Recurrent Neural Networks, Explained and Visualized from the Ground Up | by Andre Ye | Jun, 2023


The design of the Recurrent Neural Network (1985) is premised upon two observations about how an ideal model, such as a human reading text, would process sequential information:

  • It should track the information ‘learned’ so far so it can relate new information to previously seen information. To understand the sentence “the quick brown fox jumped over the lazy dog”, I need to keep track of the words ‘quick’ and ‘brown’ to understand later that these apply to the word ‘fox’. If I do not retain any of this information in my ‘short-term memory’, so to speak, I will not understand the sequential significance of information. When I finish the sentence on ‘lazy dog’, I read this noun in relationship to the ‘quick brown fox’ which I previous encountered.
  • Even though later information will always be read in the context of earlier information, we want to process each word (token) in a similar way regardless of its position. We should not for some reason systematically transform the word at the third position different from the word in the first position, even though we might read the former in light of the latter. Note that the previous proposed approach — in which embeddings for all tokens are stacked side-to-side and presented simultaneously to the model — does not possess this property, since there is no guarantee that the embedding corresponding to the first word is read with the same rules as the embedding corresponding to the third one. This general property is also known as positional invariance.

A Recurrent Neural Network is comprised, at the core, of recurrent layers. A recurrent layer, like a feed-forward layer, is a set of learnable mathematical transformations. It turns out that we can approximately understand recurrent layers in terms of Multi-Layer Perceptrons.

The ‘short-term memory’ of a recurrent layer is referred to as its hidden state. This is a vector — just a list of numbers — which communicates crucial information about what the network has learned so far. Then, for every token in the standardized text, we incorporate the new information into the hidden state. We do this using two MLPs: one MLP transforms the current embedding, and the other transforms the current hidden state. The outputs of these two MLPs are added together to form the updated hidden state, or the ‘updated short-term memory’.

We then repeat this for the next token — the embedding is passed into an MLP and the updated hidden state is passed into another; the outputs of both are added together. This is repeated for each token in the sequence: one MLP transforms the input into a form ready for incorporation into short term memory (hidden state), while another prepares the short term memory (hidden state) to be updated. This satisfies our first requirement — that we want to read new information in context of old information. Moreover, both of these MLPs are the same across each timestep. That is, we use the same rules for how to merge the current hidden state with new information. This satisfies our second requirement — that we must use the same rules for each timestep.

Both of these MLPs are generally implemented as just one layer deep: that is, it is just one large stack of logistic regressions. For instance, the following figure demonstrates how the architecture for MLP A might look like, assuming that each embedding is eight numbers long and that the hidden state also consists of eight numbers. This is a simple but effective transformation to map the embedding vector to a vector suitable for merging with the hidden state.

When we finish incorporating the last token into the hidden state, the recurrent layer’s job is finished. It has produced a vector — a list of numbers — which represents information accumulated by reading over a sequence of tokens in a sequential way. We can then pass this vector through a third MLP, which learns the relationship between the ‘current state of memory’ and the prediction task (in this case, whether the stock price went down or up).

The mechanics for updating the weights are too complex to discuss in detail in this book, but it is similar to the logic of the backpropagation algorithm. The additional complication is to trace the compounded effect of each parameter acting repeatedly on its own output (hence the ‘recurrent’ nature of the model), which can mathematically be addressed with a modified algorithm termed ‘backpropagation through time’.

The Recurrent Neural Network is a fairly intuitive way to approach the modeling of sequential data. It is yet another case of complex arrangements of linear regression models, but it is quite powerful: it allows us to systematically approach difficult sequential learning problems such as language.

For convenience of diagramming and simplicity, you will often see the recurrent layer represented simply as a block, rather than as an expanded cell acting sequentially on a series of inputs.

This is the simplest flavor of a Recurrent Neural Network for text: standardized input tokens are mapped to embeddings, which are fed into a recurrent layer; the output of the recurrent layer (the ‘most recent state of memory’) is processed by an MLP and mapped to a predicted target.

Recurrent layers allow for networks to approach sequential problems. However, there are a few problems with our current model of a Recurrent Neural Network. To understand how recurrent neural networks are used in real applications to model difficult problems, we need to add a few more bells and whistles.

One of these problems is a lack of depth: a recurrent layer simply passes once over the text, and thus obtains only a surface-level, cursory reading of the content. Consider the sentence “Happiness is not an ideal of reason but of imagination”, from the philosopher Immanuel Kant. To understand this sentence in its true depth, we cannot simply pass over the words once. Instead, we read over the words, and then — this is the critical step — we read over our thoughts. We evaluate if our immediate interpretation of the sentence makes sense, and perhaps modify it to make deeper sense. We might even read over our thoughts about our thoughts. This all happens very quickly and often without our conscious knowledge, but it is a process which enables us to extract multiple layers of depth from the content of text.

Correspondingly, we can add multiple recurrent layers to increase the depth of understanding. While the first recurrent layer picks up on surface-level information form the text, the second recurrent layer reads over the ‘thoughts’ of the first recurrent layer. The double-informed ‘most recent memory state’ of the second layer is then used as the input to the MLP which makes the final decision. Alternatively, we could add more than two recurrent layers.

To be specific about how this stacking mechanism works, consult the following figure: rather than simply passing each hidden state on to be updated, we also give this input state to the next recurrent layer. While the first input to the first recurrent layer is an embedding, the first input to the second recurrent layer is “what the first recurrent layer thought about the first input”.

Almost all Recurrent Neural Networks employed for real-world language modeling problems use stacks of recurrent layers rather than a single recurrent layer due to the increased depth of understanding and language reasoning. For large stacks of recurrent layers, we often use recurrent residual connections. Recall the concept of a residual connection, in which an earlier version of information is added to a later version of information. Similarly, we can place residual connections between the hidden states of each layer such that layers can refer to various ‘depths of thinking’.

While recurrent models may perform well on short and simple sentences such as “feds announce recession”, financial documents and news articles are often much longer than a few words. For longer sequences, standard recurrent models run into a persistent long-term memory loss problem: often the signal or importance of words earlier on in the sequence are diluted and overshadowed by later words. Since each timestep adds its own influence to the hidden state, it partially destroys a bit of the earlier information. Thus, at the end of the sequence, most of the information at the beginning becomes unrecoverable. The recurrent model has a narrow window of attentive focus/memory. If we want to make a model which can look over and analyze documents with comparable understanding and depth as a human, we need to address this memory problem.

The Long Short-Term Memory (LSTM) (1997) layer is a more complex recurrent layer. Its specific mechanics are too complex to be discussed accurately or completely in this book, but we can roughly understand it as an attempt to separate ‘long-term memory’ from ‘short-term memory’. Both components are relevant when ‘reading’ over a sequence: we need long-term memory to track information across large distances in time, but also short-term memory to focus on specific, localized information. Therefore, instead of just storing a single hidden state, the LSTM layer also uses a ‘cell state’ (representing the ‘long term memory’).

Each step, the input is incorporated with the hidden state in the same fashion as in the standard recurrent layer. Afterwards, however, comes three steps:

  1. Long-term memory clearing. Long-term memory is precious; it holds information that we will keep throughout time. The current short-term memory state is used to determine what part of the long-term memory is no longer needed and ‘cuts it out’ to make room for new memory.
  2. Long-term memory update. Now that space has been cleared in the long-term memory, the short-term memory is used to update (add to) the long-term memory, thereby committing new information to long-term memory.
  3. Short-term memory informing. At this point, the long-term memory state is fully updated with respect to the current timestep. Because we want the long-term memory to inform how short-term memory function, the long-term memory helps cut out and modify the short-term memory. Ideally, the long-term memory is greater oversight on what is important and what is not important to keep in short-term memory.

Therefore, the short-term memory and long-term memory — which, remember, are both lists of numbers — interact with each other and the input at each timestep to read the input sequence in a way which allows for close reading without catastrophic forgetting. This three-step process is depicted graphically in the following figure. A +indicates information addition, whereas x indicates information removing or cleansing. (Addition and multiplication are the mathematical operations used to implement these ideas in practice. Say the current value of the hidden state is 10. If I multiply it by 0.1, it becomes 1 — therefore, I have ‘cut down’ the information in the hidden state.)

Using stacks of LSTMs with residual connections, we can build powerful language interpretation models which are capable of reading (‘understanding’, if you like) paragraphs and even entire articles of text. Besides being used in financial analysis to pore through large volumes of financial and news reports, such models can also be used to predict potentially suicidal or terroristic individuals from their social media post texts and messages, to recommend customers novel products they are likely to purchase given their previous product reviews, and to detect toxic or harassing comments and posts on online platforms.

Such applications force us to think critically about their material philosophical implications. The government has a strong interest in detecting potential terrorists, and the shooters behind recent massacres have often been shown to have had a troubling public social media record — but the tragedy was that they were not found in a sea of Internet information. Language models like recurrent models, as you have seen for yourself, function purely mathematically: they attempt to find the weights and biases which best model the relationship between the input text and the output text. But to the extent that these weights and biases mean something, they can ‘read’ information in an effective and exceedingly quick manner — much more quickly and maybe even more effectively than human readers. These models may allow the government to detect, track, and stop potential terrorists before they act. Of course, this can come at the cost of privacy. Moreover, we have seen how language models — while capable of mechanically tracking down patterns and relationships within the data — are really just mathematical algorithms which are capable of making mistakes. How should a model’s mistaken labeling of an individual as a potential terrorist be reconciled?

Social media platforms, both under pressure from users and the government, want to reduce harassment and toxicity on online forums. This may seem to be a deceptively simple task, conceptually speaking: label a corpus of social media comments as toxic or not toxic, then train a language model to predict a particular text sample’s toxicity. The immediate problem is that digital discourse is incredibly challenging due to the reliance upon quickly changing references (memes), in-jokes, well-veiled sarcasm, and prerequisite contextual knowledge. The more interesting philosophical problem, however, is if one can and should really train a mathematical model (an ‘objective’ model) to predict a seemingly ‘subjective’ target like toxicity. After all, what is toxic to one individual may not be toxic to another.

As we venture into models which work with increasingly personal forms of data — language being the medium through which we communicate and absorb almost all of our knowledge — we find an increased significance to think about and work towards answering these questions. If you are interested in this line of research, you may want to look into alignment, jury learning, constitutional AI, RLHF, and value pluralism.

Concepts: multi-output recurrent models, bidirectionality, attention

Machine translation is an incredible technology: it allows individuals who previously could not communicate at all without significant difficulty to engage in free dialogue. A Hindi speaker can read a website written in Spanish with a click of a ‘Translate this page’ button, and vice versa. An English speaker watching a Russian movie can enable live-translated transcriptions. A Chinese tourist in France can order food by obtaining a photo-based translation of the menu. Machine translation, in a very literal way, melds languages and cultures together.

Prior to the rise of deep learning, the dominant approach to machine translation was based on lookup tables. For instance, in Chinese, ‘I’ translates to ‘我’, ‘drive’ translates to ‘开’, and ‘car’ translates to ‘车’. Thus ‘I drive car’ would be translated word-to-word as ‘我开车’. Any bilingual speaker, however, knows the weaknesses of this system. Many words which are spelled the same have different meanings. One language may have multiple words which are translated in another language as just one word. Moreover, different languages have different grammatical structures, so the translated words themselves would need to be rearranged. Articles in English have multiple different context-dependent translations in gendered languages like Spanish and French. Many attempts to reconcile these problems with clever linguistic solutions have been devised, but are limited in efficacy to short and simple sentences.

Deep learning, on the other hand, provides us the chance to build models which more deeply understand language — perhaps even closer to how humans understand language — and therefore more effectively perform the important task of translation. In this section, we will introduce multiple additional ideas from the deep modeling of language and culminate in a technical exploration of how Google Translate works.

Currently, the most glaring obstacle to building a viable recurrent model is the inability to output text. The previously discussed recurrent models could ‘read’ but not ‘write’ — the output, instead, was a single number (or a collection of numbers, a vector). To address this, we need to endow language models with the ability to output entire series of text.

Luckily, we do not have to do much work. Recall the previously introduced concept of recurrent layer stacking: rather than only collecting the ‘memory state’ after the recurrent layer has run through the entire sequence, we collect the ‘memory state’ at each timestep. Thus, to output a sequence, we can collect the output of a memory state at each timestep. Then, we pass each memory state into a designated MLP which predicts which word of the output vocabulary to predict given the memory state (marked as ‘MLP C’). The word with the highest predicted probability is selected as the output.

To be absolutely clear about how each memory-state is transformed into an output prediction, consider the following progression of figures.

In the first figure, the first outputted hidden state (this the hidden state derived after the layer has read the first word, ‘the’) is passed into MLP C. MLP C outputs a probability distribution over the output vocabulary; that is, it gives each word in the output vocabulary a probability indicating how likely it is for that word to be chosen as the translation at that time. This is a feedforward network: we are essentially performing a logistic regression on the hidden state to determine the likelihood of a given word. Ideally, the word with the largest probability should be ‘les’, since this is the French translation of ‘the’.

The next hidden state, derived after the recurrent layer has read through both ‘the’ and ‘machines’, is passed into MLP C again. This time, the word with the highest probability should ideally be ‘machine’ (this is the plural translation of ‘machines’ in French).

The most likely word selected in the last timestep should be ‘gagnent’, which is the translation for ‘win’ in its particular tense. The model should select ‘gagnent’ and not ‘gagner’, or some different tense of the word, based on the previous information it has read. This is where the advantages of using a deep learning model for translation shines: the ability to grasp grammatical rules which manifest across the entire sentence.

Practically speaking, we often want to stack multiple recurrent layers together rather than just a single recurrent layer. This allows us to develop multiple layers of understanding, first ‘understanding’ what the input text means, then re-expressing the ‘meaning’ of the input text in terms of the output language.

Note that the recurrent layer proceeds sequentially. When it reads the text “the machines win”, it first reads “the”, then “machines”, then “win”. While the last word, “win”, is read in context of the previous words “the” and “machines”, this converse is not true: the first word, “the”, is not read in context of the later words “machines” and “win”. This is a problem, because language is often spoken in anticipation of what we will say later. In a gendered language like French, an article like “the” can take on many different forms — “la” for a feminine object, “le” for a masculine object, and “les” for plural objects. We do not know which version of “the” to translate. Of course, once we read the rest of the sentence — “the machines” — we know that the object is plural and that we should use “les”. This is a case in which earlier parts of a text are informed by later parts. More generally speaking, when we re-read a sentence — which we often do instinctively without realizing it — we are reading the beginning in context of the beginning. Even though language is read in sequence, it must often be interpreted ‘out of sequence’ (that is, not strictly unidirectionally from-beginning-to-end).

To address this problem, we can use bidirectionality — a simple modification to recurrent models which enables layers to ‘read’ both forwards and backwards. A bidirectional recurrent layer is really two different recurrent layers. One layer reads forward in time, whereas the other reads backwards. After both are finished reading, their outputs at each timestep are added together.

Bidirectionality enables the model to read text in a way such that the past is read in the context of the future, in addition to reading the future in context of the past (the default functionality of a recurrent layer). Note that the output of the bidirectional recurrent layer at each timestep is informed by the entire sequence rather than just all the timesteps before it. For instance, in a 10-timestep sequence, the timestep at t = 3 is informed by a ‘memory state’ which has already read through the sequence [t = 0] → [t = 1] → [t = 2] → [t = 3] as well as another ‘memory state’ which has already read through the sequence [t = 9] → [t = 8] → [t = 7] → [t = 6] → [t = 5] → [t = 4] → [t = 3].

This simple modification enables significantly richer depth of language understanding.

Our current working model of a translation model is a large stack of (bidirectional) recurrent layers. However, there is a problem: when we translate some text A into some other text B, we don’t just write B with reference to A, we also write B in reference to itself.

We can’t directly translate complex sentences from the Russian “Грузовик внезапно остановился потому что дорогу переходила курица” into the English “The truck suddenly stopped because a chicken was crossing the road” by directly reading out the Russian: if we translated the Russian word-for-word in order, we would get “Truck suddenly stopped because road was crossed by chicken”. In Russian, the object is placed after the noun, but keeping this form in English is certainly readable but not smooth nor ‘optimal’, so to speak. The key idea is this: to obtain a comprehensible and usable translation, we not only need to make sure the translation is faithful to the original text but also ‘faithful to itself’ (self-consistent).

In order to do this, we need a different text generation called autoregressive generation. This allows the model to translate each word not only in relationship to the original text, but to what the model has already translated. Autoregressive generaiton is the dominant paradigm not only for neural translation models but for all sorts of modern text generation models, including advanced chatbots and content generators.

We begin with an ‘encoder’ model. The encoder model, in this case, can be represented as a stack of recurrent layers. The encoder reads in the input sequence and derives a single output, the encoded representation. This single list of numbers represents the ‘essence’ of the input text sequence in quantitative form — its ‘universal/real meaning’, if you will. The objective of the encoder is to distill the input sequence into this fundamental packet of meaning.

Once this encoded representation has been obtained, we begin the task of decoding. The decoder is similarly structured to the encoder — we can think of it as another stack of recurrent layers which accepts a sequence and produces an output. In this case, the decoder accepts the encoded representation (i.e. the output of the encoder) and a special ‘start token’ (denoted </s>). The start token represents the beginning of a sentence. The decoder’s task is to predict the next word in the given sentence; in this case, it is given a ‘zero-word sentence’ and therefore must predict the first word. In this case, there is no previous translated content, so the decoder is relying wholly on the encoded representation: it predicts the first word, ‘The’.

Next is the key autoregressive step: we take the decoder’s previous outputs and plug them back into the decoder. We now have a ‘one-word sentence’ (the start token followed by the word ‘The’). Both tokens are passed into the decoder, along the encoded representation — the same one as before, outputted by the encoder — and now the decoder predicts the next word, “truck”.

This token is then treated as another input. Here, we can more clearly realize why autoregressive generation is a helpful algorithmic scaffold for text generation: being given the knowledge that the current working sentence is “The truck” constrains how we can complete it. In this case, the next word will likely be a verb or an adverb, which we ‘know’ as a grammatical structure. On the other hand, if the decoder only had access to the original Russian text, it would not be able to effectively constrain the set of possibilities. In this case, the decoder is able to reference both what has previously been translated and the meaning of the original Russian sentence to correctly predict the next word as “suddenly”.

This autoregressive generation process continues:

Lastly, to end a sentence, the decoder model predicts a designated ‘end token’ (denoted as </e>). In this case, the decoder will have ‘matched’ the current translated sentence against the encoded representation to determine whether the translation is satisfactory and stop the sentence generation process.

By now, we’ve covered a lot of ground. Now, we have most of the pieces needed to develop a somewhat thorough understanding of how the model for Google Translate was designed. I need to say very little towards the significance of a model like that provided by Google Translate: even if rough, an accurate and accessible neural machine translation system breaks down many language barriers. For us, this particular model helps unify many of the concepts we’ve talked about in one cohesive application.

This information is taken from the 2016 Google Neural Machine Translation paper, which introduced Google’s deep learning system for machine translation. While it is almost certain that the model in use has changed in the many years since then, this system still provides an interesting case study into neural machine translation systems. For clarity, we will refer to this system as ‘Google Translate’, acknowledging that it is likely not current.

Google Translate uses an encoder-decoder autoregressive model. That is, the model consists of encoder component and a decoder component; the decoder is autoregressive (recall from earlier: it accepts previously generated outputs as an input in addition to other information, in this case the output of the encoder).

The encoder is a stack of seven long short-term memory (LSTM) layers. The first layer is bidirectional (there are therefore technically 8 layers, since a bidirectional layer ‘counts as two’), which allows it to capture important patterns in the input text going in both directions (bottom figure, left). Moreover, the architecture employs residual connections between every layer (bottom figure, right). Recall from previous discussion that residual connections in recurrent neural networks can be implemented by adding the input to a recurrent layer to the output at every timestep, such that the recurrent layer ends up learning the optimal difference to apply to the input.

The decoder is also a stack of eight LSTM layers. It accepts the previously generated sequence in autoregressive fashion, beginning with the start token </s>. The Google Neural Machine Translation architecture, however, uses both autoregressive generation and attention.

Attention scores are computed for each of the original text words (represented by hidden states in the encoder, which iteratively transform text but still positionally represents it). We can think of attention as a dialogue between the decoder and the encoder. The decoder says: “I have generated [sentence] so far, I want to predict the next translated word. Which words in the original sentence are most relevant to this next translated word?” The encoder replies, “Let me look at what you are thinking about, and I will match it to what I have learned about each word in the original input… ah, you should pay attention to [word A] but not so much to [word B] and [word C], they are less relevant to predicting the next particular word.” The decoder thanks the encoder: “I will think about this information to determine how I go about generating, such that I indeed focus on [word A].” Information about attention is sent to every LSTM layer, such that this attention information is known at all levels of generation.

This represents the main mass of the Google Neural Machine Translation system. The model is trained on a large dataset of translation tasks: given the input in English, say, predict the output in Spanish. The model learns the optimal ways of reading (i.e. the parameters in the encoder), the optimal ways of attending to the input (i.e. the attention calculation), and the optimal ways of relating the attended input to an output in Spanish (i.e. the parameters in the decoder).

Subsequent work has expanded neural machine translation systems to multilingual capability, in which a single model can be used to translate between multiple pairs of languages. This is not only necessary from a practical standpoint — it is infeasible to train and store a model for every pair of languages — but also has shown to improve the translation between any two pair of languages. Moreover, the GNMT paper provides details on training — this is a very deep architecture which is constrained by hardware — and actual deployment — large models are slow not only to train but also to get predictions on, but Google Translate users don’t want to have to wait more than a few seconds to translate text.

While the GNMT system certainly is a landmark in computational language understanding, just a few years later a new, in some ways radically simplified, approach would completely change up language modeling — and do away altogether with the once-common recurrent layers which we so painstakingly worked to understand. Keep posted for a second post on Transformers!



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