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  <front>
    <journal-meta>
      <journal-title-group>
        <journal-title>ORCID:</journal-title>
      </journal-title-group>
      <issn pub-type="ppub">1613-0073</issn>
    </journal-meta>
    <article-meta>
      <title-group>
        <article-title>Sparse generative representations of handwritten digits</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Serge Dolgikh</string-name>
          <email>sdolgikh@nau.edu.ua</email>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Workshop</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>National Aviation University</institution>
          ,
          <addr-line>1 Lubomyra Huzara Ave, 03058 Kyiv</addr-line>
          ,
          <country country="UA">Ukraine</country>
        </aff>
      </contrib-group>
      <volume>000</volume>
      <fpage>0</fpage>
      <lpage>0001</lpage>
      <abstract>
        <p>We investigated the process of unsupervised generative learning and the structure of informative generative representations of images of handwritten digits (MNIST dataset). Learning models with the architecture of sparse convolutional autoencoder with constraints to produce low-dimensional representations achieved successful generative learning demonstrated by high accuracy of generation of images. A well-defined, continuous and connected structure generative representations was observed representations of unsupervised generative models can be an effective platform for investigation of origins of intelligent behaviors in artificial and biological learning systems. Artificial neural networks, generative machine learning, representation learning, clustering IVUS 2022: 27th International Conference on Information Proceedings</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1. Introduction</title>
      <p>Representation learning with the objective to
identify informative elements in the observable
data has a well-established record in machine
learning.</p>
      <sec id="sec-1-1">
        <title>Informative</title>
        <p>
          representations
were
obtained with Restricted Boltzmann
Machines
(RBM), Deep Belief Networks (DBN) [
          <xref ref-type="bibr" rid="ref1 ref2">1, 2</xref>
          ],
different flavors of autoencoders [
          <xref ref-type="bibr" rid="ref3">3</xref>
          ] and other
models
allowed
to
improve
accuracy
of
supervised learning [
          <xref ref-type="bibr" rid="ref4">4</xref>
          ]. The relations between
learning and statistical thermodynamics
were
studied in [
          <xref ref-type="bibr" rid="ref5">5</xref>
          ] and
other
works leading to
understanding of a deep connection between
learning processes and principles of information
theory and statistics.
        </p>
        <p>
          In the experimental studies, a range of results
was reported, such as the “cat experiment” that
demonstrated spontaneous emergence of concept
sensitivity
single
neuron
level
in
unsupervised deep learning with image data [
          <xref ref-type="bibr" rid="ref6">6</xref>
          ].
Disentangled representations were produced and
discussed [
          <xref ref-type="bibr" rid="ref7">7</xref>
          ] with a deep variational autoencoder
and
        </p>
        <p>different types of data pointing at the
possibility of a general nature of the effect.</p>
      </sec>
      <sec id="sec-1-2">
        <title>Concept-associated structure was observed in latent representations of Internet network traffic</title>
        <p>2022 Copyright for this paper by its authors. Use permitted under
CEUR</p>
        <p>
          ceur-ws.org
[
          <xref ref-type="bibr" rid="ref8">8</xref>
          ], images [
          <xref ref-type="bibr" rid="ref6 ref7 ref9">6,7,9</xref>
          ], as well as a number of other
results
with
different types
of
data
and
applications [
          <xref ref-type="bibr" rid="ref10 ref11">10,11</xref>
          ].
        </p>
        <p>These results demonstrated that structure that
emerges in the latent representations created by
models of generative learning in the process of
unsupervised self-learning with minimization of
generative error can have intrinsic associations
with characteristics patterns in the observable data
and perhaps, can be used as a foundation for
learning methods and processes that use these
associations for improved efficiency.</p>
        <p>
          Interestingly,
these
observations
in
unsupervised machine learning were paralleled in
the recent works with a number of results in
biologic
sensory
networks
[
          <xref ref-type="bibr" rid="ref12 ref13">12,13</xref>
          ]
that
demonstrated commonality of low-dimensional
representations
in
processing
of
sensory
information by mammals, including humans.
        </p>
        <p>These
previous
findings
prompted
and
stimulated an investigation into the process of
production and essential characteristics of
lowdimensional informative latent representations
obtained
with
neural
network
models
of
unsupervised generative self-learning, including
formation of a conceptual structure in the latent
representations of the sensory environment of the
learner.</p>
        <p>The questions investigated in this work were
the following: what are the characteristics of the
latent representations of successful generative
models? Is there an association between the
characteristic patterns (or higher-level concepts)
in the input data and latent distributions produced
by learning models?</p>
        <p>What structure can be identified in the latent
representations with entirely unsupervised
methods, without prior knowledge of conceptual
content of the input data?</p>
        <p>These questions were approached with
generative models of deep neural network
architecture and a dataset of images of real,
unprocessed image data of handwritten images
(MNIST dataset) used widely in the studies of
machine intelligence systems. The intent of the
study is to understand how successful common
generative models of unsupervised self-learning
even of limited complexity, can produce
informative and structured representations of
input data modeling sensory environments.</p>
        <p>The novelty of the presented approach is
associated with using “generic” generative
architecture with clearly defined directions of
possible incremental variation and evolution.
Using this type of architecture can provide
answers to essential questions of how complex
architectures that were reported in the cited results
could have developed in realistic learning
systems.</p>
        <p>
          Throughout the work, externally known types
or patterns in the input data that models
observable sensory environment of a learning
system will be referred to as “higher-level
concepts” or “external concepts”, that signify a
class of a sample in the input space that is defined
by an external process, outside of the model. An
example of an external concept for an image with
a geometric shape can be word “triangle” or a
specific symbol. In contrast, structures in the
latent representations of the observable space that
can be identified entirely by unsupervised means
without any external or prior information, will be
referred to as “internal” “natural” or “native”
concepts [
          <xref ref-type="bibr" rid="ref14">14</xref>
          ].
        </p>
        <p>A priori, there is no reason to assume that
external and native concepts are related or
correlated, so the relation between the external
and native concepts is an interesting and
intriguing question in its own right.</p>
      </sec>
    </sec>
    <sec id="sec-2">
      <title>2. Methods and data</title>
    </sec>
    <sec id="sec-3">
      <title>2.1. Model architecture</title>
      <p>
        A convolutional autoencoder model [
        <xref ref-type="bibr" rid="ref15">15</xref>
        ] used
in this work had the encoding stage with
convolution-pooling layers followed by several
layers of dimensionality reduction with a sparse
encoding layer of size 20–25 producing an
effective low-dimensional latent representation
described by activations of neurons in the
encoding layer.
      </p>
      <p>Sparse training penalty was applied to latent
activations as L1 regularization, resulting in 2 to
4 neuron activations for most images in the
dataset. The decoding / generative stage that was
fully symmetrical to the encoder. The diagram of
the architecture used in this work is shown in
Figure 1.
2.2.</p>
    </sec>
    <sec id="sec-4">
      <title>Data</title>
      <p>
        The dataset of images used in the study,
MNIST [
        <xref ref-type="bibr" rid="ref17">17</xref>
        ] consisted of three sets of images
(training, validation and test) of handwritten
digits, from 0 to 9 produced by different real
individuals. The models were trained on a subset
of 10,000 images, with approximately equal
representation of all digits.
      </p>
      <p>To ensure entirely unsupervised character of
latent representations created by trained models,
labeled samples were not used in the phase of
generative training of the models, but only in the
analysis of distributions of higher-level concepts
in the latent representations created by trained
models.</p>
    </sec>
    <sec id="sec-5">
      <title>Training</title>
      <p>The success of unsupervised learning was
measured by the characteristics of training
performance and generative ability. Training
performance was measured by the reduction in the
value of the cost function over the period of
training. Generative performance was evaluated
visually based on the quality of generation of a
subset of images in the training dataset.
Approximately 70% of models were successful in
generative learning by both measures. A clear
correlation was observed between the training and
generative characteristics. Models with training
loss above certain threshold generally did not
succeed in acquiring good generative ability.</p>
      <p>Success of generative learning, that is, the
ability to generate high quality images of the types
present in the training dataset indicated that latent
representations produced by the learning models
retained significant information about the
distribution of observable data represented by the
training dataset.
2.4.</p>
    </sec>
    <sec id="sec-6">
      <title>Encoding and generation</title>
      <p>A trained model can perform two essential
transformations of data: encoding, E(x) from the
observable space, i.e., image x to the latent
position l; and generative, G(l) in the opposite
direction, producing an observable image, y. The
objective of generative learning is to minimize the
distance between training images and their
generations by the model, defined by a training
metric (cost function) in the observable space.
2.5.</p>
    </sec>
    <sec id="sec-7">
      <title>Sparse representations</title>
      <p>As a result of a sparsity constraint imposed in
unsupervised generative training, the effective
latent representations of observable images were
low dimensional, that is, an observable image was
described by activations of a small number of
latent neurons; the observed effective
dimensionality with the images in the dataset was
2 to 4 (i.e., two to four non-zero activations of
latent neurons).</p>
      <p>
        A sparse latent representation of this type can
be described by a stacked space of
lowdimensional “slices” [
        <xref ref-type="bibr" rid="ref18">18</xref>
        ], indexed by a tuple of
activated neurons, (i1, i2, i3). For example, an
image of digit “2” can be described in a
24dimensional sparse representation space by the
index (1, 3, 8) with coordinates (0.011, 0.017,
0.019) that translates to corresponding activations
of the neurons 1, 3 and 8 in the latent layer, and
nil activations of other latent neurons.
      </p>
    </sec>
    <sec id="sec-8">
      <title>3. Results</title>
      <p>The results in this section were obtained with
several instances of models trained as outlined
earlier, that were successful in generative
learning. The results pertain to essential
characteristics of low-dimensional latent
representations produced by generative modes,
such as structure, topology, consistency and
others.
3.1.</p>
    </sec>
    <sec id="sec-9">
      <title>Generative latent structure</title>
      <p>Examination of the geometrical and
topological structure of sparse representations of
the handwritten digit images produced by
generative models confirmed highly structured
character of representations closely correlated
with characteristic types of images.</p>
      <p>
        Following the objective of the study to
examine the structure of informative generative
representations without known concept samples,
an approach was developed that allows to
investigate the structure in the latent
representations produced by successfully learned
generative models by purely unsupervised
methods that do not require knowledge of the
semantics, concept, class or any other prior
information about the input data. The process of
producing such unsupervised structure (or
“generative landscape” of the representation) is
based on identification of a density structure, such
as density clusters in a general sample of encoded
sensory inputs with methods of unsupervised
density clustering such as MeanShift [
        <xref ref-type="bibr" rid="ref19">19</xref>
        ].
      </p>
      <p>The approach is based on several essential
assumptions. The first one is success of generative
learning reflected by sufficient accuracy and
quality of generation. The second is sparsity of
resulting representations, that provides two
essential benefits: a lower dimensionality of the
encoded inputs, and higher decoupling in the
structure of representations making it easier to
detect and harness for learning. And finally, an
assumption on the composition of the training set
to contain a constant number of characteristic
types of inputs (i.e., representativity).</p>
      <p>To apply methods of density clustering in the
latent representation, first a structure of space
slices needs to be identified (Section 2.5). This
was done according to the following process:
• For each three-dimensional slice: l = (i1,
i2, i3) a subset of significant activations S(l)
identified as Σ aj ≥ f × amax, where amax:
maximum activation in the slice (the sum of
activations of slice neurons); f: a factor, f =
0.25 in the study.
• S(l) projected on the slice coordinates,
resulting in a three-dimensional set Sp(l).
• A density clustering method applied on
the set Sp(l) producing a sequence of density
clusters ordered by size D(l) = { Dk(l) }. The
length of the sequence is defined by the
clustering method and does not have to be
known in advance.
• The process is repeated for slices with
significant representation of significant
activations (i.e., the size of S(l) above certain
threshold, relative to other slices) resulting in
a stacked structure of density clusters,
generative landscape D = { D(l) }, with a
natural two-dimensional unique index of (l, n);
l: the position of the slice; n: the position of the
cluster in the slice</p>
      <p>With the generative landscape produced with
the described process, the first task was to
examine how the resulting latent structure is
correlated with characteristic types of data in the
training dataset. It can be determined by
transforming center positions of the clusters of the
landscape D(l) to observable images with the
generative transformation G(l) (Section 2.4).
Figure 2 shows the resulting “map” of images
associated with the identified density structure of
the generative landscape.</p>
      <p>As can be observed in the visualization of
Figure 2, cluster positions were indeed closely
associated with characteristic types of images in
the training dataset.
3.2.</p>
    </sec>
    <sec id="sec-10">
      <title>Latent geometry and topology</title>
      <p>The identified landscape of density structure
can assist in examination of the geometry and
topology of the sparse latent space.</p>
      <p>The first objective was to investigate
connectedness and continuity of the latent regions
associated with characteristic types of observable
images. To this end, arrays of random positions
were created on the spheres of a given radius from
the cluster centers, thus producing a “flow” of
latent positions from cluster centers of the
landscape outwards. The positions were then
transformed to observable space with generative
transformation, as in the previous section
producing arrays of observable images associated
with the latent positions.</p>
      <p>Examination of the resulting images allowed
to conclude that generative representations
produced by models were indeed connected and
continuous, with well-defined regions associated
with specific types of images (Figure 3).</p>
    </sec>
    <sec id="sec-11">
      <title>3.3. Structural consistency latent representations of</title>
      <p>While latent representations created by
generative models can be expected to be specific
to individual learning models due to peculiarities
of the training process, for example, random
selection of training samples. At the same time,
some essential characteristics of generative
representations appeared to be consistent between
the learning models.</p>
      <p>To investigate consistency of the latent
structure, an analysis of latent landscapes
produced with three independently trained
generative models was performed.</p>
      <p>The models were trained over 40-60 epochs of
unsupervised generative learning with a training
set of 10,000 samples, achieving a training plateau
at validation loss of 0.12-0.14 (with the starting
value of ~ 0.7) and good to excellent generative
performance on a subset of images and were not
selected by any specific criteria. After completion
of the training phase several successful
independently trained models were selected and
characteristics of generative landscapes produced
with methods described earlier measured.</p>
      <p>The measured characteristics were: the overall
size of the landscape as the number of identified
density clusters with population above certain
margin, relative to the size of the training dataset
(~ 2%); recognition, the fraction of the landscape
clusters associated with recognizable digits (as
discussed in Section 3.1), indicating a correlation
of the landscape with the characteristic content of
the training set; representativity of the content of
the landscape, such as presence of all types of
digits (completeness) and distribution of digits
between slices and clusters (digits with highest
and lowest population of associated clusters in the
landscape). The results are presented in Table 1.
Table 1
Consistency of latent structure</p>
      <sec id="sec-11-1">
        <title>Model A B C</title>
      </sec>
      <sec id="sec-11-2">
        <title>Size 474 396 485</title>
        <p>As can be inferred from these results, latent
landscapes of independently trained successful
generative models had significant consistency in
the size, recognition and representation of
characteristic types of images. On the other hand,
factors such as distribution of digits in the slices
and clusters, highest and lowest representation of
digits in the clusters and a number of others
tended to be more specific to individual learning
models.</p>
        <p>
          Similar results were previously obtained with
several different types of image data such as
geometrical shapes [
          <xref ref-type="bibr" rid="ref9">9</xref>
          ] pointing at the likelihood
of a general character of the observed effect of
categorization in the latent representations of
successful generative models by characteristic
types of patterns.
3.4.
        </p>
      </sec>
    </sec>
    <sec id="sec-12">
      <title>Unsupervised concept learning</title>
      <p>The results of the preceding sections, with
strong correlations observed between the
emergent latent structure of successful generative
models and characteristic types of observable data
can be interpreted as distillation of “native” or
“natural” concepts in the observable data in the
process of unsupervised learning with
minimization of generative error. The structure or
the latent landscape, as discussed in the preceding
sections, can be resolved in an entirely
unsupervised process by a number of methods.</p>
      <p>It can be concluded from these results that
generative learning under certain constraints and
the resulting structure in the informative latent
representations can be used as a foundation for
implicit learning of characteristic patterns in the
observable data before and without external
contextual information about it. These results can
also offer insights into explainability of learning
in generative models via association of learned
concepts or classes in the observable data and the
native information structure that emerges in the
latent representations in the process of
unsupervised generative learning.</p>
    </sec>
    <sec id="sec-13">
      <title>4. Discussion</title>
      <p>Highly structured character of
lowdimensional generative representations produced
by successful models of unsupervised generative
self-learning observed in this work provides
further support for a growing number of results
pointing at importance of informative
representations in processing of sensory
information by learning systems, of both artificial
and biological nature.</p>
      <p>In this work the effect was observed with
realworld image data of significant complexity,
pointing at a general character of the effect.
Informative structured representations strongly
correlated with characteristic patterns, or concepts
in the sensory data can play an essential role in
emergence and development of intelligent
behaviors including conceptual intelligence,
abstraction and communications.</p>
      <p>
        Continuing research in this direction can shed
light on common principles of learning for
artificial and biological systems and perhaps point
a direction to a generation of learning systems
capable of more natural and intuitive learning
from direct interaction with the sensory
environment [
        <xref ref-type="bibr" rid="ref20">20</xref>
        ].
      </p>
    </sec>
    <sec id="sec-14">
      <title>5. References</title>
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