RNNs are not Transformers (Yet): The Key Bottleneck on In-context Retrieval

This paper investigates the gap in representation powers of Recurrent Neural Networks (RNNs) and Transformers in the context of solving algorithmic problems. We focus on understanding whether RNNs, known for their memory efficiency in handling long sequences, can match the performance of Transformers, particularly when enhanced with Chain-of-Thought (CoT) prompting. Our theoretical analysis reveals that CoT improves RNNs but is insufficient to close the gap with Transformers. A key bottleneck lies in the inability of RNNs to perfectly retrieve information from the context, even with CoT: for several tasks that explicitly or implicitly require this capability, such as associative recall and determining if a graph is a tree, we prove that RNNs are not expressive enough to solve the tasks while Transformers can solve them with ease. Conversely, we prove that adopting techniques to enhance the in-context retrieval capability of RNNs, including Retrieval-Augmented Generation (RAG) and adding a single Transformer layer, can elevate RNNs to be capable of solving all polynomial-time solvable problems with CoT, hence closing the representation gap with Transformers.

Transformers are uninterpretable with myopic methods: a case study with bounded Dyck grammars

Interpretability methods aim to understand the algorithm implemented by a trained model (e.g., a Transofmer) by examining various aspects of the model, such as the weight matrices or the attention patterns. In this work, through a combination of theoretical results and carefully controlled experiments on synthetic data, we take a critical view of methods that exclusively focus on individual parts of the model, rather than consider the network as a whole. We consider a simple synthetic setup of learning a (bounded) Dyck language. Theoretically, we show that the set of models that (exactly or approximately) solve this task satisfy a structural characterization derived from ideas in formal languages (the pumping lemma). We use this characterization to show that the set of optima is qualitatively rich; in particular, the attention pattern of a single layer can be ``nearly randomized'', while preserving the functionality of the network. We also show via extensive experiments that these constructions are not merely a theoretical artifact: even after severely constraining the architecture of the model, vastly different solutions can be reached via standard training. Thus, interpretability claims based on inspecting individual heads or weight matrices in the Transformer can be misleading.

Sharpness Minimization Algorithms Do Not Only Minimize Sharpness To Achieve Better Generalization

Despite extensive studies, the underlying reason as to why overparameterized neural networks can generalize remains elusive. Existing theory shows that common stochastic optimizers prefer flatter minimizers of the training loss, and thus a natural potential explanation is that flatness implies generalization. This work critically examines this explanation. Through theoretical and empirical investigation, we identify the following three scenarios for two-layer ReLU networks: (1) flatness provably implies generalization; (2) there exist non-generalizing flattest models and sharpness minimization algorithms fail to generalize, and (3) perhaps most surprisingly, there exist non-generalizing flattest models, but sharpness minimization algorithms still generalize. Our results suggest that the relationship between sharpness and generalization subtly depends on the data distributions and the model architectures and sharpness minimization algorithms do not only minimize sharpness to achieve better generalization. This calls for the search for other explanations for the generalization of over-parameterized neural networks.

Practically Solving LPN in High Noise Regimes Faster Using Neural Networks

We conduct a systematic study of solving the learning parity with noise problem (LPN) using neural networks. Our main contribution is designing families of two-layer neural networks that practically outperform classical algorithms in high-noise, low-dimension regimes. We consider three settings where the numbers of LPN samples are abundant, very limited, and in between. In each setting we provide neural network models that solve LPN as fast as possible. For some settings we are also able to provide theories that explain the rationale of the design of our models. Comparing with the previous experiments of Esser, Kubler, and May (CRYPTO 2017), for dimension $n = 26$, noise rate $\tau = 0.498$, the ''Guess-then-Gaussian-elimination'' algorithm takes 3.12 days on 64 CPU cores, whereas our neural network algorithm takes 66 minutes on 8 GPUs. Our algorithm can also be plugged into the hybrid algorithms for solving middle or large dimension LPN instances.

Finding Skill Neurons in Pre-trained Transformer-based Language Models

Transformer-based pre-trained language models have demonstrated superior performance on various natural language processing tasks. However, it remains unclear how the skills required to handle these tasks distribute among model parameters. In this paper, we find that after prompt tuning for specific tasks, the activations of some neurons within pre-trained Transformers are highly predictive of the task labels. We dub these neurons skill neurons and confirm they encode task-specific skills by finding that: (1) Skill neurons are crucial for handling tasks. Performances of pre-trained Transformers on a task significantly drop when corresponding skill neurons are perturbed. (2) Skill neurons are task-specific. Similar tasks tend to have similar distributions of skill neurons. Furthermore, we demonstrate the skill neurons are most likely generated in pre-training rather than fine-tuning by showing that the skill neurons found with prompt tuning are also crucial for other fine-tuning methods freezing neuron weights, such as the adapter-based tuning and BitFit. We also explore the applications of skill neurons, including accelerating Transformers with network pruning and building better transferability indicators. These findings may promote further research on understanding Transformers. The source code can be obtained from https://github.com/THU-KEG/Skill-Neuron.

How Does Sharpness-Aware Minimization Minimize Sharpness?

Sharpness-Aware Minimization (SAM) is a highly effective regularization technique for improving the generalization of deep neural networks for various settings. However, the underlying working of SAM remains elusive because of various intriguing approximations in the theoretical characterizations. SAM intends to penalize a notion of sharpness of the model but implements a computationally efficient variant; moreover, a third notion of sharpness was used for proving generalization guarantees. The subtle differences in these notions of sharpness can indeed lead to significantly different empirical results. This paper rigorously nails down the exact sharpness notion that SAM regularizes and clarifies the underlying mechanism. We also show that the two steps of approximations in the original motivation of SAM individually lead to inaccurate local conclusions, but their combination accidentally reveals the correct effect, when full-batch gradients are applied. Furthermore, we also prove that the stochastic version of SAM in fact regularizes the third notion of sharpness mentioned above, which is most likely to be the preferred notion for practical performance. The key mechanism behind this intriguing phenomenon is the alignment between the gradient and the top eigenvector of Hessian when SAM is applied.

Realistic Deep Learning May Not Fit Benignly

Studies on benign overfitting provide insights for the success of overparameterized deep learning models. In this work, we examine the benign overfitting phenomena in real-world settings. We found that for tasks such as training a ResNet model on ImageNet dataset, the model does not fit benignly. To understand why benign overfitting fails in the ImageNet experiment, we analyze previous benign overfitting models under a more restrictive setup where the number of parameters is not significantly larger than the number of data points. Under this mild overparameterization setup, our analysis identifies a phase change: unlike in the heavy overparameterization setting, benign overfitting can now fail in the presence of label noise. Our study explains our empirical observations, and naturally leads to a simple technique known as self-training that can boost the model's generalization performances. Furthermore, our work highlights the importance of understanding implicit bias in underfitting regimes as a future direction.