Phi-4-Mini Technical Report: Compact yet Powerful Multimodal Language Models via Mixture-of-LoRAs

We introduce Phi-4-Mini and Phi-4-Multimodal, compact yet highly capable language and multimodal models. Phi-4-Mini is a 3.8-billion-parameter language model trained on high-quality web and synthetic data, significantly outperforming recent open-source models of similar size and matching the performance of models twice its size on math and coding tasks requiring complex reasoning. This achievement is driven by a carefully curated synthetic data recipe emphasizing high-quality math and coding datasets. Compared to its predecessor, Phi-3.5-Mini, Phi-4-Mini features an expanded vocabulary size of 200K tokens to better support multilingual applications, as well as group query attention for more efficient long-sequence generation. Phi-4-Multimodal is a multimodal model that integrates text, vision, and speech/audio input modalities into a single model. Its novel modality extension approach leverages LoRA adapters and modality-specific routers to allow multiple inference modes combining various modalities without interference. For example, it now ranks first in the OpenASR leaderboard to date, although the LoRA component of the speech/audio modality has just 460 million parameters. Phi-4-Multimodal supports scenarios involving (vision + language), (vision + speech), and (speech/audio) inputs, outperforming larger vision-language and speech-language models on a wide range of tasks. Additionally, we experiment to further train Phi-4-Mini to enhance its reasoning capabilities. Despite its compact 3.8-billion-parameter size, this experimental version achieves reasoning performance on par with or surpassing significantly larger models, including DeepSeek-R1-Distill-Qwen-7B and DeepSeek-R1-Distill-Llama-8B.

AlignFormer: Modality Matching Can Achieve Better Zero-shot Instruction-Following Speech-LLM

Integrating speech into LLM (speech-LLM) has gaining increased attention recently. The mainstream solution is to connect a well-trained speech encoder and LLM with a neural adapter. However, the length mismatch between the speech and text sequences are not well handled, leading to imperfect modality matching between the speech and text. In this work, we propose a novel neural adapter, AlignFormer, to reduce the length gap between the two modalities. AlignFormer consists of CTC and dynamic-window QFormer layers, where the CTC alignment provides the dynamic window information for qformer layers. The LLM backbone is frozen in training to preserve its text capability, especially the instruction following capability. When training with only the ASR data, the proposed AlignFormer unlocks the instruction following capability for speech-LLM and the model can perform zero-shot speech translation (ST) and speech question answering (SQA) tasks. In fact, speech-LLM with AlignFormer can theoretically perform any tasks that the LLM backbone can deal with in the speech version. To evaluate the effectiveness of the instruction-following speech-LLM, we propose to use instruction following rate (IFR) and offer a systematic perspective for the IFR evaluation. In addition, we find that the audio position in training would affect the instruction following capability of speech-LLM and conduct an in-depth study on it. Our findings show that audio-first training achieves higher IFR than instruction-first training. The AlignFormer can achieve a near 100% IFR with audio-first training and game-changing improvements from zero to non-zero IFR on some evaluation data with instruction-first training. We believe that this study is a big step towards the perfect speech and text modality matching in the LLM embedding space.

CTC-GMM: CTC guided modality matching for fast and accurate streaming speech translation

Models for streaming speech translation (ST) can achieve high accuracy and low latency if they're developed with vast amounts of paired audio in the source language and written text in the target language. Yet, these text labels for the target language are often pseudo labels due to the prohibitive cost of manual ST data labeling. In this paper, we introduce a methodology named Connectionist Temporal Classification guided modality matching (CTC-GMM) that enhances the streaming ST model by leveraging extensive machine translation (MT) text data. This technique employs CTC to compress the speech sequence into a compact embedding sequence that matches the corresponding text sequence, allowing us to utilize matched {source-target} language text pairs from the MT corpora to refine the streaming ST model further. Our evaluations with FLEURS and CoVoST2 show that the CTC-GMM approach can increase translation accuracy relatively by 13.9% and 6.4% respectively, while also boosting decoding speed by 59.7% on GPU.

SOA: Reducing Domain Mismatch in SSL Pipeline by Speech Only Adaptation for Low Resource ASR

Recently, speech foundation models have gained popularity due to their superiority in finetuning downstream ASR tasks. However, models finetuned on certain domains, such as LibriSpeech (adult read speech), behave poorly on other domains (child or noisy speech). One solution could be collecting as much labeled and diverse data as possible for joint finetuning on various domains. However, collecting target domain speech-text paired data and retraining the model is often costly and computationally expensive. In this paper, we introduce a simple yet effective method, speech only adaptation (SOA), based on speech foundation models (Wav2vec 2.0), which requires only speech input data from the target domain. Specifically, the Wav2vec 2.0 feature encoder is continually pretrained with the Wav2vec 2.0 loss on both the source and target domain data for domain adaptation, while the contextual encoder is frozen. Compared to a source domain finetuned model with the feature encoder being frozen during training, we find that replacing the frozen feature encoder with the adapted one provides significant WER improvements to the target domain while preserving the performance of the source domain. The effectiveness of SOA is examined on various low resource or domain mismatched ASR settings, including adult-child and clean-noisy speech.

Benchmarking Children's ASR with Supervised and Self-supervised Speech Foundation Models

Speech foundation models (SFMs) have achieved state-of-the-art results for various speech tasks in supervised (e.g. Whisper) or self-supervised systems (e.g. WavLM). However, the performance of SFMs for child ASR has not been systematically studied. In addition, there is no benchmark for child ASR with standard evaluations, making the comparisons of novel ideas difficult. In this paper, we initiate and present a comprehensive benchmark on several child speech databases based on various SFMs (Whisper, Wav2vec2.0, HuBERT, and WavLM). Moreover, we investigate finetuning strategies by comparing various data augmentation and parameter-efficient finetuning (PEFT) methods. We observe that the behaviors of these methods are different when the model size increases. For example, PEFT matches the performance of full finetuning for large models but worse for small models. To stabilize finetuning using augmented data, we propose a perturbation invariant finetuning (PIF) loss as a regularization.

UniEnc-CASSNAT: An Encoder-only Non-autoregressive ASR for Speech SSL Models

Non-autoregressive automatic speech recognition (NASR) models have gained attention due to their parallelism and fast inference. The encoder-based NASR, e.g. connectionist temporal classification (CTC), can be initialized from the speech foundation models (SFM) but does not account for any dependencies among intermediate tokens. The encoder-decoder-based NASR, like CTC alignment-based single-step non-autoregressive transformer (CASS-NAT), can mitigate the dependency problem but is not able to efficiently integrate SFM. Inspired by the success of recent work of speech-text joint pre-training with a shared transformer encoder, we propose a new encoder-based NASR, UniEnc-CASSNAT, to combine the advantages of CTC and CASS-NAT. UniEnc-CASSNAT consists of only an encoder as the major module, which can be the SFM. The encoder plays the role of both the CASS-NAT encoder and decoder by two forward passes. The first pass of the encoder accepts the speech signal as input, while the concatenation of the speech signal and the token-level acoustic embedding is used as the input for the second pass. Examined on the Librispeech 100h, MyST, and Aishell1 datasets, the proposed UniEnc-CASSNAT achieves state-of-the-art NASR results and is better or comparable to CASS-NAT with only an encoder and hence, fewer model parameters. Our codes are publicly available.

Towards Better Domain Adaptation for Self-supervised Models: A Case Study of Child ASR

Recently, self-supervised learning (SSL) from unlabelled speech data has gained increased attention in the automatic speech recognition (ASR) community. Typical SSL methods include autoregressive predictive coding (APC), Wav2vec2.0, and hidden unit BERT (HuBERT). However, SSL models are biased to the pretraining data. When SSL models are finetuned with data from another domain, domain shifting occurs and might cause limited knowledge transfer for downstream tasks. In this paper, we propose a novel framework, domain responsible adaptation and finetuning (DRAFT), to reduce domain shifting in pretrained speech models, and evaluate it for a causal and non-causal transformer. For the causal transformer, an extension of APC (E-APC) is proposed to learn richer information from unlabelled data by using multiple temporally-shifted sequences to perform prediction. For the non-causal transformer, various solutions for using the bidirectional APC (Bi-APC) are investigated. In addition, the DRAFT framework is examined for Wav2vec2.0 and HuBERT methods, which use non-causal transformers as the backbone. The experiments are conducted on child ASR (using the OGI and MyST databases) using SSL models trained with unlabelled adult speech data from Librispeech. The relative WER improvements of up to 19.7% on the two child tasks are observed when compared to the pretrained models without adaptation. With the proposed methods (E-APC and DRAFT), the relative WER improvements are even larger (30% and 19% on the OGI and MyST data, respectively) when compared to the models without using pretraining methods.

A CTC Alignment-based Non-autoregressive Transformer for End-to-end Automatic Speech Recognition

Recently, end-to-end models have been widely used in automatic speech recognition (ASR) systems. Two of the most representative approaches are connectionist temporal classification (CTC) and attention-based encoder-decoder (AED) models. Autoregressive transformers, variants of AED, adopt an autoregressive mechanism for token generation and thus are relatively slow during inference. In this paper, we present a comprehensive study of a CTC Alignment-based Single-Step Non-Autoregressive Transformer (CASS-NAT) for end-to-end ASR. In CASS-NAT, word embeddings in the autoregressive transformer (AT) are substituted with token-level acoustic embeddings (TAE) that are extracted from encoder outputs with the acoustical boundary information offered by the CTC alignment. TAE can be obtained in parallel, resulting in a parallel generation of output tokens. During training, Viterbi-alignment is used for TAE generation, and multiple training strategies are further explored to improve the word error rate (WER) performance. During inference, an error-based alignment sampling method is investigated in depth to reduce the alignment mismatch in the training and testing processes. Experimental results show that the CASS-NAT has a WER that is close to AT on various ASR tasks, while providing a ~24x inference speedup. With and without self-supervised learning, we achieve new state-of-the-art results for non-autoregressive models on several datasets. We also analyze the behavior of the CASS-NAT decoder to explain why it can perform similarly to AT. We find that TAEs have similar functionality to word embeddings for grammatical structures, which might indicate the possibility of learning some semantic information from TAEs without a language model.

CTCBERT: Advancing Hidden-unit BERT with CTC Objectives

In this work, we present a simple but effective method, CTCBERT, for advancing hidden-unit BERT (HuBERT). HuBERT applies a frame-level cross-entropy (CE) loss, which is similar to most acoustic model training. However, CTCBERT performs the model training with the Connectionist Temporal Classification (CTC) objective after removing duplicated IDs in each masked region. The idea stems from the observation that there can be significant errors in alignments when using clustered or aligned IDs. CTC learns alignments implicitly, indicating that learning with CTC can be more flexible when misalignment exists. We examine CTCBERT on IDs from HuBERT Iter1, HuBERT Iter2, and PBERT. The CTC training brings consistent improvements compared to the CE training. Furthermore, when loading blank-related parameters during finetuning, slight improvements are observed. Evaluated on the Librispeech 960-100h setting, the relative WER improvements of CTCBERT are 2%-11% over HuBERT and PERT on test-other data.

Acoustic-aware Non-autoregressive Spell Correction with Mask Sample Decoding

Masked language model (MLM) has been widely used for understanding tasks, e.g. BERT. Recently, MLM has also been used for generation tasks. The most popular one in speech is using Mask-CTC for non-autoregressive speech recognition. In this paper, we take one step further, and explore the possibility of using MLM as a non-autoregressive spell correction (SC) model for transformer-transducer (TT), denoted as MLM-SC. Our initial experiments show that MLM-SC provides no improvements on Librispeech data. The problem might be the choice of modeling units (word pieces) and the inaccuracy of the TT confidence scores for English data. To solve the problem, we propose a mask sample decoding (MS-decode) method where the masked tokens can have the choice of being masked or not to compensate for the inaccuracy. As a result, we reduce the WER of a streaming TT from 7.6% to 6.5% on the Librispeech test-other data and the CER from 7.3% to 6.1% on the Aishell test data, respectively.