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AL-503 (B) · Deep Learning/Quick Revision Short Notes

Deep Learning (AL-503 (B)) - Unit 5 Short Notes

UNIT 5: Deep Learning – Exam-Focused Short Notes


I. Foundations & Core Concepts of Deep Learning

What is Deep Learning?

  • Subset of machine learning using deep neural networks (multiple hidden layers) to learn hierarchical feature representations automatically.

  • Relationship: AI ⊃ Machine Learning ⊃ Deep Learning.

  • Historical Milestones:

    • 1943: McCulloch-Pitts neuron model.

    • 1958: Perceptron (Rosenblatt).

    • 1986: Backpropagation popularized (Rumelhart, Hinton, Williams).

    • 2006: Deep belief networks (Hinton) – breakthrough in training deep nets.

    • 2012: AlexNet wins ImageNet – triggers deep learning revolution (GPU + ReLU + Dropout).

Biological vs. Artificial Neural Networks

Aspect Biological Neural Network Artificial Neural Network (ANN)
Neuron Complex cell with dendrites, soma, axon Simple mathematical unit (weighted sum + activation)
Learning Synaptic plasticity, unsupervised, lifelong Supervised/unsupervised, fixed training phases
Speed Slow (ms) but massively parallel Fast (GPU), limited parallelism
Energy Efficiency Extremely efficient (~20 watts) High (GPUs consume kilowatts)
Robustness Fault-tolerant, graceful degradation Brittle to adversarial examples
Memory Distributed, content-addressable Explicit weight matrices

[!TIP] Exam Focus: Current DL models lack energy efficiency, lifelong learning, and causal reasoning compared to the brain.

Representation Power & Depth

  • Depth refers to number of hidden layers.

  • Why depth matters:

    • Hierarchical feature learning: Shallow layers learn edges/textures; deeper layers learn complex concepts (objects, semantics).

    • Representational efficiency: Deep nets can represent certain functions exponentially more efficiently than shallow nets (e.g., parity function).

    • Expressive power: With non-linear activations (ReLU), a deep network can approximate any continuous function (Universal Approximation Theorem holds for width-bounded deep nets too).

  • Increasing layers:

    • Pros: Better accuracy on complex tasks (ImageNet, translation), better generalization with enough data.

    • Cons: Vanishing/exploding gradients, overfitting, computational cost.

    • Empirical observation: Beyond certain depth, accuracy saturates or degrades (degradation problem) – solved by ResNet.

[!TIP] Key Formula: For a function like parity on n bits, a shallow net needs exponential width, but a deep net needs only O(n) depth.


II. Fundamental Neural Network Architectures & Training

Single-Layer vs. Multilayer Perceptron (MLP)

  • Single-Layer Perceptron:

    • Architecture: Input → Weighted sum → Step activation.

    • Limitation: Can only learn linearly separable patterns (fails on XOR).

  • Multilayer Perceptron (MLP):

    • Architecture: Input layer → ≥1 hidden layers (non-linear activation) → Output layer.

    • Overcomes XOR: Hidden layer creates non-linear decision boundaries.

    • Feedforward Neural Network (FFN): Synonym for MLP; signals flow one direction.

    • Implementation: Forward pass: $$\displaystyle z^{(l)} = W^{(l)} a^{(l-1)} + b^{(l)} $$, $$\displaystyle a^{(l)} = f(z^{(l)}) $$.

Activation Functions

Function Formula Range Pros & Cons
Sigmoid $$\displaystyle \sigma(x) = \frac{1}{1+e^{-x}} $$ (0,1) Smooth, but vanishing gradient, not zero-centered, output not sparse.
Tanh $$\displaystyle \tanh(x) = \frac{e^x - e^{-x}}{e^x + e^{-x}} $$ (-1,1) Zero-centered, but still vanishing gradient.
ReLU $$\displaystyle f(x) = \max(0, x) $$ [0, ∞) No vanishing gradient for $$\displaystyle x>0 $$, sparse activations, computationally cheap.
Leaky ReLU $$\displaystyle f(x) = \max(\alpha x, x) $$ (-∞, ∞) Fixes "dying ReLU" problem (small $\alpha$ for $$\displaystyle x<0 $$).
Softmax $$\displaystyle \sigma(z)_j = \frac{e^{z_j}}{\sum_{k=1}^K e^{z_k}} $$ (0,1) sum=1 Used in output layer for multi-class classification.

[!TIP] ReLU in CNNs: Default choice due to non-saturation for positive inputs, accelerating convergence.

Backpropagation Algorithm

Goal: Compute gradients $$\displaystyle \frac{\partial L}{\partial W^{(l)}} $$ for all layers to update weights via gradient descent. Steps:

  1. Forward pass: Compute activations layer-by-layer, store $$\displaystyle z^{(l)}, a^{(l)} $$.

  2. Compute loss: $$\displaystyle L = \mathcal{L}(\hat{y}, y) $$.

  3. Backward pass:

    • Output layer: $$\displaystyle \delta^{(L)} = \nabla_a L \odot f'(z^{(L)}) $$.

    • Hidden layers: $$\displaystyle \delta^{(l)} = (W^{(l+1)})^T \delta^{(l+1)} \odot f'(z^{(l)}) $$.

  4. Gradients: $$\displaystyle \frac{\partial L}{\partial W^{(l)}} = \delta^{(l)} (a^{(l-1)})^T $$, $$\displaystyle \frac{\partial L}{\partial b^{(l)}} = \delta^{(l)} $$.

  5. Update: $$\displaystyle W^{(l)} \leftarrow W^{(l)} - \eta \frac{\partial L}{\partial W^{(l)}} $$.

Backpropagation Through Time (BPTT):

  • Unfolds RNN through time steps, applies backpropagation to the unfolded graph.

  • Challenges: Vanishing/exploding gradients over long sequences, memory-intensive.

[!TIP] Common Pitfall: Forgetting to zero gradients before each backward pass in PyTorch/TensorFlow (optimizer.zero_grad()).

Weight Initialization

Why important? Poor init leads to vanishing/exploding gradients, slow convergence.

  • Random (Uniform/Normal): Often too large/small.

  • Xavier/Glorot (for tanh/sigmoid): $$\displaystyle W \sim \mathcal{U}\left(-\sqrt{\frac{6}{n_{in}+n_{out}}}, \sqrt{\frac{6}{n_{in}+n_{out}}}\right) $$ or $$\displaystyle \mathcal{N}\left(0, \sqrt{\frac{2}{n_{in}+n_{out}}}\right) $$.

  • He Initialization (for ReLU): $$\displaystyle W \sim \mathcal{N}\left(0, \sqrt{\frac{2}{n_{in}}}\right) $$.

  • Rule of thumb: Use He init with ReLU, Xavier with tanh.

[!TIP] Bias initialization: Often set to 0, but for ReLU, set to small positive (e.g., 0.01) to avoid dead neurons.


III. Optimization for Deep Networks

Gradient Descent Variants

Type Batch Size Pros Cons
Batch GD Full dataset Stable convergence, exact gradient Slow, memory-heavy, can get stuck in local minima
Stochastic GD (SGD) 1 sample Fast updates, escapes local minima Noisy gradients, unstable convergence
Mini-batch GD b samples (e.g., 32, 128) Balance of speed and stability Needs tuning of b

Advanced Optimizers

Optimizer Key Idea Formula (per parameter)
Momentum Accumulate velocity to damp oscillations. $$\displaystyle v_t = \gamma v_{t-1} + \eta \nabla L $$, $$\displaystyle W \leftarrow W - v_t $$
NAG Lookahead gradient (compute gradient at $$\displaystyle W - \gamma v_{t-1} $$). $$\displaystyle v_t = \gamma v_{t-1} + \eta \nabla L(W - \gamma v_{t-1}) $$, $$\displaystyle W \leftarrow W - v_t $$
AdaGrad Per-parameter learning rate based on historical gradient sum. $$\displaystyle G_t = G_{t-1} + g_t^2 $$, $$\displaystyle W \leftarrow W - \frac{\eta}{\sqrt{G_t + \epsilon}} g_t $$
RMSProp Decaying average of squared gradients (fixes AdaGrad's aggressive decay). $$\displaystyle E[g^2]_t = \beta E[g^2]_{t-1} + (1-\beta) g_t^2 $$, $$\displaystyle W \leftarrow W - \frac{\eta}{\sqrt{E[g^2]_t + \epsilon}} g_t $$
Adam Momentum + RMSProp with bias correction. $$\displaystyle m_t = \beta_1 m_{t-1} + (1-\beta_1) g_t $$, $$\displaystyle v_t = \beta_2 v_{t-1} + (1-\beta_2) g_t^2 $$<br>$$\displaystyle \hat{m}_t = \frac{m_t}{1-\beta_1^t} $$, $$\displaystyle \hat{v}_t = \frac{v_t}{1-\beta_2^t} $$<br>$$\displaystyle W \leftarrow W - \eta \frac{\hat{m}_t}{\sqrt{\hat{v}_t} + \epsilon} $$

[!TIP] Default choice: Adam ($$\displaystyle \eta=0.001 $$, $$\displaystyle \beta_1=0.9 $$, $$\displaystyle \beta_2=0.999 $$) works well for most tasks. Use SGD with momentum for CNNs if fine-tuning.

Normalization Techniques

  • Batch Normalization (BN):

    • How: For each mini-batch, normalize layer inputs: $$\displaystyle \hat{x}^{(k)} = \frac{x^{(k)} - \mu_B}{\sqrt{\sigma_B^2 + \epsilon}} $$, then scale/shift: $$\displaystyle y^{(k)} = \gamma \hat{x}^{(k)} + \beta $$.

    • Why: Reduces internal covariate shift (distribution changes in layer inputs during training), allows higher learning rates, acts as regularizer.

    • Advantages: Faster convergence, improved gradient flow, slight regularization effect.

  • Normalization vs. Standardization (data preprocessing):

    • Normalization: Rescale to [0,1] (min-max).

    • Standardization: Zero mean, unit variance ($$\displaystyle \frac{x - \mu}{\sigma} $$). BN is batch-wise standardization during training.


IV. Regularization & Mitigating Training Challenges

Overfitting & Underfitting

  • Overfitting: Model memorizes training data, poor generalization (high train acc, low test acc).

  • Underfitting: Model too simple, fails to capture pattern (low train & test acc).

Regularization Techniques

Technique Mechanism Effect
L1/L2 (Weight Decay) Add penalty $$\displaystyle \lambda \|W\|_1 $$ or $$\displaystyle \lambda \|W\|_2^2 $$ to loss. L1: sparsity; L2: small weights, smooth solution.
Dropout Randomly set fraction p of neurons to 0 during training. Prevents co-adaptation, ensemble effect. At test: scale weights by (1-p).
Early Stopping Monitor validation loss, stop when it increases. Simple, prevents over-training.
Data Augmentation Apply transformations (rotate, crop) to increase data diversity. Especially for images/audio.

[!TIP] Dropout in practice: Use p=0.5 for fully connected layers, p=0.2-0.3 for CNNs.

Vanishing & Exploding Gradients

  • Vanishing Gradient:

    • Cause: Sigmoid/tanh saturate (derivative →0), chain product of small numbers.

    • Impact: Early layers learn very slowly, network fails to learn long-range dependencies (RNNs).

  • Exploding Gradient:

    • Cause: Large weights, deep nets, chain product of large numbers.

    • Impact: Unstable training, NaN weights.

  • Mitigation Strategies:

    • ReLU family: No saturation for $$\displaystyle x>0 $$.

    • Batch Normalization: Stabilizes layer inputs.

    • Residual Connections (ResNet): Add identity mapping, gradients flow directly.

    • Proper initialization: He/Xavier.

    • Gradient clipping: Cap gradient norm (e.g., $\|\nabla L\| \leq 1$).

    • LSTM/GRU: For RNNs, additive cell state mitigates vanishing gradient.

[!TIP] LSTM solves vanishing gradient via cell state $$\displaystyle C_t $$: $$\displaystyle C_t = f_t \odot C_{t-1} + i_t \odot \tilde{C}_t $$. The additive update allows gradients to flow unchanged through time.


V. Convolutional Neural Networks (CNNs)

Core Concepts & Operations

  • Convolution Operation:

    • Filter/kernel $K$ (size $k \times k$) slides over input $I$, computes dot product: $$\displaystyle (I * K)_{i,j} = \sum_m \sum_n I_{i+m, j+n} K_{m,n} $$.

    • Captures spatial features: Edges, textures, patterns via learned filters.

    • Stride: Step size of filter. Larger stride → smaller output.

    • Padding:

      • Valid: No padding, output shrinks.

      • Same: Pad so output size = input size (padding = $(k-1)/2$).

    • Dilation: Spacing between filter elements, increases receptive field without extra parameters.

  • Number of parameters: For $$\displaystyle C_{in} $$ input channels, $$\displaystyle C_{out} $$ output channels, kernel size $k$: $$\displaystyle C_{in} \times C_{out} \times k^2 + C_{out} $$ (biases).

Pooling Layers

  • Role: Downsampling, reduces spatial size, introduces translation invariance, reduces parameters.

  • Max Pooling: Output = max value in window. Preserves dominant features.

  • Average Pooling: Output = mean of window. Smoothes features.

  • Common: $2 \times 2$ window, stride 2 → halves spatial dimensions.

CNN Architectures (Historical & Modern)

Architecture Year Key Innovations Layers Significance
LeNet-5 1998 First CNN, convolutional + pooling + FC layers. 5 Handwritten digit recognition (MNIST).
AlexNet 2012 ReLU, Dropout, GPU training, LRN (later replaced), 5 conv + 3 FC. 8 Won ImageNet 2012, sparked deep learning boom.
ZFNet 2013 Smaller first filter (11×11→7×7), stride 2 in first conv. 8 Improved AlexNet, visualized filters.
GoogLeNet 2014 Inception modules: parallel convs (1×1, 3×3, 5×5) + pooling, concatenated. 22 Reduced parameters, won ImageNet 2014.
ResNet 2015 Residual blocks with skip connections: $$\displaystyle y = F(x) + x $$. 152 (deepest) Solved degradation problem, enabled very deep nets.

[!TIP] ResNet skip connection: Allows gradient to flow directly via identity mapping, mitigating vanishing gradient. $F(x)$ is residual mapping learned.

Applications & Specialized Uses

  • Image Recognition: Classification (ImageNet), detection (R-CNN, YOLO), segmentation (FCN, U-Net).

  • Structured Output:

    • Semantic Segmentation: Pixel-wise classification (FCN, SegNet).

    • Object Detection: Bounding boxes (Faster R-CNN).

    • Image Captioning: CNN encoder + RNN decoder.

  • Data Formats Compatible with CNNs:

    • 2D Images: Standard (height × width × channels).

    • 1D Signals: Audio, text (as 1D sequences, use 1D convs).

    • 3D Volumes: Medical scans (CT/MRI), video (time as 3rd dimension).

    • Spectrograms: Time-frequency representations (2D).


VI. Recurrent Neural Networks (RNNs) & Sequence Modeling

Vanilla RNNs

  • Architecture: Hidden state $$\displaystyle h_t = f(W_{xh} x_t + W_{hh} h_{t-1} + b_h) $$, output $$\displaystyle y_t = g(W_{hy} h_t + b_y) $$.

  • For sequence data: Processes one token at a time, maintains memory via $$\displaystyle h_{t-1} $$.

  • Comparison with FFN: FFN assumes independent inputs; RNN shares parameters across time, handles variable length.

  • Challenges:

    • Vanishing/exploding gradients in BPTT.

    • Short-term memory: Struggles with long-range dependencies.

Gated Architectures

Long Short-Term Memory (LSTM)

  • Cell State $$\displaystyle C_t $$: "Conveyor belt" for long-term memory.

  • Gates (sigmoid activations, 0–1):

    • Forget gate $$\displaystyle f_t = \sigma(W_f \cdot [h_{t-1}, x_t] + b_f) $$: What to discard from $$\displaystyle C_{t-1} $$.

    • Input gate $$\displaystyle i_t = \sigma(W_i \cdot [h_{t-1}, x_t] + b_i) $$: What to store from candidate $$\displaystyle \tilde{C}_t = \tanh(W_C \cdot [h_{t-1}, x_t] + b_C) $$.

    • Output gate $$\displaystyle o_t = \sigma(W_o \cdot [h_{t-1}, x_t] + b_o) $$: What to output from $$\displaystyle C_t $$.

  • Equations:

$$ \begin{aligned} C_t &= f_t \odot C_{t-1} + i_t \odot \tilde{C}_t \\ h_t &= o_t \odot \tanh(C_t) \end{aligned} $$

  • Advantages: Solves vanishing gradient via additive state update, can learn long-range dependencies.

Gated Recurrent Unit (GRU)

  • Simpler than LSTM: Update gate $$\displaystyle z_t $$ (combines forget/input), reset gate $$\displaystyle r_t $$.

  • No separate cell state; hidden state $$\displaystyle h_t $$ is both memory and output.

  • Equations:

$$ \begin{aligned} z_t &= \sigma(W_z \cdot [h_{t-1}, x_t]) \\ r_t &= \sigma(W_r \cdot [h_{t-1}, x_t]) \\ \tilde{h}_t &= \tanh(W_h \cdot [r_t \odot h_{t-1}, x_t]) \\ h_t &= (1 - z_t) \odot h_{t-1} + z_t \odot \tilde{h}_t \end{aligned} $$

  • Comparison: GRU fewer parameters, often similar performance; LSTM more expressive for long sequences.

[!TIP] When to use LSTM vs GRU? LSTM for very long sequences (e.g., speech), GRU for smaller datasets or faster training.

Encoding & Decoding in RNNs

  • Encoding: RNN processes input sequence $$\displaystyle x_1, ..., x_T $$, final hidden state $$\displaystyle h_T $$ (or all states) as context vector representing input.

  • Decoding: Another RNN (often with attention) generates output sequence $$\displaystyle y_1, ..., y_{T'} $$ conditioned on context.

  • Challenges:

    • Fixed-length context vector bottleneck (especially for long inputs).

    • Solution: Attention mechanism (Bahdanau, 2015) – decoder attends to all encoder states dynamically.

Deep RNNs & Applications

  • Deep RNN: Stack multiple RNN layers (e.g., 3 layers). Lower layers learn low-level temporal features, higher layers learn abstract patterns.

  • Applications:

    • Image Processing: Image captioning (CNN encoder + RNN decoder), video classification (3D convs or frame-by-frame RNN).

    • Speech Recognition: Acoustic modeling (Bidirectional LSTM).

    • Machine Translation: Seq2seq with attention (Transformer now dominant).

  • PixelRNN: Autoregressive model for image generation, generates pixels sequentially row-by-row (1D RNN) or in 2D (Diagonal BiLSTM). Captures spatial dependencies.

Backpropagation Through Time (BPTT)

  • Unfold RNN for T time steps, treat as deep FFN with T layers, apply backpropagation.

  • Challenges:

    • Vanishing/exploding gradients over many time steps.

    • Mitigation: LSTM/GRU, gradient clipping, proper initialization.

    • Computational cost: $O(T)$ memory for hidden states; use truncated BPTT (backprop only for last k steps).


VII. Autoencoders & Unsupervised Learning

Basic Autoencoder Architecture

  • Encoder: $$\displaystyle z = f_\theta(x) $$ maps input $x$ to latent code $z$ (bottleneck).

  • Decoder: $$\displaystyle \hat{x} = g_\phi(z) $$ reconstructs $x$ from $z$.

  • Objective: Minimize reconstruction loss $\mathcal{L}(x, \hat{x})$ (MSE for continuous, cross-entropy for binary).

  • Applications:

    • Dimensionality reduction: Non-linear alternative to PCA.

    • Denoising: Train on corrupted inputs, reconstruct clean.

    • Feature learning: Pre-training for supervised tasks.

    • Anomaly detection: High reconstruction error for anomalies.

Regularization in Autoencoders

  • Why regularize? Without constraints, autoencoder learns identity function ($$\displaystyle z=x $$), useless.

  • Regularization techniques:

    • Sparse autoencoder: Add sparsity penalty on latent activations (e.g., KL divergence to target sparsity $\rho$).

    • Contractive autoencoder: Penalize Jacobian norm $$\displaystyle \|\frac{\partial z}{\partial x}\|_F^2 $$ to make mapping locally stable.

    • Denoising autoencoder: Train to reconstruct clean input from corrupted version (e.g., add Gaussian noise, mask pixels).

    • Variational autoencoder (VAE): Probabilistic, imposes prior on latent space (see Generative Models).

When to use Autoencoders over PCA/SVD?

  • Autoencoders:

    • Can learn non-linear manifolds (PCA linear).

    • Flexible architectures (CNNs for images, RNNs for sequences).

    • Can be regularized (sparse, denoising) for specific properties.

  • PCA/SVD:

    • Linear, closed-form solution, computationally efficient.

    • Interpretable principal components.

    • Use autoencoders when: Data lies on non-linear manifold, need complex feature extraction, have large dataset and computational resources.


VIII. Generative Models

Variational Autoencoders (VAEs)

  • Fundamental idea: Learn probabilistic latent variable model $$\displaystyle p_\theta(x) = \int p_\theta(x|z) p(z) dz $$.

  • Encoder: Outputs parameters of approximate posterior $$\displaystyle q_\phi(z|x) $$ (usually Gaussian: mean $$\displaystyle \mu_\phi(x) $$, variance $$\displaystyle \sigma_\phi^2(x) $$).

  • Reparameterization trick: Sample $$\displaystyle z = \mu_\phi(x) + \sigma_\phi(x) \odot \epsilon $$, $\epsilon \sim \mathcal{N}(0,I)$. Allows gradient flow through sampling.

  • Loss (ELBO):

$$ \mathcal{L} = \mathbb{E}_{q_\phi(z|x)}[\log p_\theta(x|z)] - D_{KL}(q_\phi(z|x) \| p(z)) $$

Reconstruction term + KL regularization (forces latent space to match prior $\mathcal{N}(0,I)$).

  • Comparison with standard autoencoder:

    • VAE: probabilistic, continuous latent space, can generate new samples by sampling $z \sim p(z)$.

    • Standard AE: deterministic, latent space may have holes, generation less reliable.

Generative Adversarial Networks (GANs)

  • Architecture:

    • Generator $G(z)$: Takes random noise $$\displaystyle z \sim p_z $$, generates fake data $$\displaystyle \tilde{x} = G(z) $$.

    • Discriminator $D(x)$: Classifies real ($x$) vs fake ($\tilde{x}$).

  • Training: Minmax game:

$$ \min_G \max_D V(D,G) = \mathbb{E}_{x \sim p_{data}}[\log D(x)] + \mathbb{E}_{z \sim p_z}[\log(1 - D(G(z)))] $$

  • Comparison with VAEs:

    | Aspect | VAE | GAN | |------------------|----------------------------------|----------------------------------| | Training | Stable (likelihood-based) | Unstable (adversarial) | | Samples | Blurry but diverse | Sharp but may mode-collapse | | Likelihood | Explicit (approximate) | Not directly computable | | Inference | Encoder provides latent code | No encoder (inversion needed) | | Use case | Representation learning, interpolation | High-fidelity generation |

[!TIP] Choose VAE for disentangled representations, interpolation; choose GAN for photorealistic images (if stable training).

Hybrid & Advanced Generative Models

  • VAE-GAN Hybrid:

    • Use VAE encoder-decoder, but replace pixel-wise reconstruction loss with GAN discriminator.

    • How: Decoder generates $\tilde{x}$, discriminator judges realism, VAE loss includes adversarial term.

    • Benefits: Combines VAE's structured latent space with GAN's sharp samples.

  • Deep Dream:

    • Role: Generate surreal, hallucinatory images by maximizing activations of chosen layers.

    • Process: Gradient ascent on input image to increase target layer's activation (often with regularization to keep image natural).

    • Applications: Visualizing learned features, art generation.

  • Autoregressive Models:

    • NADE (Neural Autoregressive Distribution Estimator): Factorizes $$\displaystyle p(x) = \prod_{i=1}^d p(x_i | x_{<i}) $$, each conditional modeled by MLP with masked weights.

    • MADE (Masked Autoencoder for Distribution Estimation): Applies random masks to autoencoder to ensure autoregressive property, efficient training.

Other Generative Frameworks

  • Restricted Boltzmann Machines (RBMs):

    • Bipartite graph: visible layer $v$, hidden layer $h$, no intra-layer connections.

    • Energy-based model: $$\displaystyle E(v,h) = -b^T v - c^T h - v^T W h $$.

    • Training: Contrastive divergence (CD-k) approximation of gradient.

  • Gibbs Sampling:

    • Used in RBMs for sampling: alternate between sampling $h$ given $v$ and $v$ given $h$.

    • Useful for persistent CD to improve samples.

  • Deep Belief Networks (DBNs):

    • Stack of RBMs, trained greedily layer-by-layer (unsupervised pre-training).

    • Historical significance before backpropagation of deep nets was reliable.


IX. Reinforcement Learning with Deep Learning

Fundamentals

  • Deep RL vs Supervised Learning:

    • Supervised: Fixed dataset, i.i.d., clear labels.

    • RL: Agent interacts with environment, delayed rewards, sequential decisions, exploration-exploitation trade-off.

  • Markov Decision Process (MDP):

    • Components: States $S$, actions $A$, transition $P(s'|s,a)$, reward $R(s,a,s')$, discount $\gamma \in [0,1]$.

    • Policy $\pi(a|s)$: Agent's behavior.

    • Value function: $$\displaystyle V^\pi(s) = \mathbb{E}[\sum_{t=0}^\infty \gamma^t R_{t+1} | s_0=s, \pi] $$.

    • Q-function: $$\displaystyle Q^\pi(s,a) = \mathbb{E}[\sum_{t=0}^\infty \gamma^t R_{t+1} | s_0=s, a_0=a, \pi] $$.

  • Policy Iteration vs Value Iteration:

    | Aspect | Policy Iteration | Value Iteration | |---------------------|-----------------------------------------------|----------------------------------------------| | Steps | Policy evaluation → Policy improvement (repeat) | Iterative Bellman update: $$\displaystyle V_{k+1}(s) = \max_a \sum_{s'} P(s'|s,a)[R + \gamma V_k(s')] $$ | | Convergence | Finite policies, finite MDP → finite steps | Contraction mapping → converges to $$\displaystyle V^* $$ | | Complexity | Policy eval costly (solve linear system) | Simpler per iteration, but may need many iterations | | Use case | Small MDPs | Large MDPs, dynamic programming |

Deep Q-Learning

  • Q-learning: Model-free, learns $$\displaystyle Q^*(s,a) $$ via Bellman update:

$$ Q(s,a) \leftarrow Q(s,a) + \alpha \left[ r + \gamma \max_{a'} Q(s',a') - Q(s,a) \right] $$

  • Deep Q-Network (DQN):

    • Use deep NN to approximate $Q(s,a; \theta)$.

    • Key tricks:

      • Experience replay: Store transitions $(s,a,r,s')$ in buffer, sample mini-batches to break correlations.

      • Target network: Separate network $Q'$ with parameters $$\displaystyle \theta^- $$ updated slowly ($$\displaystyle \theta^- \leftarrow \tau \theta + (1-\tau)\theta^- $$) to stabilize targets.

  • Advanced Algorithms:

    • Double DQN: Decouple action selection and evaluation to reduce overestimation bias:

$$ y = r + \gamma Q(s', \arg\max_{a'} Q(s',a'; \theta); \theta^-) $$

  • Dueling DQN: Separate streams for state value $V(s)$ and action advantages $A(s,a)$: $$\displaystyle Q(s,a) = V(s) + A(s,a) - \frac{1}{|\mathcal{A}|}\sum_{a'} A(s,a') $$.

Policy Gradient Methods

  • Idea: Directly optimize policy $$\displaystyle \pi_\theta(a|s) $$ by gradient ascent on expected return $$\displaystyle J(\theta) = \mathbb{E}_{\tau \sim \pi_\theta}[\sum_t \gamma^t r_t] $$.

  • REINFORCE: $$\displaystyle \nabla J(\theta) = \mathbb{E}[\sum_t \nabla \log \pi_\theta(a_t|s_t) G_t] $$, where $$\displaystyle G_t $$ is return.

  • Least Squares Policy Iteration (LSPI):

    • Uses linear function approximation for Q-function: $$\displaystyle Q(s,a) = \phi(s,a)^T w $$.

    • Fits $w$ via least squares on samples from experience replay, using Bellman residual minimization.

    • Advantage: Off-policy, data-efficient; limitation: linear approximation limits expressiveness.


X. Special Topics & Applications

Natural Language Processing (NLP) with Deep Learning

  • Definition: NLP enables machines to understand, generate, and interact with human language.

  • 4 Key Elements/Tasks:

    1. Syntax: Grammar, part-of-speech tagging, parsing.

    2. Semantics: Meaning, word sense disambiguation.

    3. Pragmatics: Context, intent, dialogue.

    4. Discourse: Cohesion, coherence across sentences.

  • Role of RNNs/LSTMs/GRUs: Process sequences (words) one by one, capture contextual dependencies. Used in translation, sentiment analysis, named entity recognition.

  • Transformers (implied): Now dominate NLP via self-attention (parallel, long-range dependencies).

Dimensionality Reduction & Linear Algebra

  • PCA (Principal Component Analysis):

    • Goal: Find orthogonal axes (principal components) maximizing variance.

    • Steps: Center data $X$, compute covariance $$\displaystyle C = \frac{1}{n} X^T X $$, eigen-decomposition $$\displaystyle C = V \Lambda V^T $$. Top k eigenvectors give projection.

  • SVD (Singular Value Decomposition):

    • Decompose matrix $$\displaystyle X = U \Sigma V^T $$, where $U, V$ orthogonal, $\Sigma$ diagonal (singular values).
  • Relationship:

    • For centered data $X$, PCA eigenvectors = right singular vectors $V$ (columns of $V$ are principal directions).

    • SVD of $X$: $$\displaystyle X = U \Sigma V^T $$ → PCA projection: $$\displaystyle X V_k = U_k \Sigma_k $$ (top k components).

  • How SVD reduces dimensionality: Keep top k singular values/vectors: $$\displaystyle X \approx U_k \Sigma_k V_k^T $$, reduces storage and noise.

Pruning & Model Compression

  • Unit/Neuron Pruning:

    • Need: Deploy deep nets on edge devices (mobile, IoT) with limited compute/memory.

    • Method: Remove entire neurons/filters with small importance scores (e.g., L1 norm of weights, activation magnitude).

    • Process: Train network, prune unimportant units, fine-tune. Iterate.

    • Benefits: Reduces model size, inference time, energy consumption.

Graphical Models

  • Directed Graphical Models (Bayesian Networks):

    • Nodes = random variables, directed edges = causal dependencies.

    • Factorization: $$\displaystyle p(x) = \prod_i p(x_i | \text{parents}(x_i)) $$.

    • Example: Naïve Bayes (class → features).

  • Markov Networks (Undirected Graphical Models):

    • Undirected edges, factors over cliques: $$\displaystyle p(x) = \frac{1}{Z} \prod_C \phi_C(x_C) $$.

    • Example: Ising model, CRFs for sequence labeling.

    • Inference: Often harder than Bayesian nets (no topological order), but can model symmetric relationships.


Final Exam Strategy:

✅ Memorize key formulas: Backpropagation, Adam, LSTM gates, VAE loss, Q-learning update.

✅ Draw diagrams: LSTM cell, ResNet block, CNN architecture flow, VAE/GAN frameworks.

✅ Compare/contrast: LSTM vs GRU, VAE vs GAN, Batch GD vs SGD, PCA vs SVD.

✅ Applications: Link architectures to tasks (CNN→images, RNN→sequences, Autoencoder→denoising).

✅ Historical context: Know AlexNet (2012), ResNet (2015), Transformer (2017 – implied in NLP).

[!TIP] Past Paper Pattern: 7-mark questions often ask "Explain...", "Compare...", "Discuss...". Structure answers: Definition → Architecture/Mechanism → Advantages/Disadvantages → Applications. Use diagrams where possible.

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