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| author | YurenHao0426 <Blackhao0426@gmail.com> | 2026-06-09 15:27:14 -0500 |
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| committer | YurenHao0426 <Blackhao0426@gmail.com> | 2026-06-09 15:27:14 -0500 |
| commit | 2488deff02737330ff4f355746be2b49492ac3dc (patch) | |
| tree | 6e114f541c433549f27f3e6419145441ce64d819 | |
| parent | ff15a76f241e3beb84b203aa6d530e07a0127fd3 (diff) | |
Add AAAI-27 paper scaffolding
main.tex (AuthorKit 27 wrapper), preview.tex (kit-free preview build),
shared defs. body.tex is a draft to be REWRITTEN from the evidence
ledger (notes/36): it omits most of the validation chain and cites the
retired closed-form number; do not treat its content as authoritative.
Co-Authored-By: Claude Fable 5 <noreply@anthropic.com>
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@@ -39,3 +39,13 @@ Thumbs.db # Logs *.log + +# Paper build artifacts +paper/*.pdf +paper/*.aux +paper/*.out +paper/*.bbl +paper/*.blg +paper/*.fls +paper/*.fdb_latexmk +paper/*.synctex.gz diff --git a/paper/body.tex b/paper/body.tex new file mode 100644 index 0000000..3dad469 --- /dev/null +++ b/paper/body.tex @@ -0,0 +1,521 @@ + +\begin{abstract} +Feedback alignment (FA) trains a neural network with \emph{fixed random} +matrices in place of the transposed weights that backpropagation (BP) uses +to send errors backward. A decade of work has established the surprising +fact that this \emph{works}. It has not established what it \emph{costs}. +We settle that question for multilayer perceptrons, exactly and without a +single fitted parameter. First, the geometric mismatch between a random +feedback matrix and the matrix BP would have used obeys an exact +$\Beta(\tfrac12,\tfrac{D-1}{2})$ law, which we turn into a capacity cost +that adds up to $\Theta(Ln^2)$ across an $L$-layer width-$n$ network. +Second, this cost cannot be engineered away: with no prior on the task, no +feedback initialization beats isotropic random feedback. Third---and this +is the crux---the resulting FA/BP optimization gap is \emph{always +strictly positive}, equals \emph{exactly} the hidden-layer share of BP's +learning speed at initialization, and, contrary to the natural guess, +never undergoes a phase transition: it is a \emph{soft ramp} that we derive +in closed form and predict to log-space correlation $0.98$ from +initialization alone, and to correlation $0.999$ with a no-fit early-time +estimator. The one-line summary is that random feedback is not free: its +cost is irreducible, but soft, and now exactly computable. +\end{abstract} + +\section{Introduction} + +Backpropagation rests on a hidden symmetry: to send the error backward +through a layer, it reuses the \emph{transpose of that layer's forward +weights}. Nothing in a brain or in a piece of analog hardware ties the +backward pathway to the forward one this way, which is why +\citet{lillicrap2016} asked what happens if you simply cut the tie---if you +replace each backward matrix $W^{\top}$ by a \emph{fixed random} matrix $B$ +drawn once and never touched again. The answer was unexpected: the network +still learns, and the forward weights quietly rotate until they partly +align with the random feedback. This is \emph{feedback alignment} (FA), and +it and its variants train deep networks to low error~\cite{nokland2016}. + +A decade later, the field has thoroughly answered one question---\emph{can} +FA learn?---and left the more useful one untouched: \emph{what does it +cost?} ``FA eventually reaches low error'' is perfectly compatible with FA +paying a steady, measurable price relative to BP at every step, a price one +might hope a wide enough network simply absorbs. Whether it does is not a +matter of opinion; it is a quantity, and in this paper we compute it. + +Our message is simple and, we will argue, complete: \textbf{random feedback +imposes a cost that is irreducible but soft, and we give its exact ledger.} +We mean three things by this, and the paper is organized around them. + +\begin{itemize} +\item \textbf{The static cost is a clean law (Sec.~\ref{sec:cap}).} How +badly does a random feedback matrix match the one BP wants? Exactly as +badly as the geometry forces: their squared cosine is +$\Beta(\tfrac12,\tfrac{D-1}{2})$-distributed, with mean $1/D$. Reading this +as a ``log-volume cost'' makes it \emph{add} across layers to +$\Theta(Ln^2)$. + +\item \textbf{You cannot cheat the cost (Sec.~\ref{sec:minimax}).} Maybe a +cleverer fixed feedback would help? Not without knowing the task: the best +worst-case alignment any initialization can guarantee is $1/D$, and plain +isotropic random feedback already achieves it. + +\item \textbf{The optimization gap is positive, soft, and computable +(Sec.~\ref{sec:gap}).} The interesting cost is the actual FA/BP training +gap. We prove it is always nonzero; that at initialization its expected +size is \emph{exactly} the fraction of BP's learning speed carried by the +hidden layers; and that over training it grows as a smooth ramp---not a +phase transition---which we write in closed form and confirm against dense +simulation. A natural hypothesis (the gap appears suddenly when redundant +capacity runs out) turns out to be wrong, and we can say precisely why. +\end{itemize} + +We keep every model and theorem exact; what we work hard at is making them +\emph{legible}, because the value here is not a single inequality but a +coherent, quantitative picture of a phenomenon that has so far been +described only qualitatively. + +\section{Setup: BP, FA, and ``Learning Speed''}\label{sec:setup} + +Fix an MLP with widths $n_0,\dots,n_L$, forward weights +$W_l\in\R^{n_l\times n_{l-1}}$, and ReLU activations +$h_l=\phi(W_l h_{l-1})$. Train on $N$ examples with squared loss +$\mathcal{L}=\tfrac{1}{2N}\|r\|^2$, where $r=f_\theta(X)-Y$ stacks all +residuals. + +The one thing that distinguishes FA from BP lives entirely in the backward +pass. BP propagates the error using $A_l=W_{l+1}^{\top}$; FA uses a fixed +random $B_l\in\R^{n_l\times n_{l+1}}$ instead. Write $g_l^{\mathrm{BP}}$ and +$g_l^{\mathrm{FA}}$ for the resulting gradient of layer $l$. One fact does +all the work later and is worth stating now: \emph{the output layer is +identical under both rules}, because no backward matrix sits above it, so +$g_L^{\mathrm{FA}}=g_L^{\mathrm{BP}}$. The flattened backward matrices live +in dimension $D_l=n_l n_{l+1}$. + +To talk about ``cost'' we need a yardstick, and the natural one is how fast +the loss goes down. A step $-\eta g$ decreases the loss, to first order, by +$\eta\langle g^{\mathrm{BP}},g\rangle$---the true gradient dotted with the +step you actually take. So define +\begin{align} +\mathrm{speed}_{\mathrm{BP}} &= \textstyle\sum_l \|g_l^{\mathrm{BP}}\|^2,\\ +\mathrm{speed}_{\mathrm{FA}} &= \textstyle\sum_l \langle g_l^{\mathrm{BP}},g_l^{\mathrm{FA}}\rangle . +\end{align} +The first is how fast BP descends; the second is how fast the FA step +descends the \emph{true} loss. Their normalized difference, +\begin{equation}\label{eq:e0} +e_0 = 1-\frac{\mathrm{speed}_{\mathrm{FA}}}{\mathrm{speed}_{\mathrm{BP}}}, +\end{equation} +is the fraction of BP's learning speed that FA throws away in one step. +$e_0=0$ means FA is as good as BP right now; $e_0=1$ means FA makes no +progress at all. Everything in Section~\ref{sec:gap} is about how large +$e_0$ is, and what it compounds to over training. + +Finally, two operators. Let $J=\partial f_\theta(X)/\partial\theta$ be the +Jacobian of all outputs. BP's tangent kernel (the NTK) is $\KBP=JJ^{\top}$, +and the residual moves as $r_{t+1}\approx(I-\tfrac{\eta}{N}\KBP)r_t$---this +is just gradient descent written in output space, and we use it as our +lens on training. FA swaps the update Jacobian for a surrogate $\tilde J$, +giving a \emph{non-symmetric} operator $\KFA=J\tilde J^{\top}$ whose +symmetric part $\SFA=\tfrac12(\KFA+\KFA^{\top})$ is all that affects the +loss to first order. Keep $\KBP$ (``what BP does'') and $\SFA$ (``what FA +does'') in mind; the whole story is a comparison of these two. + +\section{The Static Cost Is a Clean Law}\label{sec:cap} + +Start with the most basic question: at initialization, how far is a random +feedback matrix $B$ from the matrix $A=W^{\top}$ that BP would use? Measure +``far'' by the squared cosine between them. The answer is not approximate +or asymptotic---it is an exact classical distribution. + +\begin{theorem}[Alignment law]\label{thm:beta} +Let $a=\vecop(A)/\|A\|_F$ and $b=\vecop(B)/\|B\|_F$ be independent isotropic +unit directions in $\R^D$, and $Q=(a^{\top}b)^2$. Then +\begin{equation} +Q\sim\Beta\!\left(\tfrac12,\tfrac{D-1}{2}\right),\qquad \E[Q]=\tfrac1D . +\end{equation} +\end{theorem} +\begin{proof}[Proof] +Rotational invariance lets us fix $a=e_1$, so $Q=b_1^2$ with $b$ uniform on +$\mathbb{S}^{D-1}$. The squared first coordinate of a uniform sphere vector +is exactly $\Beta(\tfrac12,\tfrac{D-1}{2})$. +\end{proof} + +Read off the consequence: the typical cosine is about $1/\sqrt D$, so in +any realistic layer (with $D=n^2$ in the thousands) \emph{a random feedback +matrix is essentially perpendicular to the one BP wants}. That near-orthogonality is +the entire geometric source of FA's difficulty, and Theorem~\ref{thm:beta} +says exactly how perpendicular, with no slack. + +It is convenient to price this. For a target alignment $q$, define the +\emph{log-volume cost} $C(q)=-\log\Pr(Q\ge q)$---the number of nats by +which reaching alignment $q$ is improbable by chance, equivalently the log +of how small a sliver of feedback space clears the bar. For fixed $q$ in +high dimension, $C(q)\approx\tfrac{D-1}{2}\log\tfrac1{1-q}=\Theta(D)$. The +reason to bother defining it is that it behaves like a true cost---it adds. + +\begin{proposition}[Multilayer scaling]\label{prop:scaling} +For independent layer-wise feedback blocks the alignment events are +independent, so their probabilities multiply and the costs add: +$C_{\mathrm{all}}=\sum_l C_l(q_l)$. For an equal-width MLP ($D_l\approx +n^2$) at fixed $q$, +\begin{equation} +C_{\mathrm{all}}=\Theta(Ln^2),\qquad +\Pr(\text{all }q_l)=e^{-\Theta(Ln^2)} . +\end{equation} +\end{proposition} + +So the ``bits of luck'' required to make random feedback align grow +linearly in the number of weights, and the probability of getting that luck +shrinks exponentially in it. Both depth and width make raw alignment +exponentially harder---a clean, if unsurprising, fact that fixes the units +for everything that follows. + +\section{You Cannot Cheat the Cost}\label{sec:minimax} + +A reader's first instinct is to fight the geometry: surely some carefully +chosen, still-fixed feedback aligns better than dumb isotropic noise? The +honest answer is that you can---but only if you already know which backward +direction the task will need, which at initialization you do not. + +\begin{theorem}[Prior-free minimax]\label{thm:minimax} +Let $b\in\mathbb{S}^{D-1}$ be drawn from any distribution $\mu$ and let +$a\in\mathbb{S}^{D-1}$ be an unknown target. With $M_\mu=\E_\mu[bb^{\top}]$ +(so $\mathrm{tr}\,M_\mu=1$), +\begin{equation} +\sup_{\mu}\ \inf_{\|a\|=1}\ \E_\mu[(a^{\top}b)^2] +=\sup_\mu \lambda_{\min}(M_\mu)=\tfrac1D, +\end{equation} +attained by isotropic feedback ($M_\mu=\tfrac1D I$). +\end{theorem} +\begin{proof}[Proof] +$\E_\mu[(a^{\top}b)^2]=a^{\top}M_\mu a$; its worst case over $a$ is +$\lambda_{\min}(M_\mu)\le\mathrm{tr}\,M_\mu/D=1/D$. Isotropic $\mu$ makes +every direction equal to $1/D$. +\end{proof} + +The point of stating it as a minimax is to forestall a class of ``fixes.'' +Any anisotropic feedback that aligns better with some directions does so by +aligning \emph{worse} with others, and an adversarially chosen task lands +on the bad ones. Sparsity, orthogonality, or low rank can change +conditioning, signal norm, or hardware cost---but they cannot beat $1/D$ in +the worst case. Isotropic random feedback is not a lazy default; it is +\emph{provably the best prior-free choice}. The cost in +Section~\ref{sec:cap} is therefore not an artifact of using noise; it is a +floor. + +\section{The Optimization Gap: Positive, Soft, Computable}\label{sec:gap} + +Static geometry is the setup; the payoff is the actual FA/BP training gap. +We make three claims, in increasing strength: the gap is never zero; at +initialization its size is \emph{exactly} a quantity you can read off the +forward pass; and over training it follows a closed-form \emph{soft ramp}. + +\subsection{The gap is never zero, and never sudden} + +There is a tempting story---``a wide network has spare directions, so it +absorbs the random-feedback constraint for free until the spares run out, +then the gap snaps open.'' It is wrong, and a one-line null model shows why. +Suppose alignment simply deleted a uniformly random $k$-dimensional +subspace $E$ of the $P$ parameters, leaving the projected kernel +$JQ_E J^{\top}$ with $Q_E=I-P_E$. Writing $v=J^{\top}r$, the one-step +erosion is $\|P_E v\|^2/\|v\|^2$, and for Haar-random $E$, +\begin{equation} +e(r)\sim\Beta\!\left(\tfrac k2,\tfrac{P-k}{2}\right),\quad +\E[e(r)]=\tfrac kP,\quad \Pr(e=0)=0 . +\end{equation} +For \emph{any} positive burden $k$, the erosion is almost surely nonzero, +with mean $k/P$. Over-parameterization (large $P$) shrinks the gap through +the ratio $k/P$, but it never reaches zero, and nothing special happens at +any threshold. There is no phase transition to wait for. + +\takeaway{Capacity dilutes the FA burden; it does not delete it. The gap is +soft.} + +This null model is deliberately crude---it over-predicts the real gap +(Sec.~\ref{sec:exp})---but it isolates the mechanism. The exact statement +for genuine FA is next, and it is sharper than $k/P$. + +\subsection{At initialization, the gap is the hidden speed share} + +Here is the result we would put on the board first. It says the effective +initial cost of FA is not some opaque function of the random matrices; it +is a number already sitting in the BP gradients. + +\begin{theorem}[Initial erosion = hidden speed share]\label{thm:e0} +Fix the forward weights $W$, data, and residual $r$. Assume the feedback +matrices $B_l$ are independent of $W,r$ with zero mean, and that the output +layer uses the true gradient. Then +$\E_B[\mathrm{speed}_{\mathrm{FA}}\mid W,r]=\|g_L^{\mathrm{BP}}\|^2$, so +\begin{equation}\label{eq:hidden-share} +\E_B[e_0\mid W,r] += 1-\frac{\|g_L^{\mathrm{BP}}\|^2}{\sum_l \|g_l^{\mathrm{BP}}\|^2} +\;=:\;1-\rho . +\end{equation} +\end{theorem} +\begin{proof}[Proof] +The output FA gradient equals the BP gradient, contributing +$\|g_L^{\mathrm{BP}}\|^2$. Every hidden FA gradient is multilinear in +zero-mean independent feedback matrices, so its conditional expectation +vanishes; hence each hidden term +$\langle g_l^{\mathrm{BP}},g_l^{\mathrm{FA}}\rangle$ has zero mean. Summing +leaves only the output term. +\end{proof} + +Unpack what this says, because it is more intuitive than it looks. On the +first step, random feedback points the hidden updates in random directions, +so \emph{on average they accomplish nothing}; FA gets only the output +layer, which it computes correctly, ``for free.'' The expected cost is +therefore precisely the share of the work the hidden layers were doing---a +number, $1-\rho$, that you get from one BP backward pass. We will call the +surviving fraction $\rho=\mathrm{output\ share}\in(0,1)$; it is the single +parameter that drives the rest of the paper. Note also what this does to +the kernel: in the $\KFA=G+H_{\mathrm{FA}}$ language of \citet{song2021}, +it says $\E_B[H_{\mathrm{FA}}]=0$, i.e.\ at initialization FA's expected +operator is exactly the top-layer kernel. + +For the simplest case we get the whole distribution, not just its mean. + +\begin{proposition}[Exact Gaussian erosion]\label{prop:gauss} +For a one-hidden-layer ReLU MLP with i.i.d.\ Gaussian feedback +$B\sim\mathcal{N}(0,\sigma_B^2)$, the hidden mixed term is linear in $B$: +$\langle g_1^{\mathrm{BP}},g_1^{\mathrm{FA}}(B)\rangle=\langle C(W,r),B\rangle$ +for an explicit $C(W,r)$. Hence +$e_0\sim\mathcal{N}\!\big(1-\rho,\ \sigma_B^2\|C\|_F^2/\mathrm{speed}_{\mathrm{BP}}^2\big)$, +conditionally on $(W,r)$. +\end{proposition} + +\subsection{Over training, the gap is a closed-form soft ramp} + +The number $1-\rho$ is a single step's loss; what reaches the reviewer's +plots is its cumulative effect over $T$ steps. To get there we make two +approximations, and we state them plainly rather than hide them, because +knowing exactly where the model is idealized is the point. + +\begin{assumption}[Lazy operators]\label{ass:lazy} +The tangent operators are approximately frozen at initialization, so +$r_t^{\mathrm{BP}}=(I-\tfrac{\eta}{N}\KBP)^t r_0$. +\end{assumption} +\begin{assumption}[Scalar erosion]\label{ass:scalar} +$\SFA\approx\rho\,\KBP$. This is \emph{exact in the residual direction} by +Theorem~\ref{thm:e0} ($r^{\top}\E_B[\SFA]r=\rho\,r^{\top}\KBP r$); the +assumption is that the same slowdown $\rho$ applies in every eigendirection. +\end{assumption} + +With these, FA is simply BP slowed by a factor $\rho$ in every mode, and the +gap drops out in one line. + +\begin{theorem}[Closed-form gap]\label{thm:gap} +Under Assumptions~\ref{ass:lazy}--\ref{ass:scalar}, in the eigenbasis +$\KBP v_i=\lambda_i v_i$ with $c_i=v_i^{\top}r_0$, +\begin{equation}\label{eq:gap} +\mathrm{gap}_T=\frac{1}{2N}\sum_i c_i^2\Big[ +\big(1-\tfrac{\eta\rho\lambda_i}{N}\big)^{2T} +-\big(1-\tfrac{\eta\lambda_i}{N}\big)^{2T}\Big]. +\end{equation} +\end{theorem} +\begin{proof}[Proof] +Expand $r_0=\sum_i c_i v_i$. Assumption~\ref{ass:lazy} gives +$\|r_T^{\mathrm{BP}}\|^2=\sum_i c_i^2(1-\tfrac{\eta\lambda_i}{N})^{2T}$; +Assumption~\ref{ass:scalar} makes $\SFA$ share eigenvectors with eigenvalues +$\rho\lambda_i$, giving the FA term. Subtract, divide by $2N$. +\end{proof} + +Now read the formula, because it settles the phase-transition question on +sight. Every bracket is nonnegative---$\rho<1$ makes each FA mode decay +slower than its BP counterpart, so each contributes a little extra residual. +And the whole sum is \emph{analytic} in $\rho$, the spectrum, and $T$. An +analytic function has no kinks; deform the capacity smoothly and the gap +moves smoothly. The only way to manufacture a sudden jump would be to send +$\rho\to0$ (FA stalling completely), which never happens because +$\rho\ge\mathrm{output\ share}>0$. The soft ramp is not an empirical +accident---it is forced by the algebra. + +\begin{corollary}[Soft, not a phase transition]\label{cor:soft} +$\mathrm{gap}_T$ is real-analytic in $(\rho,\{\lambda_i\},T)$ and strictly +positive whenever $\rho<1$; it has no threshold. A discontinuity would +require $\rho\to0$. +\end{corollary} + +The same formula tells you \emph{where} the ramp comes from. Once BP has +fit the data, the gap is just the error FA still has in the single slowest +direction: + +\begin{corollary}[The ramp law]\label{cor:ramp} +When $\|r_T^{\mathrm{BP}}\|\approx0$, +\begin{equation} +\mathrm{gap}_T\approx\frac{c_{\min}^2}{2N}\,e^{-2\eta\rho\lambda_{\min}T/N}, +\quad +\log\mathrm{gap}_T\approx\text{const}-\tfrac{2\eta T}{N}\,\rho\,\lambda_{\min}. +\end{equation} +\end{corollary} + +In words: the FA/BP gap is the leftover error in the slowest-learning +direction, where FA crawls at a fraction $\rho$ of BP's rate. As you add +capacity, the smallest kernel eigenvalue $\lambda_{\min}$ grows smoothly, so +$\log\mathrm{gap}$ slides down linearly. That is the ramp, and +Section~\ref{sec:exp} shows the data falls exactly on this line. + +\paragraph{Mechanism vs.\ magnitude.} We are upfront about the one thing the +closed form does not nail. Freezing the operators (Assumption~\ref{ass:lazy}) +captures the \emph{shape} of the ramp but underestimates its travel, because +during training the forward weights start to align with $B$ and the +operators drift---this drift is the very ``alignment'' phenomenon that +makes FA work at all. We recover the missing magnitude with a no-fit +\emph{early-velocity estimator}: read the kernels $K_0$ and $K_s$ at one +early step $s$, extrapolate $\hat K_t=K_0+\tfrac ts(K_s-K_0)$, and roll out +the residual recursion for both rules. No scalar is fit; the only inputs are +two early snapshots. The closed form tells you \emph{why} the ramp is soft; +the estimator tells you \emph{how big} it is. Together they are the +complete finite-time answer. + +\section{Experiments}\label{sec:exp} + +Everything below uses full-batch training of MLPs on synthetic data, and we +emphasize the headline up front: \textbf{no quantity in this paper is +fitted.} Every prediction is computed from initialization or from two early +kernel snapshots. + +\paragraph{The static law holds (Thm.~\ref{thm:beta}).} Sampling matrix +pairs, the empirical squared cosine matches +$\Beta(\tfrac12,\tfrac{D-1}{2})$ across dimensions (Kolmogorov--Smirnov +$p>0.3$). The geometry is as predicted, exactly. + +\paragraph{The initial gap is the hidden share (Thm.~\ref{thm:e0}).} +Running the real FA backward pass over many feedback draws on a +two-hidden-layer network, the empirical mean erosion lands on the no-fit +prediction \eqref{eq:hidden-share}: $\E_B[e_0]=0.4378\pm0.008$ versus the +predicted hidden share $0.4403$. Proposition~\ref{prop:gauss}'s Gaussian +shape passes KS tests across widths. We did not tune anything; the number +comes straight from one BP backward pass. + +\paragraph{The ramp is soft, and the closed form explains it +(Cor.~\ref{cor:soft}--\ref{cor:ramp}).} Sweeping width on a random-label +task to $T=30{,}000$ steps, the FA/BP train gap slides smoothly from +$0.147$ to $1.6\times10^{-4}$ as the (hard) capacity margin runs from $-190$ +to $+130$---\emph{with no kink at margin zero and a gap that stays nonzero +even when the network is over-capacity} (Fig.~\ref{fig:ramp}, blue). The +empirical $\log\mathrm{gap}$ is linear in the margin ($R^2=0.993$), exactly +the form Corollary~\ref{cor:ramp} predicts. Evaluating the closed-form law +\eqref{eq:gap} with $\rho,\lambda_i,c_i$ measured \emph{only at +initialization} reproduces the ramp's shape at log-space correlation +$0.977$ (Fig.~\ref{fig:ramp}, orange), and $\lambda_{\min}$ alone---which +grows from $0.07$ to $0.99$ across the sweep---explains the gap at +correlation $0.963$. The frozen closed form compresses the range, exactly +the operator drift the estimator was built to recover. + +\paragraph{The estimator is essentially exact (no fit).} Across $256$ +trajectories and a stress grid over depth $\{1,2,3\}$, width +$\{32,64,96\}$, and horizon $\{25,50,100\}$, the early-velocity estimator +predicts the finite-time gap at mean absolute error +$\approx1.9\times10^{-3}$ and correlation $0.994$--$0.99989$---about a +ten-fold improvement over the frozen-$K_0$ baseline, again with no fitted +parameter. For a phenomenon previously described only by adjectives, this +is a quantitative predictor that simply works. + +\begin{figure*}[t] +\centering +\includegraphics[width=0.92\textwidth]{closed_form_vs_measured_ramp.png} +\caption{\textbf{The FA/BP gap is a soft ramp, and our closed form explains +it.} \emph{Left:} the empirical gap (blue) and the no-fit closed-form +prediction \eqref{eq:gap} (orange) across capacity margin---both smooth, +neither with a kink at margin $0$, and the gap stays positive even at +positive margin (no phase transition). \emph{Right:} the ramp is driven by +the smallest BP-kernel eigenvalue $\lambda_{\min}$ exactly as +Corollary~\ref{cor:ramp} predicts ($\mathrm{corr}=0.963$).} +\label{fig:ramp} +\end{figure*} + +\section{Related Work} + +\paragraph{Feedback alignment.} \citet{lillicrap2016} introduced FA and +documented that forward weights drift into alignment with the random +feedback; \citet{nokland2016} carried this to direct feedback alignment in +deep nets; \citet{refinetti2021} described the align-then-memorize +dynamics. These works answer ``can FA learn?''. We answer ``what does it +cost?''---a different and, we would argue, more basic question, and one +their results leave entirely open. + +\paragraph{Convergence theory.} \citet{song2021} prove two-layer FA +converges when over-parameterized, with alignment optional absent +regularization. Far from conflicting with us, this is the perfect +complement: their decomposition $\KFA=G+H_{\mathrm{FA}}$ is, at +initialization, exactly our Theorem~\ref{thm:e0}, which forces +$\E_B[H_{\mathrm{FA}}]=0$ and hence $\E_B[\KFA]=G$. Convergence to zero +\emph{final} error and a nonzero \emph{operator} gap are simply different +statements, and our paper is about the second. + +\paragraph{Tangent kernels and capacity.} The NTK and lazy-training +line~\cite{jacot2018,lee2019} licenses the residual recursion we build on; +our contribution there is to handle FA's non-symmetric operator. And while +the fact that nets can fit random labels~\cite{zhang2017} invites the guess +that capacity makes random feedback free, our soft-erosion result is exactly +the rebuttal: capacity dilutes the cost through $k/P$ and never removes it. + +\section{Limitations} + +We are explicit about scope. The experiments are synthetic MLPs trained +full-batch; convolutional and transformer architectures, stochastic +optimization, and real data are future work. The closed-form law +(Thm.~\ref{thm:gap}) uses a lazy-training approximation and a scalar erosion +model that is exact only in the residual direction---a per-eigenmode +refinement is the obvious next theorem. And the finite-time estimator, +though unfitted, is \emph{conditional} on two early kernel snapshots; +deriving the operator drift from the architecture alone---via infinite-width +recursions for $\rho$ and $\lambda_{\min}$---would close the last gap +between mechanism and magnitude. None of these qualify the three results we +do prove. + +\section{Conclusion} + +Random feedback is not free, and after this paper it is no longer +mysterious. Its static cost is an exact $\Beta$ law that adds to +$\Theta(Ln^2)$; that cost is provably the best any prior-free initialization +can do; and the optimization gap it induces is always positive, equals the +hidden-layer speed share at initialization, and grows as a closed-form soft +ramp that we predict without fitting anything. The reason over-parameterized +FA can look almost free is now precise: the cost is real and irreducible, but +soft, scaling as $k/P$ and as the leftover error in the slowest learning +direction. We think this is the right way to understand feedback +alignment---as a quantity, not an anecdote. + +\begin{thebibliography}{9} +\bibitem[Lillicrap et al.(2016)]{lillicrap2016} +T.~Lillicrap, D.~Cownden, D.~Tweed, and C.~Akerman. +\newblock Random synaptic feedback weights support error backpropagation +for deep learning. +\newblock \emph{Nature Communications}, 2016. + +\bibitem[N{\o}kland(2016)]{nokland2016} +A.~N{\o}kland. +\newblock Direct feedback alignment provides learning in deep neural +networks. +\newblock In \emph{NeurIPS}, 2016. + +\bibitem[Refinetti et al.(2021)]{refinetti2021} +M.~Refinetti, S.~d'Ascoli, R.~Ohana, and S.~Goldt. +\newblock Align, then memorise: the dynamics of learning with feedback +alignment. +\newblock In \emph{ICML}, 2021. + +\bibitem[Song et al.(2021)]{song2021} +G.~Song, R.~Xu, and J.~Lafferty. +\newblock Convergence and alignment of gradient descent with random +backpropagation weights. +\newblock In \emph{NeurIPS}, 2021. + +\bibitem[Jacot et al.(2018)]{jacot2018} +A.~Jacot, F.~Gabriel, and C.~Hongler. +\newblock Neural tangent kernel: convergence and generalization in neural +networks. +\newblock In \emph{NeurIPS}, 2018. + +\bibitem[Lee et al.(2019)]{lee2019} +J.~Lee et al. +\newblock Wide neural networks of any depth evolve as linear models under +gradient descent. +\newblock In \emph{NeurIPS}, 2019. + +\bibitem[Zhang et al.(2017)]{zhang2017} +C.~Zhang, S.~Bengio, M.~Hardt, B.~Recht, and O.~Vinyals. +\newblock Understanding deep learning requires rethinking generalization. +\newblock In \emph{ICLR}, 2017. +\end{thebibliography} + diff --git a/paper/defs.tex b/paper/defs.tex new file mode 100644 index 0000000..0f6d335 --- /dev/null +++ b/paper/defs.tex @@ -0,0 +1,22 @@ +% Shared macros and theorem environments for main.tex (AAAI) and preview.tex. +\usepackage{amsmath,amssymb,amsthm} +\usepackage{graphicx} +\graphicspath{{../outputs/closed_form_soft_ramp/}} + +\theoremstyle{plain} +\newtheorem{theorem}{Theorem} +\newtheorem{proposition}{Proposition} +\newtheorem{corollary}{Corollary} +\theoremstyle{definition} +\newtheorem{assumption}{Assumption} + +\newcommand{\takeaway}[1]{\par\smallskip\noindent\textbf{Takeaway.} \emph{#1}\par\smallskip} + +\newcommand{\R}{\mathbb{R}} +\newcommand{\E}{\mathbb{E}} +\renewcommand{\Pr}{\mathbb{P}} +\newcommand{\vecop}{\mathrm{vec}} +\newcommand{\Beta}{\mathrm{Beta}} +\newcommand{\KBP}{K_{\mathrm{BP}}} +\newcommand{\KFA}{K_{\mathrm{FA}}} +\newcommand{\SFA}{S_{\mathrm{FA}}} diff --git a/paper/main.tex b/paper/main.tex new file mode 100644 index 0000000..8006ed0 --- /dev/null +++ b/paper/main.tex @@ -0,0 +1,45 @@ +% ===================================================================== +% AAAI AuthorKit 27 format. +% +% TO COMPILE: download the AuthorKit from https://aaai.org/authorkit27/ , +% place aaai27.sty (and aaai27.bst if you switch to a .bib) next to this +% file, then run: pdflatex main ; pdflatex main (or: tectonic main) +% +% aaai27.sty is distributed only inside the AuthorKit zip (not on CTAN), +% so it is not bundled here. The body lives in body.tex and is shared with +% preview.tex (a generic wrapper that compiles WITHOUT the kit, for a quick +% look: tectonic preview.tex). +% Figure: python scripts/closed_form_soft_ramp.py +% ===================================================================== +\documentclass[letterpaper]{article} % DO NOT CHANGE THIS +\usepackage[submission]{aaai27} % DO NOT CHANGE THIS +\usepackage{times} % DO NOT CHANGE THIS +\usepackage{helvet} % DO NOT CHANGE THIS +\usepackage{courier} % DO NOT CHANGE THIS +\usepackage[hyphens]{url} % DO NOT CHANGE THIS +\usepackage{graphicx} % DO NOT CHANGE THIS +\urlstyle{rm} % DO NOT CHANGE THIS +\def\UrlFont{\rm} % DO NOT CHANGE THIS +\usepackage{natbib} % DO NOT CHANGE THIS +\usepackage{caption} % DO NOT CHANGE THIS +\frenchspacing % DO NOT CHANGE THIS +\setlength{\pdfpagewidth}{8.5in} % DO NOT CHANGE THIS +\setlength{\pdfpageheight}{11in} % DO NOT CHANGE THIS + +\input{defs} + +\setcounter{secnumdepth}{2} % number sections so \ref{sec:...} resolves + +\pdfinfo{ +/TemplateVersion (2027.1) +} + +\title{What Does Random Feedback Cost?\\ +A Distributional Capacity and Operator-Gap Analysis of Feedback Alignment} +\author{Anonymous Submission} +\affiliations{Association for the Advancement of Artificial Intelligence} + +\begin{document} +\maketitle +\input{body} +\end{document} diff --git a/paper/preview.tex b/paper/preview.tex new file mode 100644 index 0000000..03e00ee --- /dev/null +++ b/paper/preview.tex @@ -0,0 +1,22 @@ +% ===================================================================== +% Generic two-column preview wrapper. Compiles WITHOUT the AAAI kit, so +% you can read the paper now: tectonic preview.tex +% Shares the exact body (body.tex) and macros (defs.tex) with the official +% AAAI version (main.tex). Layout differs from AAAI; content is identical. +% ===================================================================== +\documentclass[twocolumn,letterpaper,10pt]{article} +\usepackage[margin=0.7in]{geometry} +\usepackage{natbib} +\usepackage{microtype} + +\input{defs} + +\title{\bfseries What Does Random Feedback Cost?\\ +\large A Distributional Capacity and Operator-Gap Analysis of Feedback Alignment} +\author{Anonymous submission} +\date{} + +\begin{document} +\maketitle +\input{body} +\end{document} |
