRAM PREDICTION LOSS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 135, + 505, + 234 + ], + "lines": [ + { + "bbox": [ + 106, + 136, + 506, + 147 + ], + "spans": [ + { + "bbox": [ + 106, + 136, + 506, + 147 + ], + "score": 1.0, + "content": "In preliminary experiments, we discovered that adversarial feedback is insufficient to learn alignment.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "spans": [ + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "score": 1.0, + "content": "At the start of training, the aligner does not produce an accurate alignment, so the information in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 158, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 106, + 158, + 506, + 169 + ], + "score": 1.0, + "content": "input tokens is incorrectly temporally distributed. This encourages the decoder to ignore the aligner", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "output. The unconditional discriminators provide no useful learning signal to correct this. If we want", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 180, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 192 + ], + "score": 1.0, + "content": "to use conditional discriminators instead, we face a different problem: we do not have aligned ground", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 190, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 505, + 203 + ], + "score": 1.0, + "content": "truth. Conditional discriminators also need an aligner module, which cannot function correctly at the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "score": 1.0, + "content": "start of training, effectively turning them into unconditional discriminators. Although it should be", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "score": 1.0, + "content": "possible in theory to train the discriminators’ aligner modules adversarially, we find that this does not", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 223, + 271, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 271, + 235 + ], + "score": 1.0, + "content": "work in practice, and training gets stuck.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 237, + 505, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 238, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 506, + 251 + ], + "score": 1.0, + "content": "Instead, we propose to guide learning by using an explicit prediction loss in the spectrogram domain:", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 250, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 175, + 261 + ], + "score": 1.0, + "content": "we minimise the", + "type": "text" + }, + { + "bbox": [ + 175, + 250, + 187, + 260 + ], + "score": 0.89, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 250, + 505, + 261 + ], + "score": 1.0, + "content": "loss between the log-scaled mel-spectrograms of the generator output, and the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 272 + ], + "score": 1.0, + "content": "corresponding ground truth training window. This helps training to take off, and renders conditional", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 335, + 285 + ], + "score": 1.0, + "content": "discriminators unnecessary, simplifying the model. Let", + "type": "text" + }, + { + "bbox": [ + 335, + 271, + 354, + 283 + ], + "score": 0.91, + "content": "S _ { \\mathrm { g e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 270, + 506, + 285 + ], + "score": 1.0, + "content": "be the spectrogram of the generated", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 133, + 295 + ], + "score": 1.0, + "content": "audio,", + "type": "text" + }, + { + "bbox": [ + 134, + 282, + 149, + 294 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 282, + 373, + 295 + ], + "score": 1.0, + "content": "the spectrogram of the corresponding ground truth, and", + "type": "text" + }, + { + "bbox": [ + 374, + 282, + 401, + 294 + ], + "score": 0.93, + "content": "S [ t , f ]", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "the log-scaled magnitude", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 293, + 376, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 155, + 306 + ], + "score": 1.0, + "content": "at time step", + "type": "text" + }, + { + "bbox": [ + 155, + 294, + 160, + 303 + ], + "score": 0.74, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 293, + 253, + 306 + ], + "score": 1.0, + "content": "and mel-frequency bin", + "type": "text" + }, + { + "bbox": [ + 254, + 293, + 261, + 304 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 293, + 376, + 306 + ], + "score": 1.0, + "content": ". Then the prediction loss is:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5 + }, + { + "type": "interline_equation", + "bbox": [ + 209, + 315, + 403, + 333 + ], + "lines": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "spans": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { p r e d } } = \\frac { 1 } { F } \\sum _ { t = 1 } ^ { T } \\sum _ { f = 1 } ^ { F } | S _ { \\mathrm { g e n } } [ t , f ] - S _ { \\mathrm { g t } } [ t , f ] | . } \\end{array}", + "type": "interline_equation", + "image_path": "dfef56075b01fa14853b720235db6f8454bc544cb2c4c329b0b4af381fd1c3ba.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 338, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 115, + 349 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 339, + 134, + 352 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 135, + 340, + 144, + 349 + ], + "score": 0.83, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "are the total number of time steps and mel-frequency bins respectively. Computing the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "prediction loss in the spectrogram domain, rather than the time domain, has the advantage of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "increased invariance to phase differences between the generated and ground truth signals, which are", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "not perceptually salient. Seeing as the spectrogram extraction operation has several hyperparameters", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 384, + 504, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 504, + 395 + ], + "score": 1.0, + "content": "and its implementation is not standardised, we provide the code we used for this in Appendix D. We", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 394, + 504, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 279, + 407 + ], + "score": 1.0, + "content": "applied a small amount of jitter (by up to", + "type": "text" + }, + { + "bbox": [ + 279, + 394, + 298, + 405 + ], + "score": 0.86, + "content": "\\pm 6 0", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 394, + 345, + 407 + ], + "score": 1.0, + "content": "samples at", + "type": "text" + }, + { + "bbox": [ + 345, + 394, + 378, + 405 + ], + "score": 0.72, + "content": "2 4 \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 394, + 504, + 407 + ], + "score": 1.0, + "content": ") to the ground truth waveform", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 421, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 179, + 419 + ], + "score": 1.0, + "content": "before computing", + "type": "text" + }, + { + "bbox": [ + 180, + 405, + 194, + 417 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 405, + 421, + 419 + ], + "score": 1.0, + "content": ", which helped to reduce artifacts in the generated audio.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 420, + 505, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "The inability to learn alignment from adversarial feedback alone is worth expanding on: likelihood-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "based autoregressive models have no issues learning alignment, because they are able to benefit", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 443, + 504, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 504, + 454 + ], + "score": 1.0, + "content": "from teacher forcing (Williams & Zipser, 1989) during training: the model is trained to perform", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "next step prediction on each sequence step, given the preceding ground truth, and it is expected to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 463, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 478 + ], + "score": 1.0, + "content": "infer alignment only one step at a time. This is not compatible with feed-forward adversarial models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 475, + 469, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 469, + 487 + ], + "score": 1.0, + "content": "however, so the prediction loss is necessary to bootstrap alignment learning for our model.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 373, + 503 + ], + "score": 1.0, + "content": "Note that although we make use of mel-spectrograms for training in", + "type": "text" + }, + { + "bbox": [ + 374, + 490, + 398, + 502 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { p r e d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 489, + 505, + 503 + ], + "score": 1.0, + "content": "(and to compute the inputs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "for the spectrogram discriminator, Section 2.3), the generator itself does not produce spectrograms", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "score": 1.0, + "content": "as part of the generation process. Rather, its outputs are raw waveforms, and we convert these", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "score": 1.0, + "content": "waveforms to spectrograms only for training (backpropagating gradients through the waveform to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 267, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 267, + 547 + ], + "score": 1.0, + "content": "mel-spectrogram conversion operation).", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 107, + 557, + 240, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 241, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 241, + 569 + ], + "score": 1.0, + "content": "2.5 DYNAMIC TIME WARPING", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 642 + ], + "lines": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "The spectrogram prediction loss incorrectly assumes that token lengths are deterministic. We can", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "relax the requirement that the generated and ground truth spectrograms are exactly aligned, by", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "incorporating dynamic time warping (DTW) (Sakoe, 1971; Sakoe & Chiba, 1978). We calculate the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 368, + 622 + ], + "score": 1.0, + "content": "prediction loss by iteratively finding a minimal-cost alignment path", + "type": "text" + }, + { + "bbox": [ + 369, + 610, + 375, + 620 + ], + "score": 0.82, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "between the generated and target", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 503, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 164, + 634 + ], + "score": 1.0, + "content": "spectrograms,", + "type": "text" + }, + { + "bbox": [ + 165, + 620, + 184, + 631 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 619, + 202, + 634 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 203, + 620, + 217, + 632 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 619, + 427, + 634 + ], + "score": 1.0, + "content": ". We start at the first time step in both spectrograms:", + "type": "text" + }, + { + "bbox": [ + 428, + 621, + 503, + 632 + ], + "score": 0.92, + "content": "p _ { \\mathrm { g e n , 1 } } = p _ { \\mathrm { g t , 1 } } = 1", + "type": "inline_equation" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 630, + 338, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 175, + 643 + ], + "score": 1.0, + "content": "At each iteration", + "type": "text" + }, + { + "bbox": [ + 175, + 632, + 182, + 640 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 630, + 338, + 643 + ], + "score": 1.0, + "content": ", we take one of three possible actions:", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 130, + 649, + 493, + 693 + ], + "lines": [ + { + "bbox": [ + 128, + 647, + 491, + 664 + ], + "spans": [ + { + "bbox": [ + 128, + 647, + 266, + 664 + ], + "score": 1.0, + "content": "1. go to the next time step in both", + "type": "text" + }, + { + "bbox": [ + 266, + 649, + 491, + 662 + ], + "score": 0.41, + "content": "S _ { \\mathrm { g e n } } , S _ { \\mathrm { g t } } \\colon p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } + 1 , p _ { \\mathrm { g t } , k + 1 } = p _ { \\mathrm { g t } , k } + 1 ;", + "type": "inline_equation" + } + ], + "index": 44 + }, + { + "bbox": [ + 128, + 663, + 452, + 678 + ], + "spans": [ + { + "bbox": [ + 128, + 663, + 248, + 678 + ], + "score": 1.0, + "content": "2. go to the next time step in", + "type": "text" + }, + { + "bbox": [ + 248, + 665, + 263, + 677 + ], + "score": 0.89, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 663, + 286, + 678 + ], + "score": 1.0, + "content": "only:", + "type": "text" + }, + { + "bbox": [ + 287, + 665, + 448, + 677 + ], + "score": 0.52, + "content": "p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } , p _ { \\mathrm { g t } , k + 1 } = p _ { \\mathrm { g t } , k } + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 663, + 452, + 678 + ], + "score": 1.0, + "content": ";", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 128, + 678, + 456, + 694 + ], + "spans": [ + { + "bbox": [ + 128, + 678, + 248, + 694 + ], + "score": 1.0, + "content": "3. go to the next time step in", + "type": "text" + }, + { + "bbox": [ + 249, + 680, + 268, + 692 + ], + "score": 0.91, + "content": "S _ { \\mathrm { g e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 678, + 293, + 694 + ], + "score": 1.0, + "content": "only:", + "type": "text" + }, + { + "bbox": [ + 293, + 681, + 383, + 692 + ], + "score": 0.77, + "content": "p _ { \\mathrm { g e n } , k + 1 } = p _ { \\mathrm { g e n } , k } + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 678, + 456, + 694 + ], + "score": 1.0, + "content": ", pgt,k+1 = pgt,k.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 698, + 503, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 196, + 713 + ], + "score": 1.0, + "content": "The resulting path is", + "type": "text" + }, + { + "bbox": [ + 196, + 699, + 372, + 712 + ], + "score": 0.89, + "content": "p = \\langle ( p _ { \\mathrm { g e n } , 1 } , p _ { \\mathrm { g t } , 1 } ) , \\dots , ( p _ { \\mathrm { g e n } , K _ { p } } , p _ { \\mathrm { g t } , K _ { p } } ) \\rangle", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 697, + 405, + 713 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 406, + 699, + 420, + 711 + ], + "score": 0.89, + "content": "K _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 697, + 506, + 713 + ], + "score": 1.0, + "content": "is the length. Each", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 260, + 724 + ], + "score": 1.0, + "content": "action is assigned a cost based on the", + "type": "text" + }, + { + "bbox": [ + 260, + 711, + 272, + 721 + ], + "score": 0.86, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 708, + 346, + 724 + ], + "score": 1.0, + "content": "distance between", + "type": "text" + }, + { + "bbox": [ + 347, + 710, + 396, + 722 + ], + "score": 0.91, + "content": "S _ { \\mathrm { g e n } } [ p _ { \\mathrm { g e n } , k } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 708, + 414, + 724 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 415, + 710, + 454, + 722 + ], + "score": 0.92, + "content": "\\mathrm { \\dot { \\cal S } } _ { \\mathrm { g t } } [ p _ { \\mathrm { g t } , k } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 708, + 506, + 724 + ], + "score": 1.0, + "content": ", and a warp", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 138, + 734 + ], + "score": 1.0, + "content": "penalty", + "type": "text" + }, + { + "bbox": [ + 139, + 722, + 147, + 730 + ], + "score": 0.71, + "content": "w", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 720, + 505, + 734 + ], + "score": 1.0, + "content": "which is incurred if we choose not to advance both spectrograms in lockstep (i.e. we are", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 292, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2021", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 301, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 301, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 8 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "list", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 507, + 96 + ], + "score": 1.0, + "content": "images. The spectrogram discriminator also uses speaker identity through projection embedding.", + "type": "text" + } + ], + "index": 0, + "is_list_end_line": true + }, + { + "bbox": [ + 106, + 93, + 436, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 436, + 106 + ], + "score": 1.0, + "content": "Details on the spectrogram discriminator architecture are included in Appendix C.", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 507, + 106 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 117, + 275, + 128 + ], + "lines": [ + { + "bbox": [ + 106, + 116, + 277, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 277, + 129 + ], + "score": 1.0, + "content": "2.4 SPECTROGRAM PREDICTION LOSS", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 135, + 505, + 234 + ], + "lines": [ + { + "bbox": [ + 106, + 136, + 506, + 147 + ], + "spans": [ + { + "bbox": [ + 106, + 136, + 506, + 147 + ], + "score": 1.0, + "content": "In preliminary experiments, we discovered that adversarial feedback is insufficient to learn alignment.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "spans": [ + { + "bbox": [ + 106, + 146, + 505, + 158 + ], + "score": 1.0, + "content": "At the start of training, the aligner does not produce an accurate alignment, so the information in the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 158, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 106, + 158, + 506, + 169 + ], + "score": 1.0, + "content": "input tokens is incorrectly temporally distributed. This encourages the decoder to ignore the aligner", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "output. The unconditional discriminators provide no useful learning signal to correct this. If we want", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 180, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 505, + 192 + ], + "score": 1.0, + "content": "to use conditional discriminators instead, we face a different problem: we do not have aligned ground", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 190, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 505, + 203 + ], + "score": 1.0, + "content": "truth. Conditional discriminators also need an aligner module, which cannot function correctly at the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 505, + 213 + ], + "score": 1.0, + "content": "start of training, effectively turning them into unconditional discriminators. Although it should be", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 506, + 225 + ], + "score": 1.0, + "content": "possible in theory to train the discriminators’ aligner modules adversarially, we find that this does not", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 223, + 271, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 271, + 235 + ], + "score": 1.0, + "content": "work in practice, and training gets stuck.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 136, + 506, + 235 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 237, + 505, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 238, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 506, + 251 + ], + "score": 1.0, + "content": "Instead, we propose to guide learning by using an explicit prediction loss in the spectrogram domain:", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 250, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 175, + 261 + ], + "score": 1.0, + "content": "we minimise the", + "type": "text" + }, + { + "bbox": [ + 175, + 250, + 187, + 260 + ], + "score": 0.89, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 250, + 505, + 261 + ], + "score": 1.0, + "content": "loss between the log-scaled mel-spectrograms of the generator output, and the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 260, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 272 + ], + "score": 1.0, + "content": "corresponding ground truth training window. This helps training to take off, and renders conditional", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 270, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 270, + 335, + 285 + ], + "score": 1.0, + "content": "discriminators unnecessary, simplifying the model. Let", + "type": "text" + }, + { + "bbox": [ + 335, + 271, + 354, + 283 + ], + "score": 0.91, + "content": "S _ { \\mathrm { g e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 270, + 506, + 285 + ], + "score": 1.0, + "content": "be the spectrogram of the generated", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 282, + 133, + 295 + ], + "score": 1.0, + "content": "audio,", + "type": "text" + }, + { + "bbox": [ + 134, + 282, + 149, + 294 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 282, + 373, + 295 + ], + "score": 1.0, + "content": "the spectrogram of the corresponding ground truth, and", + "type": "text" + }, + { + "bbox": [ + 374, + 282, + 401, + 294 + ], + "score": 0.93, + "content": "S [ t , f ]", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "the log-scaled magnitude", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 293, + 376, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 155, + 306 + ], + "score": 1.0, + "content": "at time step", + "type": "text" + }, + { + "bbox": [ + 155, + 294, + 160, + 303 + ], + "score": 0.74, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 293, + 253, + 306 + ], + "score": 1.0, + "content": "and mel-frequency bin", + "type": "text" + }, + { + "bbox": [ + 254, + 293, + 261, + 304 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 293, + 376, + 306 + ], + "score": 1.0, + "content": ". Then the prediction loss is:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 238, + 506, + 306 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 209, + 315, + 403, + 333 + ], + "lines": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "spans": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { p r e d } } = \\frac { 1 } { F } \\sum _ { t = 1 } ^ { T } \\sum _ { f = 1 } ^ { F } | S _ { \\mathrm { g e n } } [ t , f ] - S _ { \\mathrm { g t } } [ t , f ] | . } \\end{array}", + "type": "interline_equation", + "image_path": "dfef56075b01fa14853b720235db6f8454bc544cb2c4c329b0b4af381fd1c3ba.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 209, + 315, + 403, + 333 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 338, + 505, + 417 + ], + "lines": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 115, + 349 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 339, + 134, + 352 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 135, + 340, + 144, + 349 + ], + "score": 0.83, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "are the total number of time steps and mel-frequency bins respectively. Computing the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "prediction loss in the spectrogram domain, rather than the time domain, has the advantage of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 505, + 374 + ], + "score": 1.0, + "content": "increased invariance to phase differences between the generated and ground truth signals, which are", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 506, + 385 + ], + "score": 1.0, + "content": "not perceptually salient. Seeing as the spectrogram extraction operation has several hyperparameters", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 384, + 504, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 504, + 395 + ], + "score": 1.0, + "content": "and its implementation is not standardised, we provide the code we used for this in Appendix D. We", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 394, + 504, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 279, + 407 + ], + "score": 1.0, + "content": "applied a small amount of jitter (by up to", + "type": "text" + }, + { + "bbox": [ + 279, + 394, + 298, + 405 + ], + "score": 0.86, + "content": "\\pm 6 0", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 394, + 345, + 407 + ], + "score": 1.0, + "content": "samples at", + "type": "text" + }, + { + "bbox": [ + 345, + 394, + 378, + 405 + ], + "score": 0.72, + "content": "2 4 \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 394, + 504, + 407 + ], + "score": 1.0, + "content": ") to the ground truth waveform", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 405, + 421, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 179, + 419 + ], + "score": 1.0, + "content": "before computing", + "type": "text" + }, + { + "bbox": [ + 180, + 405, + 194, + 417 + ], + "score": 0.9, + "content": "S _ { \\mathrm { g t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 405, + 421, + 419 + ], + "score": 1.0, + "content": ", which helped to reduce artifacts in the generated audio.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 339, + 506, + 419 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 420, + 505, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "The inability to learn alignment from adversarial feedback alone is worth expanding on: likelihood-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "based autoregressive models have no issues learning alignment, because they are able to benefit", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 443, + 504, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 504, + 454 + ], + "score": 1.0, + "content": "from teacher forcing (Williams & Zipser, 1989) during training: the model is trained to perform", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "next step prediction on each sequence step, given the preceding ground truth, and it is expected to", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 463, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 478 + ], + "score": 1.0, + "content": "infer alignment only one step at a time. This is not compatible with feed-forward adversarial models", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 475, + 469, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 469, + 487 + ], + "score": 1.0, + "content": "however, so the prediction loss is necessary to bootstrap alignment learning for our model.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 420, + 506, + 487 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 490, + 505, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 373, + 503 + ], + "score": 1.0, + "content": "Note that although we make use of mel-spectrograms for training in", + "type": "text" + }, + { + "bbox": [ + 374, + 490, + 398, + 502 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { p r e d } }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 489, + 505, + 503 + ], + "score": 1.0, + "content": "(and to compute the inputs", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 514 + ], + "score": 1.0, + "content": "for the spectrogram discriminator, Section 2.3), the generator itself does not produce spectrograms", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 505, + 525 + ], + "score": 1.0, + "content": "as part of the generation process. Rather, its outputs are raw waveforms, and we convert these", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "score": 1.0, + "content": "waveforms to spectrograms only for training (backpropagating gradients through the waveform to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 535, + 267, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 267, + 547 + ], + "score": 1.0, + "content": "mel-spectrogram conversion operation).", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 489, + 505, + 547 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 557, + 240, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 556, + 241, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 241, + 569 + ], + "score": 1.0, + "content": "2.5 DYNAMIC TIME WARPING", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 642 + ], + "lines": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 587 + ], + "score": 1.0, + "content": "The spectrogram prediction loss incorrectly assumes that token lengths are deterministic. We can", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "relax the requirement that the generated and ground truth spectrograms are exactly aligned, by", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "incorporating dynamic time warping (DTW) (Sakoe, 1971; Sakoe & Chiba, 1978). 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Figure 2 shows a diagram of an optimal alignment path between two sequences.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 214, + 376, + 258 + ], + "lines": [ + { + "bbox": [ + 105, + 212, + 378, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 378, + 227 + ], + "score": 1.0, + "content": "DTW is differentiable, but the minimum across all paths makes op-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 225, + 376, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 376, + 237 + ], + "score": 1.0, + "content": "timisation difficult, because the gradient is propagated only through", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 236, + 377, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 236, + 377, + 247 + ], + "score": 1.0, + "content": "the minimal path. 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This creates a synergy with the adversarial loss:", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 392, + 376, + 404 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 376, + 404 + ], + "score": 1.0, + "content": "instead of working against each other because of the rigidity of the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 402, + 376, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 376, + 414 + ], + "score": 1.0, + "content": "prediction loss, the losses now cooperate to reward realistic audio", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 413, + 376, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 376, + 426 + ], + "score": 1.0, + "content": "generation with stochastic alignment. 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Let", + "type": "text" + }, + { + "bbox": [ + 234, + 510, + 242, + 519 + ], + "score": 0.82, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 510, + 473, + 521 + ], + "score": 1.0, + "content": "be the the number of time steps in the training utterance at", + "type": "text" + }, + { + "bbox": [ + 473, + 509, + 502, + 520 + ], + "score": 0.7, + "content": "2 0 0 \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 510, + 506, + 521 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 107, + 520, + 478, + 533 + ], + "spans": [ + { + "bbox": [ + 107, + 521, + 116, + 531 + ], + "score": 0.87, + "content": "l _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 116, + 520, + 224, + 533 + ], + "score": 1.0, + "content": "the predicted length of the", + "type": "text" + }, + { + "bbox": [ + 225, + 522, + 231, + 530 + ], + "score": 0.66, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 520, + 284, + 533 + ], + "score": 1.0, + "content": "th token, and", + "type": "text" + }, + { + "bbox": [ + 285, + 520, + 295, + 530 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 520, + 478, + 533 + ], + "score": 1.0, + "content": "the number of tokens, then the length loss is:", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40.5 + }, + { + "type": "interline_equation", + "bbox": [ + 241, + 533, + 370, + 557 + ], + "lines": [ + { + "bbox": [ + 241, + 533, + 370, + 557 + ], + "spans": [ + { + "bbox": [ + 241, + 533, + 370, + 557 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { l e n g t h } } = \\frac { 1 } { 2 } \\left( L - \\sum _ { n = 1 } ^ { N } l _ { n } \\right) ^ { 2 } . } \\end{array}", + "type": "interline_equation", + "image_path": "cfe00b01bfe2a11b352c8e3753171589565351b9c39d23dd72a5cfe5844cb4d9.jpg" + } + ] + } + ], + "index": 43, + "virtual_lines": [ + { + "bbox": [ + 241, + 533, + 370, + 557 + ], + "spans": [], + "index": 43 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 559, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 190, + 571 + ], + "score": 1.0, + "content": "We use a scale factor", + "type": "text" + }, + { + "bbox": [ + 190, + 559, + 245, + 570 + ], + "score": 0.9, + "content": "\\lambda _ { \\mathrm { l e n g t h } } = 0 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 559, + 439, + 571 + ], + "score": 1.0, + "content": ". 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This is not too surprising, given the heterogeneous way in which", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "spellings map to phonemes, particularly in the English language. Many character sequences also", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 644, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 655 + ], + "score": 1.0, + "content": "have special pronunciations, such as numbers, dates, units of measurement and website domains, and", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 104, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 104, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "a very large training dataset would be required for the model to learn to pronounce these correctly.", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "Text normalisation (Zhang et al., 2019) can be applied beforehand to spell out these sequences as", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "they are typically pronounced (e.g., 1976 could become nineteen seventy six), potentially followed by", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "conversion to phonemes. 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Note that we cannot match the predicted lengths", + "type": "text" + }, + { + "bbox": [ + 440, + 559, + 449, + 570 + ], + "score": 0.88, + "content": "l _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 559, + 505, + 571 + ], + "score": 1.0, + "content": "to the ground", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 569, + 354, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 354, + 582 + ], + "score": 1.0, + "content": "truth lengths individually, because the latter are not available.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44.5, + "bbox_fs": [ + 106, + 559, + 505, + 582 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 592, + 232, + 603 + ], + "lines": [ + { + "bbox": [ + 106, + 592, + 231, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 231, + 604 + ], + "score": 1.0, + "content": "2.7 TEXT PRE-PROCESSING", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 106, + 610, + 506, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "Although our model works well with character input, we find that sample quality improves signifi-", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "cantly using phoneme input instead. This is not too surprising, given the heterogeneous way in which", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "spellings map to phonemes, particularly in the English language. Many character sequences also", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 644, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 655 + ], + "score": 1.0, + "content": "have special pronunciations, such as numbers, dates, units of measurement and website domains, and", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 104, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 104, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "a very large training dataset would be required for the model to learn to pronounce these correctly.", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 678 + ], + "score": 1.0, + "content": "Text normalisation (Zhang et al., 2019) can be applied beforehand to spell out these sequences as", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "they are typically pronounced (e.g., 1976 could become nineteen seventy six), potentially followed by", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "conversion to phonemes. We use an open source tool, phonemizer (Bernard, 2020), which performs", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 711 + ], + "score": 1.0, + "content": "partial normalisation and phonemisation (see Appendix F). Finally, whether we train on text or", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "phoneme input sequences, we pre- and post-pad the sequence with a special silence token (for training", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 721, + 507, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 507, + 734 + ], + "score": 1.0, + "content": "and inference), to allow the aligner to account for silence at the beginning and end of each utterance.", + "type": "text" + } + ], + "index": 57 + } + ], + "index": 52, + "bbox_fs": [ + 104, + 610, + 507, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 81, + 208, + 93 + ], + "lines": [ + { + "bbox": [ + 104, + 79, + 211, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 79, + 211, + 96 + ], + "score": 1.0, + "content": "3 RELATED WORK", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 106, + 505, + 216 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 120 + ], + "score": 1.0, + "content": "Speech generation saw significant quality improvements once treating it as a generative modelling", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 130 + ], + "score": 1.0, + "content": "problem became the norm (Zen et al., 2009; van den Oord et al., 2016). Likelihood-based approaches", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 142 + ], + "score": 1.0, + "content": "dominate, but generative adversarial networks (GANs) (Goodfellow et al., 2014) have been making", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 138, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 152 + ], + "score": 1.0, + "content": "significant inroads recently. A common thread through most of the literature is a separation of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "score": 1.0, + "content": "the speech generation process into multiple stages: coarse-grained temporally aligned intermediate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "score": 1.0, + "content": "representations, such as mel-spectrograms, are used to divide the task into more manageable sub-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 185 + ], + "score": 1.0, + "content": "problems. Many works focus exclusively on either spectrogram generation or vocoding (generating a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 183, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 195 + ], + "score": 1.0, + "content": "waveform from a spectrogram). Our work is different in this respect, and we will point out which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 505, + 207 + ], + "score": 1.0, + "content": "stages of the generation process are addressed by each model. In Appendix J, Table 6 we compare", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 204, + 428, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 428, + 217 + ], + "score": 1.0, + "content": "these methods in terms of the inputs and outputs to each stage of their pipelines.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 219, + 506, + 340 + ], + "lines": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "score": 1.0, + "content": "Initially, most likelihood-based models for TTS were autoregressive (van den Oord et al., 2016; Mehri", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 231, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 506, + 243 + ], + "score": 1.0, + "content": "et al., 2017; Arik et al., 2017), which means that there is a sequential dependency between subsequent", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "score": 1.0, + "content": "time steps of the produced output signal. That makes these models impractical for real-time use,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 252, + 507, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 507, + 266 + ], + "score": 1.0, + "content": "although this can be addressed with careful engineering (Kalchbrenner et al., 2018; Valin & Skoglund,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "2019). More recently, flow-based models (Papamakarios et al., 2019) have been explored as a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "score": 1.0, + "content": "feed-forward alternative that enables fast inference (without sequential dependencies). These can", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "either be trained directly using maximum likelihood (Prenger et al., 2019; Kim et al., 2019; Ping et al.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 295, + 507, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 507, + 310 + ], + "score": 1.0, + "content": "2019b), or through distillation from an autoregressive model (van den Oord et al., 2018; Ping et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "score": 1.0, + "content": "2019a). All of these models produce waveforms conditioned on an intermediate representation: either", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "spectrograms or “linguistic features”, which contain temporally-aligned high-level information about", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 329, + 491, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 491, + 342 + ], + "score": 1.0, + "content": "the speech signal. Spectrogram-conditioned waveform models are often referred to as vocoders.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "A growing body of work has applied GAN (Goodfellow et al., 2014) variants to speech synthe-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 355, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 367 + ], + "score": 1.0, + "content": "sis (Donahue et al., 2019). An important advantage of adversarial losses for TTS is a focus on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 366, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 378 + ], + "score": 1.0, + "content": "realism over diversity; the latter is less important in this setting. This enables a more efficient use of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "capacity compared to models trained with maximum likelihood. MelGAN (Kumar et al., 2019) and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "score": 1.0, + "content": "Parallel WaveGAN (Yamamoto et al., 2020) are adversarial vocoders, producing raw waveforms from", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 398, + 507, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 507, + 413 + ], + "score": 1.0, + "content": "mel-spectrograms. Neekhara et al. (2019) predict magnitude spectrograms from mel-spectrograms.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "Most directly related to our work is GAN-TTS (Binkowski et al., 2020), which produces waveforms ´", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 421, + 395, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 395, + 433 + ], + "score": 1.0, + "content": "conditioned on aligned linguistic features, and we build upon that work.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5 + }, + { + "type": "text", + "bbox": [ + 107, + 436, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 436, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 506, + 449 + ], + "score": 1.0, + "content": "Another important line of work covers spectrogram generation from text. Such models rely on a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "vocoder to convert the spectrograms into waveforms (for which one of the previously mentioned", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "models could be used, or a traditional spectrogram inversion technique (Griffin & Lim, 1984)).", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 467, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 104, + 467, + 506, + 484 + ], + "score": 1.0, + "content": "Tacotron 1 & 2 (Wang et al., 2017; Shen et al., 2018), Deep Voice 2 & 3 (Gibiansky et al., 2017; Ping", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 479, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 506, + 494 + ], + "score": 1.0, + "content": "et al., 2018), TransformerTTS (Li et al., 2019), Flowtron (Valle et al., 2020), and VoiceLoop (Taigman", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 491, + 507, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 507, + 504 + ], + "score": 1.0, + "content": "et al., 2017) are autoregressive models that generate spectrograms or vocoder features frame by frame.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 501, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 515 + ], + "score": 1.0, + "content": "Guo et al. (2019) suggest using an adversarial loss to reduce exposure bias (Bengio et al., 2015;", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 512, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 506, + 526 + ], + "score": 1.0, + "content": "Ranzato et al., 2016) in such models. MelNet (Vasquez & Lewis, 2019) is autoregressive over", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 524, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 506, + 536 + ], + "score": 1.0, + "content": "both time and frequency. ParaNet (Peng et al., 2019) and FastSpeech (Ren et al., 2019) are non-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 535, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 506, + 547 + ], + "score": 1.0, + "content": "autoregressive, but they require distillation (Hinton et al., 2015) from an autoregressive model. 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This", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 505, + 661 + ], + "score": 1.0, + "content": "simplifies the training process considerably. 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Likelihood-based approaches", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 126, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 142 + ], + "score": 1.0, + "content": "dominate, but generative adversarial networks (GANs) (Goodfellow et al., 2014) have been making", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 138, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 506, + 152 + ], + "score": 1.0, + "content": "significant inroads recently. A common thread through most of the literature is a separation of", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 506, + 163 + ], + "score": 1.0, + "content": "the speech generation process into multiple stages: coarse-grained temporally aligned intermediate", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "score": 1.0, + "content": "representations, such as mel-spectrograms, are used to divide the task into more manageable sub-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 185 + ], + "score": 1.0, + "content": "problems. Many works focus exclusively on either spectrogram generation or vocoding (generating a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 183, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 506, + 195 + ], + "score": 1.0, + "content": "waveform from a spectrogram). Our work is different in this respect, and we will point out which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 505, + 207 + ], + "score": 1.0, + "content": "stages of the generation process are addressed by each model. In Appendix J, Table 6 we compare", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 204, + 428, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 428, + 217 + ], + "score": 1.0, + "content": "these methods in terms of the inputs and outputs to each stage of their pipelines.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 105, + 506, + 217 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 219, + 506, + 340 + ], + "lines": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 506, + 233 + ], + "score": 1.0, + "content": "Initially, most likelihood-based models for TTS were autoregressive (van den Oord et al., 2016; Mehri", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 231, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 506, + 243 + ], + "score": 1.0, + "content": "et al., 2017; Arik et al., 2017), which means that there is a sequential dependency between subsequent", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "score": 1.0, + "content": "time steps of the produced output signal. That makes these models impractical for real-time use,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 252, + 507, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 507, + 266 + ], + "score": 1.0, + "content": "although this can be addressed with careful engineering (Kalchbrenner et al., 2018; Valin & Skoglund,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 276 + ], + "score": 1.0, + "content": "2019). More recently, flow-based models (Papamakarios et al., 2019) have been explored as a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 506, + 287 + ], + "score": 1.0, + "content": "feed-forward alternative that enables fast inference (without sequential dependencies). These can", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 298 + ], + "score": 1.0, + "content": "either be trained directly using maximum likelihood (Prenger et al., 2019; Kim et al., 2019; Ping et al.,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 295, + 507, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 507, + 310 + ], + "score": 1.0, + "content": "2019b), or through distillation from an autoregressive model (van den Oord et al., 2018; Ping et al.,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "score": 1.0, + "content": "2019a). All of these models produce waveforms conditioned on an intermediate representation: either", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "spectrograms or “linguistic features”, which contain temporally-aligned high-level information about", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 329, + 491, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 491, + 342 + ], + "score": 1.0, + "content": "the speech signal. Spectrogram-conditioned waveform models are often referred to as vocoders.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 219, + 507, + 342 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 344, + 505, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 357 + ], + "score": 1.0, + "content": "A growing body of work has applied GAN (Goodfellow et al., 2014) variants to speech synthe-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 355, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 367 + ], + "score": 1.0, + "content": "sis (Donahue et al., 2019). An important advantage of adversarial losses for TTS is a focus on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 366, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 378 + ], + "score": 1.0, + "content": "realism over diversity; the latter is less important in this setting. This enables a more efficient use of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "capacity compared to models trained with maximum likelihood. MelGAN (Kumar et al., 2019) and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "score": 1.0, + "content": "Parallel WaveGAN (Yamamoto et al., 2020) are adversarial vocoders, producing raw waveforms from", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 398, + 507, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 507, + 413 + ], + "score": 1.0, + "content": "mel-spectrograms. Neekhara et al. (2019) predict magnitude spectrograms from mel-spectrograms.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "Most directly related to our work is GAN-TTS (Binkowski et al., 2020), which produces waveforms ´", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 421, + 395, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 395, + 433 + ], + "score": 1.0, + "content": "conditioned on aligned linguistic features, and we build upon that work.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 344, + 507, + 433 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 436, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 436, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 506, + 449 + ], + "score": 1.0, + "content": "Another important line of work covers spectrogram generation from text. Such models rely on a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "vocoder to convert the spectrograms into waveforms (for which one of the previously mentioned", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "models could be used, or a traditional spectrogram inversion technique (Griffin & Lim, 1984)).", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 467, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 104, + 467, + 506, + 484 + ], + "score": 1.0, + "content": "Tacotron 1 & 2 (Wang et al., 2017; Shen et al., 2018), Deep Voice 2 & 3 (Gibiansky et al., 2017; Ping", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 479, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 104, + 479, + 506, + 494 + ], + "score": 1.0, + "content": "et al., 2018), TransformerTTS (Li et al., 2019), Flowtron (Valle et al., 2020), and VoiceLoop (Taigman", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 491, + 507, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 507, + 504 + ], + "score": 1.0, + "content": "et al., 2017) are autoregressive models that generate spectrograms or vocoder features frame by frame.", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 501, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 515 + ], + "score": 1.0, + "content": "Guo et al. (2019) suggest using an adversarial loss to reduce exposure bias (Bengio et al., 2015;", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 512, + 506, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 512, + 506, + 526 + ], + "score": 1.0, + "content": "Ranzato et al., 2016) in such models. MelNet (Vasquez & Lewis, 2019) is autoregressive over", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 524, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 506, + 536 + ], + "score": 1.0, + "content": "both time and frequency. ParaNet (Peng et al., 2019) and FastSpeech (Ren et al., 2019) are non-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 535, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 506, + 547 + ], + "score": 1.0, + "content": "autoregressive, but they require distillation (Hinton et al., 2015) from an autoregressive model. Recent", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "flow-based approaches Flow-TTS (Miao et al., 2020) and Glow-TTS (Kim et al., 2020) are feed-", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 506, + 569 + ], + "score": 1.0, + "content": "forward without requiring distillation. 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We note that the", + "type": "text" + }, + { + "bbox": [ + 289, + 83, + 302, + 93 + ], + "score": 0.88, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "loss we use (along with (Défossez et al., 2018)), is", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "comparatively simple, as spectrogram losses in the literature tend to have separate terms penalising", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "magnitudes, log-magnitudes and phase components, each with their own scaling factors, and often", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "score": 1.0, + "content": "across multiple resolutions. 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Kim", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "et al. (2020) propose Monotonic Alignment Search (MAS), which relates to DTW in that both use", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "dynamic programming to implicitly align sequences for TTS. However, they have different goals:", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 180, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 506, + 194 + ], + "score": 1.0, + "content": "MAS finds the optimal alignment between the text and a latent representation, whereas we use", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "score": 1.0, + "content": "DTW to relax the constraints imposed by our spectrogram prediction loss term. Several mechanisms", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "score": 1.0, + "content": "have been proposed to exploit monotonicity in tasks that require sequence alignment, including", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 226 + ], + "score": 1.0, + "content": "attention mechanisms (Graves, 2013; Zhang et al., 2018; Vasquez & Lewis, 2019; He et al., 2019;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 226, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 237 + ], + "score": 1.0, + "content": "Raffel et al., 2017; Chiu & Raffel, 2018), loss functions (Graves et al., 2006; Graves, 2012) and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 248 + ], + "score": 1.0, + "content": "search-based approaches (Kim et al., 2020). For TTS, incorporating this constraint has been found", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 246, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 261 + ], + "score": 1.0, + "content": "to help generalisation to long sequences (Battenberg et al., 2020). We incorporate monotonicity by", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "score": 1.0, + "content": "using an interpolation mechanism, which is cheap to compute because it is not recurrent (unlike many", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 270, + 246, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 246, + 281 + ], + "score": 1.0, + "content": "monotonic attention mechanisms).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 108, + 294, + 192, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 292, + 195, + 309 + ], + "spans": [ + { + "bbox": [ + 104, + 292, + 195, + 309 + ], + "score": 1.0, + "content": "4 EVALUATION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "score": 1.0, + "content": "In this section we discuss the setup and results of our empirical evaluation, describing the hyperparam-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "eter settings used for training and validating the architectural decisions and loss function components", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 504, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 504, + 351 + ], + "score": 1.0, + "content": "detailed in Section 2. Our primary metric used to evaluate speech quality is the Mean Opinion Score", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 350, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 505, + 362 + ], + "score": 1.0, + "content": "(MOS) given by human raters, computed by taking the mean of 1-5 naturalness ratings given across", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 104, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "1000 held-out conditioning sequences. In Appendix I we also report the Fréchet DeepSpeech Distance", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 385 + ], + "score": 1.0, + "content": "(FDSD), proposed by Binkowski et al. (2020) as a speech synthesis quality metric. Appendix A ´", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 383, + 414, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 414, + 395 + ], + "score": 1.0, + "content": "reports training and evaluation hyperparameters we used for all experiments.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 405, + 243, + 415 + ], + "lines": [ + { + "bbox": [ + 106, + 405, + 245, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 245, + 416 + ], + "score": 1.0, + "content": "4.1 MULTI-SPEAKER DATASET", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "We train all models on a private dataset that consists of high-quality recordings of human speech", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "performed by professional voice actors, and corresponding text. 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For evaluation, we focus on the single most prolific speaker in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "our dataset, with all our main MOS results reported with the model conditioned on that speaker ID,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 511, + 500, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 500, + 524 + ], + "score": 1.0, + "content": "but also report MOS results for each of the top four speakers using our main multi-speaker model.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 107, + 533, + 170, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 171, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 171, + 546 + ], + "score": 1.0, + "content": "4.2 RESULTS", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 551, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "In Table 1 we present quantitative results for our EATS model described in Section 2, as well as", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 562, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 506, + 576 + ], + "score": 1.0, + "content": "several ablations of the different model and learning signal components. 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Although it is difficult to compare directly with prior results from the literature", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "due to dataset differences, we nonetheless include MOS results from prior works (Binkowski et al., ´", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 358, + 641 + ], + "score": 1.0, + "content": "2020; van den Oord et al., 2016; 2018), with MOS in the 4.2 to", + "type": "text" + }, + { + "bbox": [ + 359, + 629, + 379, + 640 + ], + "score": 0.83, + "content": "4 . 4 +", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "range. 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We note that the", + "type": "text" + }, + { + "bbox": [ + 289, + 83, + 302, + 93 + ], + "score": 0.88, + "content": "L _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "loss we use (along with (Défossez et al., 2018)), is", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 107 + ], + "score": 1.0, + "content": "comparatively simple, as spectrogram losses in the literature tend to have separate terms penalising", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "magnitudes, log-magnitudes and phase components, each with their own scaling factors, and often", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 129 + ], + "score": 1.0, + "content": "across multiple resolutions. 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Kim", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 172 + ], + "score": 1.0, + "content": "et al. (2020) propose Monotonic Alignment Search (MAS), which relates to DTW in that both use", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 183 + ], + "score": 1.0, + "content": "dynamic programming to implicitly align sequences for TTS. However, they have different goals:", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 180, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 506, + 194 + ], + "score": 1.0, + "content": "MAS finds the optimal alignment between the text and a latent representation, whereas we use", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 191, + 506, + 205 + ], + "score": 1.0, + "content": "DTW to relax the constraints imposed by our spectrogram prediction loss term. Several mechanisms", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 216 + ], + "score": 1.0, + "content": "have been proposed to exploit monotonicity in tasks that require sequence alignment, including", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 506, + 226 + ], + "score": 1.0, + "content": "attention mechanisms (Graves, 2013; Zhang et al., 2018; Vasquez & Lewis, 2019; He et al., 2019;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 226, + 505, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 237 + ], + "score": 1.0, + "content": "Raffel et al., 2017; Chiu & Raffel, 2018), loss functions (Graves et al., 2006; Graves, 2012) and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 236, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 248 + ], + "score": 1.0, + "content": "search-based approaches (Kim et al., 2020). For TTS, incorporating this constraint has been found", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 246, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 261 + ], + "score": 1.0, + "content": "to help generalisation to long sequences (Battenberg et al., 2020). We incorporate monotonicity by", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "score": 1.0, + "content": "using an interpolation mechanism, which is cheap to compute because it is not recurrent (unlike many", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 270, + 246, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 246, + 281 + ], + "score": 1.0, + "content": "monotonic attention mechanisms).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 82, + 506, + 281 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 294, + 192, + 306 + ], + "lines": [ + { + "bbox": [ + 104, + 292, + 195, + 309 + ], + "spans": [ + { + "bbox": [ + 104, + 292, + 195, + 309 + ], + "score": 1.0, + "content": "4 EVALUATION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 330 + ], + "score": 1.0, + "content": "In this section we discuss the setup and results of our empirical evaluation, describing the hyperparam-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "eter settings used for training and validating the architectural decisions and loss function components", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 339, + 504, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 504, + 351 + ], + "score": 1.0, + "content": "detailed in Section 2. Our primary metric used to evaluate speech quality is the Mean Opinion Score", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 350, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 505, + 362 + ], + "score": 1.0, + "content": "(MOS) given by human raters, computed by taking the mean of 1-5 naturalness ratings given across", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 359, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 104, + 359, + 505, + 373 + ], + "score": 1.0, + "content": "1000 held-out conditioning sequences. In Appendix I we also report the Fréchet DeepSpeech Distance", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 371, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 385 + ], + "score": 1.0, + "content": "(FDSD), proposed by Binkowski et al. (2020) as a speech synthesis quality metric. Appendix A ´", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 383, + 414, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 414, + 395 + ], + "score": 1.0, + "content": "reports training and evaluation hyperparameters we used for all experiments.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 315, + 506, + 395 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 405, + 243, + 415 + ], + "lines": [ + { + "bbox": [ + 106, + 405, + 245, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 245, + 416 + ], + "score": 1.0, + "content": "4.1 MULTI-SPEAKER DATASET", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "We train all models on a private dataset that consists of high-quality recordings of human speech", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "performed by professional voice actors, and corresponding text. The voice pool consists of 69 female", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 444, + 506, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 506, + 458 + ], + "score": 1.0, + "content": "and male voices of North American English speakers, while the audio clips contain full sentences of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 304, + 469 + ], + "score": 1.0, + "content": "lengths varying from less than 1 to 20 seconds at", + "type": "text" + }, + { + "bbox": [ + 304, + 456, + 335, + 467 + ], + "score": 0.67, + "content": "2 4 \\mathrm { k H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 455, + 505, + 469 + ], + "score": 1.0, + "content": "frequency. 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For evaluation, we focus on the single most prolific speaker in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 500, + 506, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 506, + 513 + ], + "score": 1.0, + "content": "our dataset, with all our main MOS results reported with the model conditioned on that speaker ID,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 511, + 500, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 500, + 524 + ], + "score": 1.0, + "content": "but also report MOS results for each of the top four speakers using our main multi-speaker model.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 423, + 506, + 524 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 533, + 170, + 544 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 171, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 171, + 546 + ], + "score": 1.0, + "content": "4.2 RESULTS", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 551, + 505, + 651 + ], + "lines": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "In Table 1 we present quantitative results for our EATS model described in Section 2, as well as", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 562, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 506, + 576 + ], + "score": 1.0, + "content": "several ablations of the different model and learning signal components. The architecture and training", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 586 + ], + "score": 1.0, + "content": "setup of each ablation is identical to our base EATS model except in terms of the differences described", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 597 + ], + "score": 1.0, + "content": "by the columns in Table 1. Each ablation is “subtractive”, representing the full EATS system minus", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 505, + 609 + ], + "score": 1.0, + "content": "one particular feature. 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Although it is difficult to compare directly with prior results from the literature", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 506, + 631 + ], + "score": 1.0, + "content": "due to dataset differences, we nonetheless include MOS results from prior works (Binkowski et al., ´", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 628, + 505, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 358, + 641 + ], + "score": 1.0, + "content": "2020; van den Oord et al., 2016; 2018), with MOS in the 4.2 to", + "type": "text" + }, + { + "bbox": [ + 359, + 629, + 379, + 640 + ], + "score": 0.83, + "content": "4 . 4 +", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 628, + 505, + 641 + ], + "score": 1.0, + "content": "range. Compared to these prior", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 640, + 472, + 652 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 472, + 652 + ], + "score": 1.0, + "content": "models, which rely on aligned linguistic features, EATS uses substantially less supervision.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 551, + 506, + 652 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 667 + ], + "score": 1.0, + "content": "The No RWDs, No MelSpecD, and No Discriminators ablations all achieved substantially worse", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 679 + ], + "score": 1.0, + "content": "MOS results than our proposed model, demonstrating the importance of adversarial feedback. In", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "particular, the No RWDs ablation, with an MOS of 2.526, demonstrates the importance of the raw", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "audio feedback, and removing RWDs significantly degrades the high frequency components. 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Samples", + "type": "text", + "cross_page": true + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 627 + ], + "score": 1.0, + "content": "from each ablation are available at https://deepmind.com/research/publications/", + "type": "text", + "cross_page": true + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 626, + 335, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 335, + 636 + ], + "score": 1.0, + "content": "End-to-End-Adversarial-Text-to-Speech.", + "type": "text", + "cross_page": true + } + ], + "index": 30 + } + ], + "index": 49, + "bbox_fs": [ + 105, + 654, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 113, + 80, + 496, + 250 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 113, + 80, + 496, + 250 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 80, + 496, + 250 + ], + "spans": [ + { + "bbox": [ + 113, + 80, + 496, + 250 + ], + "score": 0.985, + "html": "
ModelData InputsRWDMSDLlengthLpred AlignMOS
Natural Speech4.55 ± 0.075
GAN-TTS (Binkowski et al., 2020)4.213 ± 0.046
WaveNet (van den Oord et al.,2016)4.41 ± 0.069
Par: WaveNet (van den Oord et al.,2018)4.41 ± 0.078
Tacotron 2 (Shen et al.,2018)4.526 ±0.066
No LlengthMSPh>>×MI[does not train]
NoLpredMSPh××MI[does not train]
No DiscriminatorsMSPh<>×MI1.407 ± 0.040
No RWDsMSPhMI2.526 ± 0.060
No PhonemesMSChMI3.423 ± 0.073
No MelSpecDMSPhMI3.525 ± 0.057
No Mon. Int.MSPh√ √Attn3.551 ± 0.073
No DTWMSPhMI3.559 ± 0.065
Single SpeakerSSPh<>>×<>>MI3.829 ± 0.055
EATS (Ours)MSPhLpred MI4.083±0.049
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Align describes the architecture of the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 347, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 359 + ], + "score": 1.0, + "content": "aligner as monotonic interpolation (MI) or attention-based (Attn). We also compare against recent", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "state-of-the-art approaches from the literature which are trained on aligned linguistic features (unlike", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "our models). Our MOS evaluation set matches that of GAN-TTS (Binkowski et al., 2020) (and our ´", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "“Single Speaker” training subset matches the GAN-TTS training set); the other approaches are not", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 390, + 295, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 295, + 402 + ], + "score": 1.0, + "content": "directly comparable due to dataset differences.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 9 + } + ], + "index": 5.0 + }, + { + "type": "table", + "bbox": [ + 110, + 420, + 498, + 467 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 110, + 420, + 498, + 467 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 110, + 420, + 498, + 467 + ], + "spans": [ + { + "bbox": [ + 110, + 420, + 498, + 467 + ], + "score": 0.978, + "html": "
Speaker#1#2#3#4
Speaking Time (Hours)51.6831.2120.6810.32
MOS4.083 ± 0.0493.828 ± 0.0514.149 ± 0.0453.761 ± 0.052
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ModelData InputsRWDMSDLlengthLpred AlignMOS
Natural Speech4.55 ± 0.075
GAN-TTS (Binkowski et al., 2020)4.213 ± 0.046
WaveNet (van den Oord et al.,2016)4.41 ± 0.069
Par: WaveNet (van den Oord et al.,2018)4.41 ± 0.078
Tacotron 2 (Shen et al.,2018)4.526 ±0.066
No LlengthMSPh>>×MI[does not train]
NoLpredMSPh××MI[does not train]
No DiscriminatorsMSPh<>×MI1.407 ± 0.040
No RWDsMSPhMI2.526 ± 0.060
No PhonemesMSChMI3.423 ± 0.073
No MelSpecDMSPhMI3.525 ± 0.057
No Mon. Int.MSPh√ √Attn3.551 ± 0.073
No DTWMSPhMI3.559 ± 0.065
Single SpeakerSSPh<>>×<>>MI3.829 ± 0.055
EATS (Ours)MSPhLpred MI4.083±0.049
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The middle columns indicate which components of our final model", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "are enabled or ablated. Data describes the training set as Multispeaker (MS) or Single Speaker", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 384, + 304 + ], + "score": 1.0, + "content": "(SS). 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Align describes the architecture of the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 347, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 505, + 359 + ], + "score": 1.0, + "content": "aligner as monotonic interpolation (MI) or attention-based (Attn). We also compare against recent", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "state-of-the-art approaches from the literature which are trained on aligned linguistic features (unlike", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 381 + ], + "score": 1.0, + "content": "our models). 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Speaker#1#2#3#4
Speaking Time (Hours)51.6831.2120.6810.32
MOS4.083 ± 0.0493.828 ± 0.0514.149 ± 0.0453.761 ± 0.052
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We", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 227, + 334, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 334, + 240 + ], + "score": 1.0, + "content": "enabled the following options that phonemizer provides:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 246, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 448, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 448, + 259 + ], + "score": 1.0, + "content": "• with_stress, which includes primary and secondary stress marks in the output;", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 261, + 299, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 299, + 275 + ], + "score": 1.0, + "content": "• strip, which removes spurious whitespace;", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 108, + 276, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 108, + 276, + 505, + 289 + ], + "score": 1.0, + "content": "• preserve_punctuation, which ensures that punctuation is left unchanged. This is important", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 114, + 287, + 332, + 300 + ], + "spans": [ + { + "bbox": [ + 114, + 287, + 332, + 300 + ], + "score": 1.0, + "content": "because punctuation can meaningfully affect prosody.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 306, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 306, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 319 + ], + "score": 1.0, + "content": "The phoneme sequences produced by phonemizer contain some rare symbols (usually in non-English", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "words), which we replace with more frequent symbols. 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Outputsymbol|x4i;-ir~"
Substitute symbol|kk1j··
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We", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 227, + 334, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 227, + 334, + 240 + ], + "score": 1.0, + "content": "enabled the following options that phonemizer provides:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 183, + 506, + 240 + ] + }, + { + "type": "list", + "bbox": [ + 106, + 246, + 505, + 299 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 448, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 448, + 259 + ], + "score": 1.0, + "content": "• with_stress, which includes primary and secondary stress marks in the output;", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 105, + 261, + 299, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 299, + 275 + ], + "score": 1.0, + "content": "• strip, which removes spurious whitespace;", + "type": "text" + } + ], + "index": 11, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 108, + 276, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 108, + 276, + 505, + 289 + ], + "score": 1.0, + "content": "• preserve_punctuation, which ensures that punctuation is left unchanged. This is important", + "type": "text" + } + ], + "index": 12, + "is_list_start_line": true + }, + { + "bbox": [ + 114, + 287, + 332, + 300 + ], + "spans": [ + { + "bbox": [ + 114, + 287, + 332, + 300 + ], + "score": 1.0, + "content": "because punctuation can meaningfully affect prosody.", + "type": "text" + } + ], + "index": 13, + "is_list_end_line": true + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 246, + 505, + 300 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 306, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 306, + 505, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 319 + ], + "score": 1.0, + "content": "The phoneme sequences produced by phonemizer contain some rare symbols (usually in non-English", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 505, + 330 + ], + "score": 1.0, + "content": "words), which we replace with more frequent symbols. The substitutions we perform are listed in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 327, + 410, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 410, + 341 + ], + "score": 1.0, + "content": "Table 4. This results in a set of 51 distinct symbols. 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ModelMOSFDSD
Natural Speech4.55 ± 0.0750.682
No Discriminators1.407 ± 0.0401.594
No RWDs2.526 ± 0.0600.757
No Phonemes3.423 ± 0.0730.688
No MelSpecD3.525 ± 0.0570.849
No Mon. Int.3.551 ± 0.0730.724
No DTW3.559 ± 0.0650.694
EATS4.083 ± 0.0490.702
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Although they provided useful guidance at the early stages of model iteration", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 335, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 335, + 505, + 347 + ], + "score": 1.0, + "content": "– i.e., were able to clearly distinguish the models that do and do not train – FDSD scores of the models", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "of reasonable quality were not in line with their Mean Opinion Scores, as shown for our ablations in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 357, + 141, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 141, + 370 + ], + "score": 1.0, + "content": "Table 5.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 372, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "A possible reason for FDSD working less well in our setting is the fact that our models rely on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 382, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 397 + ], + "score": 1.0, + "content": "features extracted from spectrograms similar to those computed at the DeepSpeech preprocessing", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "stage. As our models combine losses computed on raw audio and mel-spectrograms, it might be the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 405, + 507, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 507, + 418 + ], + "score": 1.0, + "content": "case that the speech generated by some model is of lower quality, yet has convincing spectrograms.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 416, + 506, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 506, + 428 + ], + "score": 1.0, + "content": "Comparison of two of our ablations seems to affirm this hypothesis: the No MelSpecD model", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 426, + 506, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 223, + 440 + ], + "score": 1.0, + "content": "achieves much higher MOS", + "type": "text" + }, + { + "bbox": [ + 223, + 427, + 253, + 438 + ], + "score": 0.78, + "content": "( \\approx 3 . 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 426, + 372, + 440 + ], + "score": 1.0, + "content": "than the No RWDs ablation", + "type": "text" + }, + { + "bbox": [ + 373, + 427, + 403, + 438 + ], + "score": 0.77, + "content": "( \\approx 2 . 5 )", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 426, + 506, + 440 + ], + "score": 1.0, + "content": "which is optimised only", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "against spectrogram-based losses. 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ModelMOSFDSD
Natural Speech4.55 ± 0.0750.682
No Discriminators1.407 ± 0.0401.594
No RWDs2.526 ± 0.0600.757
No Phonemes3.423 ± 0.0730.688
No MelSpecD3.525 ± 0.0570.849
No Mon. Int.3.551 ± 0.0730.724
No DTW3.559 ± 0.0650.694
EATS4.083 ± 0.0490.702
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FDSD scores presented here", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "were computed on held-out validation multi-speaker set and therefore could not be obtained for the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 249, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 505, + 261 + ], + "score": 1.0, + "content": "Single Speaker ablation. Due to dataset differences, these are also not comparable with the FDSD", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 259, + 340, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 340, + 273 + ], + "score": 1.0, + "content": "values reported for GAN-TTS by Binkowski et al. (2020). ´", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11 + } + ], + "index": 7.5 + }, + { + "type": "title", + "bbox": [ + 107, + 289, + 400, + 303 + ], + "lines": [ + { + "bbox": [ + 104, + 289, + 401, + 305 + ], + "spans": [ + { + "bbox": [ + 104, + 289, + 401, + 305 + ], + "score": 1.0, + "content": "I EVALUATION WITH FRÉCHET DEEPSPEECH DISTANCE", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 313, + 505, + 368 + ], + "lines": [ + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "We found Fréchet DeepSpeech Distances (Binkowski et al., 2020), both conditional and unconditional, ´", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 323, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 505, + 336 + ], + "score": 1.0, + "content": "unreliable in our setting. Although they provided useful guidance at the early stages of model iteration", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 335, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 335, + 505, + 347 + ], + "score": 1.0, + "content": "– i.e., were able to clearly distinguish the models that do and do not train – FDSD scores of the models", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "of reasonable quality were not in line with their Mean Opinion Scores, as shown for our ablations in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 357, + 141, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 141, + 370 + ], + "score": 1.0, + "content": "Table 5.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17, + "bbox_fs": [ + 104, + 313, + 506, + 370 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 372, + 505, + 460 + ], + "lines": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "A possible reason for FDSD working less well in our setting is the fact that our models rely on", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 382, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 397 + ], + "score": 1.0, + "content": "features extracted from spectrograms similar to those computed at the DeepSpeech preprocessing", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "stage. 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Stages1 StageNotes
WaveNet (van den Oord et al.,2016)AAu Ling×
SampleRNN (Mehri et al., 2017)AAu×not a TTS model
Deep Voice (Arik et al.,2017)Ch APhLing ARAu×uses segmentation model
WaveRNN (Kalchbrenner etal.,2018)Ling AR ARAu×
LPCNet (Valin & Skoglund,2019)ARAu Cep×
WaveGlow (Prenger et al.,2019)MelS FF Au×
FloWaveNet (Kim et al.,2019)FAu MelS×
WaveFlow (Ping et al.,2019b)ARAu MelS×partially autoregressive
Par: WaveNet (van den Oord et al.,2018)Ling FF* →Au×distillation
ClariNet (Ping et al.,2019a), teacherARAu Ch/Ph
ClariNet (Ping etal.,2019a),studentAu Ch/Ph×distillation
WaveGAN(Donahue et al.,2019)Au×not a TTS model
MelGAN (Kumar etal., 2019)MelsAu×
Par: WaveGAN(Yamamoto et al.,2020)Ph AMels FAu×
AdVoc (Neekhara et al.,2019)MelsMagS×
GAN-TTS (Binkowski etal., 2020)Ling FAu FF×
Tacotron (Wang et al.,2017)ChAMels MagS→Au×uses Griffin & Lim (1984)
Tacotron 2 (Shen et al.,2018)AMelSAAu Ch×
Deep Voice 2(Gibiansky et al.,2017)×uses segmentation model
DV2 Tacotron (Gibiansky et al.,2017)ChAMagS AAu×
Deep Voice 3 (Ping et al.,2018)Ch AMelS AAu×several alternative vocoders
TransformerTTS(Li etal.,2019)Ch→Ph AMelS AAu×
Flowtron (Valle et al.,2020)Ch AMelsAu×
VoiceLoop (Taigman etal.,2017)Ph ALing → Au×
GAN Exposure (Guo et al.,2019)Ph A MelS A Au×
MelNet (Vasquez & Lewis,2019)AMelS→Au Ch-×
ParaNet (Peng et al.,2019)FF* MelsAu Ch/Ph×distillation
FastSpeech (Ren et al.,2019)FAu Ph FF* MelS×distillation
Flow-TTS (Miao et al.,2020)Mels Au Ch
Glow-TTS(Kim et al.,2020)PhMels Au× ×
Char2wav (Sotelo et al.,2017)ChALing ARAu×end-to-end finetuning
EATS (Ours)Ch/Ph → Au
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Stages1 StageNotes
WaveNet (van den Oord et al.,2016)AAu Ling×
SampleRNN (Mehri et al., 2017)AAu×not a TTS model
Deep Voice (Arik et al.,2017)Ch APhLing ARAu×uses segmentation model
WaveRNN (Kalchbrenner etal.,2018)Ling AR ARAu×
LPCNet (Valin & Skoglund,2019)ARAu Cep×
WaveGlow (Prenger et al.,2019)MelS FF Au×
FloWaveNet (Kim et al.,2019)FAu MelS×
WaveFlow (Ping et al.,2019b)ARAu MelS×partially autoregressive
Par: WaveNet (van den Oord et al.,2018)Ling FF* →Au×distillation
ClariNet (Ping et al.,2019a), teacherARAu Ch/Ph
ClariNet (Ping etal.,2019a),studentAu Ch/Ph×distillation
WaveGAN(Donahue et al.,2019)Au×not a TTS model
MelGAN (Kumar etal., 2019)MelsAu×
Par: WaveGAN(Yamamoto et al.,2020)Ph AMels FAu×
AdVoc (Neekhara et al.,2019)MelsMagS×
GAN-TTS (Binkowski etal., 2020)Ling FAu FF×
Tacotron (Wang et al.,2017)ChAMels MagS→Au×uses Griffin & Lim (1984)
Tacotron 2 (Shen et al.,2018)AMelSAAu Ch×
Deep Voice 2(Gibiansky et al.,2017)×uses segmentation model
DV2 Tacotron (Gibiansky et al.,2017)ChAMagS AAu×
Deep Voice 3 (Ping et al.,2018)Ch AMelS AAu×several alternative vocoders
TransformerTTS(Li etal.,2019)Ch→Ph AMelS AAu×
Flowtron (Valle et al.,2020)Ch AMelsAu×
VoiceLoop (Taigman etal.,2017)Ph ALing → Au×
GAN Exposure (Guo et al.,2019)Ph A MelS A Au×
MelNet (Vasquez & Lewis,2019)AMelS→Au Ch-×
ParaNet (Peng et al.,2019)FF* MelsAu Ch/Ph×distillation
FastSpeech (Ren et al.,2019)FAu Ph FF* MelS×distillation
Flow-TTS (Miao et al.,2020)Mels Au Ch
Glow-TTS(Kim et al.,2020)PhMels Au× ×
Char2wav (Sotelo et al.,2017)ChALing ARAu×end-to-end finetuning
EATS (Ours)Ch/Ph → Au
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ModelData InputsRWDMSDLlengthLpred AlignMOS
Natural Speech4.55 ± 0.075
GAN-TTS (Binkowski et al., 2020)4.213 ± 0.046
WaveNet (van den Oord et al.,2016)4.41 ± 0.069
Par: WaveNet (van den Oord et al.,2018)4.41 ± 0.078
Tacotron 2 (Shen et al.,2018)4.526 ±0.066
No LlengthMSPh>>×MI[does not train]
NoLpredMSPh××MI[does not train]
No DiscriminatorsMSPh<>×MI1.407 ± 0.040
No RWDsMSPhMI2.526 ± 0.060
No PhonemesMSChMI3.423 ± 0.073
No MelSpecDMSPhMI3.525 ± 0.057
No Mon. Int.MSPh√ √Attn3.551 ± 0.073
No DTWMSPhMI3.559 ± 0.065
Single SpeakerSSPh<>>×<>>MI3.829 ± 0.055
EATS (Ours)MSPhLpred MI4.083±0.049
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Speaker#1#2#3#4
Speaking Time (Hours)51.6831.2120.6810.32
MOS4.083 ± 0.0493.828 ± 0.0514.149 ± 0.0453.761 ± 0.052
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ModelMOSFDSD
Natural Speech4.55 ± 0.0750.682
No Discriminators1.407 ± 0.0401.594
No RWDs2.526 ± 0.0600.757
No Phonemes3.423 ± 0.0730.688
No MelSpecD3.525 ± 0.0570.849
No Mon. Int.3.551 ± 0.0730.724
No DTW3.559 ± 0.0650.694
EATS4.083 ± 0.0490.702
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Stages1 StageNotes
WaveNet (van den Oord et al.,2016)AAu Ling×
SampleRNN (Mehri et al., 2017)AAu×not a TTS model
Deep Voice (Arik et al.,2017)Ch APhLing ARAu×uses segmentation model
WaveRNN (Kalchbrenner etal.,2018)Ling AR ARAu×
LPCNet (Valin & Skoglund,2019)ARAu Cep×
WaveGlow (Prenger et al.,2019)MelS FF Au×
FloWaveNet (Kim et al.,2019)FAu MelS×
WaveFlow (Ping et al.,2019b)ARAu MelS×partially autoregressive
Par: WaveNet (van den Oord et al.,2018)Ling FF* →Au×distillation
ClariNet (Ping et al.,2019a), teacherARAu Ch/Ph
ClariNet (Ping etal.,2019a),studentAu Ch/Ph×distillation
WaveGAN(Donahue et al.,2019)Au×not a TTS model
MelGAN (Kumar etal., 2019)MelsAu×
Par: WaveGAN(Yamamoto et al.,2020)Ph AMels FAu×
AdVoc (Neekhara et al.,2019)MelsMagS×
GAN-TTS (Binkowski etal., 2020)Ling FAu FF×
Tacotron (Wang et al.,2017)ChAMels MagS→Au×uses Griffin & Lim (1984)
Tacotron 2 (Shen et al.,2018)AMelSAAu Ch×
Deep Voice 2(Gibiansky et al.,2017)×uses segmentation model
DV2 Tacotron (Gibiansky et al.,2017)ChAMagS AAu×
Deep Voice 3 (Ping et al.,2018)Ch AMelS AAu×several alternative vocoders
TransformerTTS(Li etal.,2019)Ch→Ph AMelS AAu×
Flowtron (Valle et al.,2020)Ch AMelsAu×
VoiceLoop (Taigman etal.,2017)Ph ALing → Au×
GAN Exposure (Guo et al.,2019)Ph A MelS A Au×
MelNet (Vasquez & Lewis,2019)AMelS→Au Ch-×
ParaNet (Peng et al.,2019)FF* MelsAu Ch/Ph×distillation
FastSpeech (Ren et al.,2019)FAu Ph FF* MelS×distillation
Flow-TTS (Miao et al.,2020)Mels Au Ch
Glow-TTS(Kim et al.,2020)PhMels Au× ×
Char2wav (Sotelo et al.,2017)ChALing ARAu×end-to-end finetuning
EATS (Ours)Ch/Ph → Au
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