Zconomy Edition

ARTIFICIAL NEURAL NETWORKS

1 R,YEGNANARAYANA . ')
.

Artificial Neural Networks

B. YEGNANARAYANA
Professor Department of Computer Science and Engineering Indian Institute of Technology Madras Chennai

Prentice-Hall of India Dob&

New Delhi - 110 001 2005

Mnm

Rs. 275.00 ARTIFICIAL NEURAL NETWORKS by B. Yegnanarayana O 1999 by Prentice-Hall of lndia Private Limited, New Delhi. All rights reserved. No part of this book may be reproduced in any form, by mimeograph or any other means, without permission in writing from the publisher.

The export rights of this book are vested solely with the publisher. Eleventh Printing

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June, 2005

Published by Asoke K. Ghosh, Prentice-Hall of lndia Private Limited, M-97, Connaught Circus, New Delhi-110001 and Printed by Rajkamal Electric Press, 6-35/9, G.T. Karnal Road Industrial Area, Delhi-110033.

Ib My Parents

B. Ramamurthy and B. Savitri

Contents
Preface Acknowledgements INTRODUCTION Trends in Computing 2 Pattern and Data 4 Pattern Recognition Tasks 6 Methods for Pattern Recognition Tasks 8 Organization of the Topics 10 REVIEW QUESTIONS 13
1. BASICS OF ARTIFICIAL NEURAL NETWORKS 1.1 Characteristics of Neural Networks 15 1.2 Historical Development of Neural Network Principles 21 1.3 Artificial Neural Networks: Terminology 24 1.4 Models of Neuron 26 1.5 Topology 29 1.6 Basic Learning Laws 31 1.7 Summary 36 REVIEW QUESTIONS 37 PROBLEMS 38 2. ACTIVATION AND SYNAPTIC DYNAMICS 2.1 Introduction 40 2.2 Activation Dynamics Models 42 2.3 Synaptic Dynamics Models 52 2.4 Learning Methods 57 2.5 Stability and Convergence 68 2.6 Recall in Neural Networks 72 2.7 Summary 73 REVIEW QUESTIONS 73 PROBLEMS 74
3. FUNCTIONAL UNITS OF ANN FOR PATTERN RECOGNITION TASKS 3.1 Pattern Recognition Problem 77
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15-39

76-07

Contents

3.2 Basic Functional Units 78 3 3 Pattern Recognition Tasks by the Functional . Units 79 REVIEW QUESTIONS 87 4. FEEDFORWARD NEURAL NETWORKS 4.1 Introduction 88 4 2 Analysis of Pattern Association Networks 90 . 4.3 Analysis of Pattern Classification Networks 99 4.4 Analysis of Pattern Mapping Networks 113 4.5 Summary and Discussion 135 REVIEW QUESTIONS 136 PROBLEMS 138
5. FEEDBACK NEURAL NETWORKS 142-200 5 1 Introduction 142 . 5.2 Analysis of Linear Autoassociative FF Networks 144 5.3 Analysis of Pattern Storage Networks 146 5.4 Stochastic Networks and Simulated Annealing 165 5 5 Boltzmann Machine 183 . 5 6 Summary 196 . REVIEW QUESTIONS 197 PROBLEMS 199
6. COMPETITIVE LEARNING NEURAL NETWORISS 201-232

6.1 Introduction 201 6.2 Components of a Competitive Learning Network 203 6 3 Analysis of Feedback Layer for Different Output . Functions 211 6.4 Analysis of Pattern Clustering Networks 218 6.5 Analysis of Feature Mapping Network 223 6.6 Summary 228 REVIEW QUESTIONS 229 PROBLEMS 230 7. ARCHITECTURES FOR COMPLEX PATTERN RECOGNITION TASKS 7.1 Introduction 233 7 2 Associative Memory 235 . 7 3 Pattern Mapping 240 . 7.4 Stability-Plasticity Dilemma: ART' 258 7.5 Temporal Patterns 265 7 6 Pattern Variability: Neocognitron 271 . 7.7 Summary 273 REVIEW QUESTIONS 273 PROBLEMS 276 233-277

Contents
8. APPLICATIONS OF

vii

ANN

278339

8.1 8.2 8.3 8.4

Introduction 278 Direct Applications 280 Application Areas 306 Summary 334 REVIEW QUESTIONS 336 PROBLEMS 338

Appendices 341397 A - Features of Biological Neural Networks through Parallel and Distributed Processing Models 341 B - Mathematical Preliminaries 351 C - Basics of Gradient Descent Methods 364 D - Generalization in Neural Networks: An Overview 372 E -Principal Component Neural Networks: An Overview 379 F - Current Trends in Neural Networks 391 Bibliography Author Index Subject Index

Preface
Over the past f i h n years, a view has emerged that computing based on models inspired by our understanding of the structure and function of the biological neural networks may hold the key to the success of solving intelligent tasks by machines. The new field is called Artificial Neural Networks, although it is more apt to describe it as parallel and distributed processing. This introductory book is aimed a t giving the basic principles of computing with models of artificial neural networks, without giving any judgment on their capabilities in solving intelligent tasks. This text is an outgrowth of the author's teaching and research experience for the past 25 years in the areas of speech and image processing, artificial intelligence and neural networks. The principles of neural networks are closely related to such areas as pattern recognition, signal processing and artificial intelligence. Over the past 10 years many excellent books have been published in the area of artificial neural networks and many more are being published. Thus one more book like this may seem redundant. However, there seems to be still a need for a book that could be used as a text book a t an introductory level. This text is designed to meet such a demand. It must be pointed out that most of the ideas presented here have been taken from the available references and mainly from the recently published books in this area. The distinguishing feature of this book is the manner in which the various concepts are linked to provide a unified view of the subject. The book is a self-contained, covering the fundamental principles of artificial neural networks. It can be adopted as a text book for a graduate level course. Students with basic engineering or physics or mathematics background can easily follow the topics discussed. No advanced concepts from any field are assumed. It can also be used by scientists and engineers who have an aptitude to explore new ideas in computing. 'l'he book starts mth tracing the developments in computmg m general, and the trends in artificial intelligence, in particular. The prevailing notions of intelligence and intelligent tasks are discussed in the context of handling these tasks by machines. The primary reasons for the performance gaps in the current systems can be traced to the differences in the perceptions of a given input by machine

Preface and by human beings. The introductory chapter discusses the distinction between data and pattern, and between recognition and understanding, to highlight the differences in machine and human perceptions of input to a system. The chapter also deals with several pattern recognition tasks which human beings are able to perform naturally and effortlessly, whereas there are no good algorithms to implement these tasks on a machine. A brief discussion on existing models and methods of solving pattern recognition tasks is given, followed by an analysis of the need for new models of computing to deal with such tasks. The basics of artificial neural networks a r e introduced i n Chapter 1. The terminology is introduced with reference to a single computing element (or artificial neuron) and some simple connection topologies of the computing elements. Basic learning laws are also discussed in this chapter. In an artificial neural network the changes of activation values of units and the connection weights (synapses) between units are governed by the equations describing the activation and synaptic dynamics, respectively. Models for activation and synaptic dynamics are introduced in Chapter 2. Stability and convergence issues of these models are discussed, as these will determine the ability of an artificial neural network to accomplish a given pattern recognition task. Chapter 3 introduces some basic structures of artificial neural networks and the pattern recognition tasks that these structures can perform. The structures are organized into feedforward, feedback and competitive layer networks. The corresponding broad pattern recognition tasks are pattern association, pattern storage and pattern clustering, respectively. Chapters 4-6, the kernel of the book, provide a detailed analysis of the three basic structures of artificial neural networks and discuss the different pattern recognition tasks that these structures address. Chapter 4 deals with feedforward networks, where the pattern association, classification and mapping tasks are analyzed. Perceptron learning and its limitations for adjusting the weights of a multilayer feedforward network are covered. The generalized delta rule or the backpropagation learning is presented for training a multilayer feedforward neural network. In Chapter 5 feedback networks and the associated pattern storage and pattern environment storage tasks are analyzed. Here, the Hopfield energy analysis of feedback networks is presented in detail, and the need for stochastic neural networks is clearly brought out, besides introducing the Boltzmann machine to accomplish the task of pattern environment storage. Finally, the chapter concludes with a detailed discussion on the Boltzmann learning law for stochastic neural networks. Competitive learning networks are analyzed in Chapter 6 which presents the details on how pattern clustering and feature

Preface

xi

mapping are accomplished through the competitive learning networks. The chapter also discusses the principles of self-organization and the self-organization learning for feature map. Chapter 7 deals with artificial neural network architectures for complex pattern recognition tasks such as associative memory, pattern mapping, stability-plasticity dilemma, temporal patterns and pattern variability. In each case, a brief description of the task and a suitable architecture for the task is given. Applications of artificial neural network models are covered in Chapter 8. Some direct applications considered are: pattern classification, associative memories, optimization, vector quantization and control. Some of the application areas discussed are: speech and image processing and decision making. In each case a simplified version of the problem to suit an existing neural network architecture is considered for illustration. The chapter also analyzes issues in the development of neural network models for practical problems. It concludes with a discussion on several unresolved issues that- severely limit the application of models based on artificial neural networks. The book provides examples and illustrations a t appropriate places. I t also gives algorithms are given for important learning laws to enable the reader to implement them. Finally, review questions and problems are given a t the end of each chapter. A solution manual for all the problems is available and can be obtained either from the publisher or at the website http:// speech.iitm.ernet.in/Main/faculty/ yegm/Biodata/solutionmanual.tar.gz.

Acknowledgements
I am grateful to the Director of the Indian Institute of Technology Madras for providing an excellent environment for work with ample facilities and academic freedom. I wish to thank several of my faculty lectures a s well a s my colleagues for providing feedback on ~qy notes. In particular, I would like to thank Dr. C. Chandra Sekhar, Dr. S. Das, Dr. Deepak Khemani and Dr. R. Sundar for many useful interactions. I have been fortunate to have an excellent group of students and colleagues in the Speech and Vision Laboratory of the Department of Computer Science and Engineering. In particular, the following students have contributed significantly in the preparation of many diagrams, tables and examples: Anitha Mary Jacob, Hemant, Ikbal, Kedar, Jaganadha Reddy, Mathews, Pavan Kumar, Poongodi, Raghu, Rajasekhar, Rajendran, Ravindra Babu, Seetha, Shaji, and Vijay. The following students have really helped me to improve my understanding of the concepts through discussions and constant criticism: Madhukumar, Manish, Murthy and ~ a g h u . I would like to thank the following students who have contributed significantly in the preparation of the manuscript: A. Ravichandran, C. Chandra Sekhar, P.P. Raghu, N. Sudha, A. Neeharika and Manish Sarkar. One individual who has been associated with this effort almost from the beginning is A. Tamilendran, who patiently typed several versions of this book and also helped me in organizing the material for the book. I am indeed grateful for his untiring and dedicated effort. Finally, I would like to thank my wife Suseela and my daughters Madhuri and Radhika for their patience and cooperation during the nearly five years period of writing this book. I am indeed very fortunate to have understanding and accommodative members in my family, without whose help I would not have been able to write this book.

The current search for new models of computing based on artificial neural networks is motivated by our quest to solve natural (intelligent) tasks by exploiting the developments in computer technology [Marcus and Dam, 1991;IEEE Computer, Oct. 19961.The developments in Artificial Intelligence (AI) appear promising, but when applied to real world intelligent tasks such as in speech, vision and natural language processing, the AI techniques show their inadequacies and 'brittleness' in the sense that they become highly task specific [DreyfUs, 1992; Rich and Knight, 1991; Holland, 1986; Pearl, 19841. Like in the algorithmic methods for problem solving, even the A1 techniques need clear specification and mapping of the given problem i t a form suitable for the techniques to be applicable. no For example, in order to apply heuristic search methods, one needs to map the problem as a search problem. Likewise, to solve a problem using a rule-based approach, it is necessary to explicitly state the rules. It is here scientists are hoping that computing models inspired by biological neural networks may provide new directions to solve problems arising in natural tasks. In particular, it is hoped that neural networks would extract the relevant features from the input data and perform a pattern recognition task by learning from examples without explicitly stating the rules for performing the task. The purpose of this book is to discuss the issues in pattern recognition tasks and some of the current approaches used to address these issues based on Artificial Neural Networks (ANN). We discuss the notion of intelligence and intelligent tasks, and then we briefly trace the developments in AI, in particular, and computer technology, in general. We show that computing in intelligent tasks requires a distinction between pattern and data. To give a better appreciation of the nature of intelligent tasks, we elaborate the distinction between pattern and data with illustrations. We also discuss the nature of patterns and various types of pattern recognition tasks which we encounter in our daily life. We present briefly different methods available for dealing with various pattern recognition tasks, and make a case for new models of computing based on ANNs to address these tasks. To appreciate the ANN models, some basics of ANN, including the terminology, are introduced. We provide a detailed discussion on the operation of ANNs through models of activation and synaptic dynamics of ANNs. Some ANNs are identified as basic functional

Introduction

units which form building blocks for more complex networks. The pattern recognition tasks that these functional units can handle are discussed, and a detailed analysis of the performance of these units is given. Specific architectures are needed to address complex pattern recognition tasks. Each of these architectures is typically tailored to, deal with some critical issues of the pattern recognition tasks. Principles and architectures of ANNs are currently limited to trivial applications, where the problems are modified to suit the architectures. Some of these direct applications are discussed in detail. The more challenging task is to solve real world problems. Limitations of the existing ANNs and issues that need to be addressed to deal with the real world problems are discussed in the final sections of this book. In the end we notice that our current understanding of problems and the existing models of ANNs still fall too short of our needs and expectations.

Trends in Computing In this section we trace the background for the development of neural network models from the viewpoint of computing. First we shall consider the prevailing notion of intelligence and intelligent tasks. Then we shall trace the developments in computing and computer technology that led to the belief that intelligent tasks can be realized by a machine. In particular, we shall discuss the trends in AI and the gaps in performance of the current AI systems. The primary reason for the performance gaps can be traced to the differences in the perception of an input by machines and by human beings. These differences will be discussed in the following sections. The current usage of the terms like AI systems, intelligent systems, knowledge-based systems, expert systems, etc., are intended to convey that it is possible to build machines that can demonstrate intelligence similar to human beings in performing some simple tasks. In these tasks we look for the final result of the performance of the machine for comparison with the performance of a human being. We attribute intelligence to the machine if the performance of the machine and human being are the same. But the ways the tasks are performed by the machine and a human being are basically different. The machine performs a task in a step-by-step sequential manner dictated by an algorithm, which may be modified by some known heuristics. Therefore the algorithm.and the heuristics have to be derived for a given task. Once derived, they remain fixed. Typically, implementation of a task requires large number of operations (arithmetic and logical) and a large amount of memory. The trends in computing along several dimensions clearly point out the ability of a machine to handle large number of operations. Table I shows the developments in device technology, software,

Trends in Computing
Table I Trends in Computing
.
-

1. Techn01ogy Mechanical devices Vacuum tubes Transistors Medium scale integration Large scale integration Very large scale integration Optical devices 2. Sof'tware Machine language Assembly language High level languages LISP, PROLOG 4th generation languages Object-oriented languages Distributed 1anguagedAVA Natural language 3. Architecture Uniprocessors Array processors Special purpose chips Supercomputers Parallel computers VLSI array processors Parallel distributed processing models Optical computers 4. A Concepts I Numerical processing Symbolic processing General problem solving Logic Heuristic search Computational linguistics Natural language processing Knowledge representation Expert systems Hidden markov models Artificial neural networks

architecture and artificial intelligence concepts [IEEE Computer, Oct. 19961. In device technology, the trend is to make each device more and more powerful andlor to pack more and more devices in a single chip, thus increasing the packing density. The trend in software is to bring the computer more and more closer to the user by providing multimodal communication and natural input and output facilities. In particular, the goal is to achieve communication through the natural language of the user, instead of using artificial computer languages. Significant developments are taking place in the evolution of

Introduction

computer architectures. It is realized that single or multiple processors using Von Neumann model have severe limitations of speed. Parallel computers and optical computers are also limited in scope due to their mismatch with the problems [Partridge, 19971. The trend is to explore architectures based on Parallel and Distributed Processing (PDP) models motivated by our understanding of the structure and function of the biological neural network [Rumelhart and McClelland, 1986; McClelland and Rumelhart, 19861. The driving force for these developments is the desire to make machines more and more intelligent. Finally, it is in the applications and in the simulation of applications, the real test of the technology develop ments can be seen. The notion of intelligence and intelligent systems is changing continuously as can be seen from the evolution of A1 concepts (Table I). Originally computing was meant only for numerical calculations. When it was realized that symbols like text also can be manipulated using step-by-step algorithmic approach, it was felt that logical inference could be implemented on a computer. Through logic it was possible to incorporate heuristics in reducing the search in the solution of an A1 problem. Therefore it was felt that all A1 problems including problems of speech and image understanding could be solved by using clever search methods [Reddy, 1988; Reddy, 19961. But it was soon realized that mapping a problem onto a problem of heuristic search was possible only for tasks where representation was obvious as in some games and puzzles. To overcome the representational problems, rule-based approaches were suggested, where the rules for the solution of a problem could be explicitly obtained from a human expert. The set of rules constituting the knowledge, together with an inferencing mechanism for the application of the rules, resulted in proliferation of expert systems or knowledge-based systems for various tasks [Feigenbaum et al, 19881. It did not take much time to realize that explicit statement of rules by a human expert does not constitute all the knowledge he uses for a given problem [Holland, 1986; Drefis, 19891. Moreover, the issues of common sense knowledge and learning, which are so natural to any human being, could not easily be captured in a machine [Dreyfus, 1972; Dreyfus, 19921.

Pattern and Data

Speech, vision and natural language processing problems dominated the attention of designers of intelligent systems [Reddy, 19961. The most difficult issues in these cases are to derive the description of the pattern in data in terms of symbols and to derive a set of rules representing the knowledge of the problem domain. Even if we can implement highly complex and compute intensive algorithms with the

Pattern and Data

current technology, it is now realized that we cannot derive the pattern description and knowledge completely for a given problem. Thus the mere ability of a machine to perform large amount of symbolic processing and logical inferencing (as is being done in AI) does not result in an intelligent behaviour. The main difference between human and machine intelligence comes from the fact that humans perceive everything as a pattern, whereas for a machine everything is data [Greenberger, 19621. Even in routine data consisting of integer numbers (like telephone numbers, bank account numbers, car numbers), humans tend to perceive a pattern. Recalling the data is also normally from a stored pattern. If there is no pattern, then it is very difficult for a human being to remember and reproduce the data later. Thus storage and recall operations in human beings and machines are performed by different mechanisms. The pattern nature in storage and recall automatically gives robustness and fault tolerance for the human system. Moreover, typically far fewer patterns than the estimated capacity of human memory system are stored. Functionally also human beings and machines differ in the sense that human beings understand patterns, whereas machines can be said to recognise patterns in data. In other words, human beings can get the whole object in the data even though there is no clear identification of subpatterns in the data. For example, consider the name of a person written in a handwritten cursive script. Even though the individual patterns for each letter may not be evident, the name is understood due to the visual hints provided in the written script. Likewise, speech is understood even though the patterns corresponding to the individual sounds may be distorted, sometimes to unrecognizable extents [Cooper,19801.Another major characteristic of a human being is the ability to continuously learn from examples, which is not understood well enough to implement it in an algorithmic fashion in a machine. Human beings are capable of making mental patterns in their biological neural network from an input data given in the form of numbers, text, picture, sounds, etc., using their sensory mechanisms of vision, sound, touch, smell and taste. These mental patterns are formed even when the data is noisy or deformed due to variations such as translation, rotation and scaling. The patterns are also formed from a temporal sequence of data as in the case of speech and pictures. Human beings have the ability to recall the stored patterns even when the input information is noisy or partial (incomplete) or mixed with information pertaining to other patterns. Although patterns and data are different, these terms are used interchangeably in the literature. While we also use these terms interchangeably throughout the book, the distinction between these must be kept in mind to appreciate the limitations of a machine over human beings for performing pattern recognition tasks.

Introduction

Pattern Recognition Tasks

The inherent differences in information handling by human beings and machines in the form of patterns and data, respectively, and in their functions in the form of understanding and recognition, respectively, have led us to identify and discuss several pattern recognition tasks which human beings are able to perform very naturally and effortlessly, whereas no simple algorithms exist to implement these tasks on a machine. The identification of these tasks below was somewhat influenced by the organization of the artificial neural network models described in this book [Yegnanarayana, 1994; Duda and Hart, 19731.
Pattern Association

Pattern association problem involves storing a set of patterns or a set of input-output pattern pairs in such a way that when a test pattern is presented, the stored pattern or pattern pair corresponding to the test pattern is recalled. This is purely a memory function to be performed for patterns or pattern pairs. Typically, it is desirable to recall the correct pattern even though the test pattern is noisy or incomplete. The problem of storage and recall of patterns is called the autoassociation task. Since this is a content addressable memory function, the system should display accretive behaviour, i.e., should recall the stored pattern closest to the given input. The problem of storage and recall of pattern pairs is called a heteroassociation task. It is also necessary to store as many patterns or pattern pairs as possible in a given system. Printed characters or any set of fixed symbols could be considered as examples of patterns for these tasks. Note that in this case the test patterns are the same as the training patterns, but with some noise added or some portions missing. In other words, the test patterns are generated from the same source in an identical manner as the training patterns.
Pattern Classification

In pattern classification, given a set of patterns and the corresponding class label, the objective is to capture the implicit relation among the patterns of the same class, so that when a test pattern is given, the corresponding output class label is retrieved. Note that the individual patterns of each class are not memorized or stored. Typically, in this case the test patterns belonging to a class are not the same as the patterns used in the training, although they may originate from the same source. Speech spectra of steady vowels generated by a person, or hand-printed characters, could be considered as examples of patterns for pattern classification problems. Pattern classification problems display accretive behaviour. Pattern classification problems are said to belong to the category of supervised learning.

Pattern Recognition Tasks

Pattern Mapping

In pattern mapping, given a set of input patterns and the corresponding output patterns, the objective is to capture the implicit relationship between the input and output patterns, so that when a test input pattern is given, the pattern corresponding to the output of the generating system is retrieved. Note that the system should perform some kind of generalization as opposed to memorizing the information. Typically, in this case the test patterns are not the same as the training patterns, although they may originate h m the same source. Speech spectra of vowels in continuous speech could be considered as examples of patterns for pattern mapping problem. Pattern mapping generally displays interpolative behaviour.
Pattern Grouping

In this case, given a set of patterns, the problem is to identify the subset of patterns possessing similar distinctive features, and group them together. Since the number of groups and the features of each group are not explicitly stated, this problem belongs to the category of unsupervised learning. Note that, this is possible only when the features are unambiguous as in the case of hand-printed characters or steady vowels. In the pattern classification problem the patterm for each group are given separately. In pattern grouping, on the other hand, patterns belonging to several groups are given, and the system has to resolve them into different groups. Pattern grouping is also called pattern clustering task. Examples of the patterns for this task could be printed characters or hand-printed characters. In the former case the grouping can be performed based on the data itself. Moreover, in that case, the test data is also generated from an identical source as for the training data. For hand-printed characters or steady vowel patterns, features of the patterns in the data are used for grouping. In this case the test data is generated from a similar source as for the training data, such that only the pattern features are preserved. The actual training data values are not necessarily reproduced in the test patterns.
Feature Mapping

In several patterns the features are not unambiguous. In fact the features vary over a continuum, and hence it is difficult to form groups of patterns having some distinct features. In such cases, it is desirable to display directly the feature variations in the patterns. This again belongs to the unsupervised learning category. In this case what is learnt is the feature map of a pattern and not the group or the class to which the pattern belongs. This occurs, for example, in the speech spectra for vowels in continuous speech. Due to changes in

Introduction

the vocal tract shape for the same vowel occurring in different contexts, the features (formants or resonances of the vocal tract in this case) vary over overlapping regions for different vowels.
Pattern Variablllty

There are many situations when the features in a pattern undergo unspecified distortions each time the pattern is generated by the system. This can be easily seen in the characters in normal handwritten cursive script. Human beings are able to recognise them due to some implicit interrelations among the features, which are not known precisely. Classification of such patterns falls into the category of pattern variability task.
Temporal Patterns

All the tasks discussed so far refer to the features present in a given static pattern. Human beings are able to capture effortlessly the dynamic features present in a sequence of patterns. This is true, for example, in speech where the changes in the resonance characteristics of the vocal tract system (e.g., formant contours) capture the significant information about the speech message. This is also true in any dynamic scene situation as in a movie on a television. All such situations require handling multiple static patterns simultaneously, looking for changes in the features in the subpatterns in adjacent pattern pairs.
Stabiiity-piasticity Dilemma

In any pattern recognition task the input patterns keep changing. Therefore it is difficult to freeze the categorization task based on a set of patterns used in the training set. If it is frozen, then the systkm cannot learn the category that a new pattern may suggest. In other words, the system lacks its plasticity. On the other hand, if the system is allowed to change its categorization continuously, based on new input patterns, it cannot be used for any application such as pattern classification or grouping, as it is not stable: This is called stability-plasticity dilemma in pattern recognition.
Methods for Pattern Recognition Tasks

Methods for solving pattern recognition tasks generally assume a sequential model for the pattern recognition process, consisting of pattern environment, sensors to collect data from the environment, feature extraction from the data and associatiodstorage/classificatiodgrouping using the features [Kanal, 1974;Mantas, 19871.

Methods for Pattern Recognition Tasks

The simplest solution to a pattern recognition problem is to use a template matching, where the data of the test pattern is matched point by point with the corresponding data in the reference pattern. Obviously, this can work only for very simple and highly restricted pattern recognition tasks. At the next level of complexity, one can assume a deterministic model for the pattem generation process, and derive the parameters of the model from a given pattern in order to represent the information in the pattern.-Matching the test and reference patterns is done at the parametri'c level. This works well when the model of the generation process is known with reasonable accuracy. One could also assume a stochastic model for the pattern generation process, and derive the parameters of the model from a large set of training patterns. Matching the test and reference patterns can be performed by several statistical methods such as likelihood ratio, variance weighted distance, Bayesian classification, etc. Other approaches for pattern recognition tasks depend on extracting features from parameters or data. These features may be specific for the task. A pattern is described in terms of features, and pattern matching is done using descriptions in terms 'of the features. Another method based on descriptions is called syntactic pattern recognition in which a pattern is expressed in terms of primitives suitable for the classes of patterns under study. Pattern matching is performed by matching the descriptions of the patterns in terms of the primitives. More recently, methods based on the knowledge of the sources generating the patterns are being explored for pattern recognition tasks. These knowledge-based systems express the knowledge in the form of rules for generating and perceiving patterns. The main difficulty in each of the pattern recognition techniques alluded to above is that of choosing an appropriate model for the pattern generating process and estimating the parameters of the model in the case of a model-based approach, or extraction of features from the datalparameters in the case of feature-based methods, or selecting appropriate primitives in the case of syntactic pattern recognition, or deriving rules in the case of a knowledge-based approach. It is all the more difficult when the test patterns are noisy or distorted versions of the patterns used in the training process. The ultimate goal is to impart to a machine the pattern recognition capabilities comparable to those of human beings. This goal is difficult to achieve using many of the conventional methods, because, as mentioned earlier, these methods assume a sequential model for the pattern recognition process Devijver and Kittler, 1982; Schalkolff, 1992; Bezdek, 19961. On the other hand, the human pattern recognition process is an integrated process involving the use of biological neural processing even from the stage of sensing the environment. Thus the neural processing takes place directly on the data for feature extraction and pattern matching. Moreover, the large

10

Introduction

size (in terms of number of neurons and interconnections) of the biological neural network and the inherently different mechanism of processing may be contributing to our abilities of pattern recognition in spite of variability and noise, and also to our abilities to deal with the temporal patterns as well as with the so called stability-plasticity dilemma. It is for these reasons attempts are being made to explore new models of computing. Such models for computing are based on artificial neural networks, the basics of which are introduced in the next chapter.

Organization of the Topics

It is possible to view the topics of interest in artificial neural networks at various levels as follows (Table 11): Table II
Organization of Topics in Artificial Neural Networks a t Different Levels

(i) Problem level Issues: Understanding human problem solving as a pattern recognition process Understanding biological neural networks Topics discussed: (Introduction) Distinction between pattern and data Distinction between information processing by human beings and by machines Pattern recognition tasks Methods and models for pattern recognition tasks (ii) Basics level Issues: Models of neurons Models of interconnections Models of activation dynamics Models of synaptic dynamics Global pattern formation by models Stability and convergence Topics discussed: (Chapters 1 and 2) Basic principles of biological neural networks Three basic models of artificial neurons: MP neuron, Percephn and Adaline Topology: Basic structures of ANN Basic learning laws Activation dynamics models: Additive and shunting Synaptic dynamics models: Requirements for learning and categories of models of learning process Stability theorems Neural network recall

Organization of the Topics

Table I (Cont.) I

11

(iii) Functional level Issues: Identification of basic functional units which can be analyeed Analysis of pattern recognition t a s b by the functional units Functional units as basic building blocb for complex architectures of ANN Topics discussed: (Chapters 3 to 6) Three types of functional units namely, FF, FB and CL networks Analysis of FF networks: Pattern association, perceptron, multilayer perceptron, gradient descent methods, backpropagation algorithm Analysis of FB networks: Pattern storage, Hopfield network, Boltzmann machine, simulated annealing Analysis of CL networks: Pattern clustering, self-organization, feature mapping (iv) Architectural level Issues: Identification of pattern recognition t a s b and issues Development of architectures for complex pattern recognition t a s b Architectures specific to problems Topics discussed: (Chapter 7 ) Associative memory: BAM Pattern mapping: RBF and CPN Stability-plasticity dilemma: Adaptive k o n a n c e Theory (ART) Temporal patterns: Avalanche, Time Delay NN (TDNN) Pattern variability: Neocognitron (v) Applications level Issues: Potential for direct application Mapping of the given application onto a neural network model Topics discussed: (Chapter 8) Direct applications: Associative memory, data compression, optimization, vector quantization and control Application areas: Problems in speech, image and decision making

(i) Problem level: This involves mapping the real world problems as pattern processors. This may require good understanding of human information processing both from the psychological and biological angles. This topic is not within the scope of this book, although in the introductory chapter we have discussed briefly the issues in problem solving by humans and by machines. (ii) Basics level: Advances in technology and understanding of human information processing system enable us to evolve better models of neurons as processing units, their interconnections and dynamics (activation and synaptic), learning laws and recall procedures. These models in turn will enable us to build sophisticated

12

Introduction

artificial neural networks for solving complex pattern recognition tasks. Chapters 1 and 2 deal with some issues at the basics level. In particular, in Chapter 1, we present basic models of artificial neurons and some basic structures obtained by interconnecting these neuron models. The chapter also includes some basic learning laws commonly used in artificial neural networks. In Chapter 2, models of activation and synaptic dynamics are described. The chapter also deals with issues of stability and convergence, pertaining to activation and synaptic dynamics models, respectively.
(iii) Functional level: It is necessary to understand the pattern recognition tasks that can be performed by some of the basic structures of artificial neural networks. These basic structures then will form building blocks for development of new architectures for complex pattern recognition tasks. We have identified three categories of functional units, namely, feedforward, feedbackward and competitive learning networks. Chapters 3 to 6 deal with detailed analysis of the pattern recognition tasks that these functional units can perform. Chapter 3 deals with a description of the functional units and the corresponding pattern recognition tasks. Chapter 4 gives a detailed analysis of feedforward networks, illustrating at each stage the limitations of the networks to solve a given pattern recognition task. The chapter concludes with a discussion on the capabilities and limitations of multilayer feedforward neural networks and the associated backpropagation learning law. Chapter 5 i s devoted to analysis of feedback networks. The significance of the nonlinear output function of a processing unit in feedback networks for pattern storage task is discussed. Hopfield energy analysis of a feedback network is used to demonstrate the capability and also limitations of such networks. Stochastic network models are introduced to overcome some of the limitations of the Hopfield model due to local minima problems. Finally, the Boltzmann machine is presented to address the issue of pattern environment storage. The chapter concludes with a discussion on Boltzmann learning law and its implementation using simulated annealing. Chapter 6 deals with a detailed analysis of competitive learning networks. In particular, simple networks for pattern clustering are considered. Self-organizing neural networks are presented as an extension of the idea of competitive learning. The feature mapping capability of the self-organizing networks is illustrated with examples. (iv) Architectural level: For complex pattern recognition tasks new architectures need to be evolved from the known principles, components and structures at the basics and functional levels. Chapter 7 discusses development of architectures which address some complex issues in pattern recognition tasks. We present an extended

Organization of the Topics

1 3

discussion on some specific architectures for associative memory and pattern mapping tasks. In addition, we discuss Counter Propagation Networks (CPN) for data compression, Adaptive Resonance Theory (ART) architecture for stability-plasticity dilemma, neocognitron for pattern variability, and avalanche architecture and time delay neural networks for temporal patterns. These architectures are meant for specific tasks and hence are severely limited in their use. However, understanding the development process of these architectures helps us to evolve new architectures tailored to specific issues. (v) Appllcatlons level: Cumently most of the neural network models are severely limited in their abilities to solve real world problems. At the application level, one can consider two different categories. In one case it may be possible to map the given application onto a neural network model or architecture. We call such situations as direct applications. Simple associative memories, data compression, optimization, vector quantization and pattern mapping fall into the category of direct application. But in case of problems such as in speech recognition, image processing, natural language processing and decision making, it is not normally possible to see a direct mapping of the given problem onto a neural network model. These are natural tasks which human beings are good at, but we still do not understand how we do them. Hence it is a challenging task to find suitable neural network models to address these problems [Barnden, 1995; Cowan and Sharp, 19881.

Review Questions
1 Give examples for which heuristic search methods of artificial . intelligence are applicable. 2. Discuss the developments in artificial intelligence that led to the interest in exploring new models for computing. 3 What is a rule-based expert system? Why do we say such systems . are 'brittle'? Discuss your answer with an illustration. 4. What are the differences in the manner of solving problems by human beings and by machines? lllustrate with examples. 5. Explain the distinction between pattern and data. 6. What are the features of pattern processing by human beings? 7. Explain, with examples, differences between the following pattern recognition tasks: (a) Association vs classification (b) Classification vs mapping (c) Classification vs clustering

14

Introductipn

8. Explain the following pattern recognition issues with illustrations:

(a) Pattern variability (b) Temporal patterns (c) Stability-plasticity dilemma 9. What are different methods for solving pattern recognition tasks? 10. What is the difficulty with the existing methods for solving natural pattern recognition problems? 11. Identifj. some difficult pattern recognition problems in the following areas: (a) Speech (b) Vision (c) Natural language processing 12. What are the issues at the architectural level of artificial neural networks? 13. What are the situations for direct applications of artificial neural networks? 14. What is the difficulty in solving a real world problem like speech recognition even by an artificial neural network model?

Chapter 1

Basics of Artificial Neural Networks

New models of computing to perform pattern recognition tasks are inspired by the structure and performance of our biological neural network. But these models are not expected to reach anywhere near the performance of the biological network for several reasons. Firstly, we do not fully understand the operation of a biological neuron and the neural interconnections. Moreover, it is nearly impossible to simulate: (i) the number of neurons and their interconnections as it exists in a biological network, and (ii) their operations in the natural asynchronous mode. However, a network consisting of basic computing units can display some of the features of the biological network. In this chapter, the features of neural networks that motivate the study of neural computing are discussed. A simplified description of the biological neural network is given in Section 1.1. The differences in processing by the brain and a computer are then presented. In Section 1.2 a brief history of neurocomputing is presented, indicating some of the significant developments that have led to the current interest in the field. In Section 1.3 the terminology of artificial neural networks is introduced by considering the structure and operation of a basic computing unit, i.e., the artificial neuron. Three classical models of artificial neurons are described in Section 1.4. It is necessary to arrange the units in a suitable manner to handle pattern recognition tasks. In Section 1.5 we discuss a few basic structures which form the building blocks for more complex architectures. The basic training or learning laws for determining the connection weights of a network to represent a given problem are then discussed in Section 1.6. The concluding section gives a summary of the issues discussed in this chapter.
1.1 Characteristics of Neural Networks
1.1.1

Features of Biologlcal Neural Networks

Some attractive features of the biological neural network that make

16

Basics of Artificial Neural Networks

it superior to even the most sophisticated A1 computer system for pattern recognition tasks are the following: (a) Robustness and fault tolerance: The decay of nerve cells does not seem to affect the performance significantly. (b) Flexibility: The network automatically adjusts to a new environment without using any preprogrammed instructions.
(c) Ability to deal with a variety of data situations: The network can deal with information that is fuzzy, probabilistic, noisy and inconsistent. (dl Collective computation: The network performs routinely many operations in parallel and also a given task in a distributed manner.
1.1.2

Biological Neural Networks

The features of the biological neural network are attributed to its structure and function. The description of the biological neural network in this section is adapted from [Muller and Reinhardt, 199:CI. The fundamental unit of the network is called a neuron or a nerve cell. Figure 1.1 shows a schematic of the structure of a neuron. It
From other

Cell body NEURON 1

Nucleue

NEURON 2

Figure 1.1 Schematic diagram of a typical neuron or nerve cell.

consists of a cell body or soma where the cell nucleus is located. Treelike nerve fibres called dendrites are associated with the cell body. These dendrites receive signals from other neurons. Extending from the cell body is a single long fibre called the axon, which eventually branches into strands and substrands connecting to many other neurons at the synaptic junctions, or synapses. The receiving ends of these junctions on other cells can be found both on the dendrites and on the cell bodies themselves. The axon of a typical neuron leads to a few thousand synapses associated with other neurons.

Characteristics of Neural Networks

17

The transmission of a signal from one cell to another at a synapse is a complex chemical process in which specific transmitter substances are released from the sending side of the junction. The effect is to raise or lower the electrical potential inside the body of the receiving cell. If this potential reaches a threshold, an electrical activity in the form of short pulses is generated. When this happens, the cell is said to have fired. These electrical signals of fixed strength and duration are sent down the axon. Generally the electrical activity is confined to the interior of a neuron, whereas the chemical mechanism operates a t the synapses. The dendrites serve as receptors for signals from other neurons, whereas the purpose of an axon is transmission of the generated neural activity to other nerve cells (inter-neuron) or to muscle fibres (motor neuron). A third type of neuron, which receives information from muscles or sensory organs, such as the eye or ear, is called a receptor neuron. The size of the cell body of a typical neuron is approximately in the range 10-80 micrometers (pm) and the dendrites and axons have diameters of the order of a few pm. The gap at the synaptic junction is about 200 nanometers (nm) wide. The total length of a neuron varies from 0.01 mm for internal neurons in the human brain up to 1 m for neurons in the limbs. In the state of inactivity the interior of the neuron, the protoplasm, is negatively charged against the surrounding neural liquid containing positive Sodium (Na+)ions.. The resulting resting potential of about - 70 mV is supported by the action of the cell membrane, which is impenetrable for the positive Sodium ions. This causes a deficiency of positive ions in the protoplasm. Signals arriving from the synaptic connections may result in a temporary depolarization of the resting potential. When the potential is increased to a level above -60 mV, the membrane suddenly loses its impermeability against Na+ ions, which enter into the protoplasm and reduce the potential difference. This sudden change in the membrane potential causes the neuron to discharge. Then the neuron is said to have fired. The membrane then gradually recovers its original properties and regenerates the resting potential over a period of several milliseconds. During this recovery period, the neuron remains incapable of further excitation. The discharge, which initially occurs in the cell body, propagates as a signal along the axon to the synapses. The intensity of the signal is encoded in the frequency of the sequence of pulses of activity, which can range fiom about 1 to 100 per second. The speed of propagation of the discharge signal in the cells of the human brain is about 0.5-2 mls. The discharge signal travelling along the axon stops at the synapses, because there exists no conducting link to the next neuron. Transmission of the signal across the

18

Basics of Artificial Neural Networks

synaptic gap is mostly effected by chemical activity. When the signal arrives at the presynaptic nerve terminal, special substances called neurotransmitters are produced in tiny amounts. The neurotransmitter molecules travel across the synaptic junction reaching the postsynaptic neuron within about 0.5 ms. These substances modify the conductance of the postsynaptic membrane for certain ions, causing a polarization or depolarization of the postsynaptic potential. If the induced polarization potential is positive, the synapse is termed excitatory, because the influence of the synapse tends to activate the postsynaptic neuron. If the polarization potential is negative, the synapse is called inhibitory, since it counteracts excitation of the neuron. All the synaptic endings of an axon are either of an excitatory or an inhibitory nature. The cell body of a neuron acts as a kind of summing device due to the net depolarizing effect of its input signals. This net effect decays with a time constant of 5-10 ms. But if several signals arrive within such a period, their excitatory effects accumulate. When the total magnitude of the depolarization potential in the cell body exceeds the critical threshold (about 10 mV), the neuron fires. The activity of a given synapse depends on the rate of the arriving signals. An active synapse, which repeatedly triggers the activation of its postsynaptic neuron, will grow in strength, while others will gradually weaken. Thus the strength of a synaptic connection gets modified continuously. This mechanism of synaptic plasticity in the structure of neural connectivity, known as Hebb's rule, appears to play a dominant role in the complex process of learning. Although all neurons operate on the same basic principles as described above, there exist several different types of neurons, distinguished by the size and degree of branching of their dendritic trees, the length of their axons, and other structural details. The complexity of the human central nervous system is due to the vast number of the neurons and their mutual connections. Connectivity is characterised by the complementary properties of convergence and divergence. In the human cortex every neuron is estimated to receive a converging input on an average from about lo4 synapses. On the other hand, each cell feeds its output into many hundreds of other neurons. The total number of neurons in the human cortex is estimated to be in the vicinity of lo1', which are distributed in layers over a full depth of the cortical tissue at a constant density of about 15 x lo4 neurons per mm2. Combined with the average number of synapses per neuron, this yields a total of about 1015 synaptic connections in the human brain, the majority of which develop during the first few months after birth. The study of the properties of complex systems built of simple, identical units may lead to an understanding of the mode of operation of the brain in its various functions, although we are still very far from such an understanding.

Characteristics of Neural Networks

1.1.3 Performance Comparison of Computer and Biological Neural Networks

A set of processing units when assembled in a closely interconnected

network, offers a surprisingly rich structure exhibiting some features of the biological neural network. Such a structure is called an artificial neural network (ANN). Since ANNs are implemented on computers, it is worth comparing the processing capabilities of a computer with those of the brain [Simpson, 19901.
4

Speed: Neural networke are slow in processing information. For the most advanced computers the cycle time corresponding to execution of one step of a program in the central processing unit is in the range of few nanoseconds. The cycle time corresponding to a neural event prompted by an external stimulus occurs in milliseconds range. Thus the computer processes information nearly a million times faster. Processing: Neural networks can perform massively parallel operations. Most programs have large number of instructions, and they operate in a sequential mode one instruction &er another on a conventional computer. On the other hand, the brain operates with massively parallel operations, each of them having comparatively fewer steps. This explains the superior performance of human information processing for certain tasks, despite being several orders of magnitude slower compared to computer processing of information. Size and complexity: Neural networks have large number of computing elements, and the computing is not restricted to within neurons. The number of neurons in a brain is estimated to be about 1011 and the total number of interconnections to be around 1015. It is this size and complexity of connections that may be giving the brain the power of performing complex pattern recognition tasks which we are unable to realize on a computer. The complexity of brain is further compounded by the fact that computing takes place not only inside the cell body, or soma, but also outside in the dendrites and synapses. Storage: Neural networks store information in the strengths of the interconnections. In a computer, information is stored in the memory which is addressed by its location. Any new information in the same location destroys the old information. In contrast, in a neural network new information is added by adjusting the interconnection strengths, without destroying the old information. Thus information in the brain is adaptable, whereas in the computer it is strictly replaceable. Fault tolerance: Neural networks exhibit fault tolerance since the information is distributed in the connections throughout the network.

Basics of Artificial Neural Networks Even if a few connections are snapped or a few neurons are not functioning, the information is still preserved due to the distributed nature of the encoded information. In contrast, computers are inherently not fault tolerant, in the sense that information corrupted in the memory cannot be retrieved.

Control mechanism: There is no central control for processing information in the brain. In a computer there is a control unit which monitors all the activities of computing. In a neural network each neuron a d s based on the information locally available, and transmits its output to the neurons connected to it. Thus there is no specific control mechanism external to the computing task. While the superiority of human information processing system over the conventional computer for pattern recognition tasks is evident from the basic structure and operation of the biological neural network, it is possible to realize some of its features using a n artificial network consisting of basic computing units. It is possible to show that such a network exhibits parallel and distributed processing capability. In addition, information can be stored in a distributed manner in the connection weights so as to achieve some fault tolerance. These features are illustrated through several parallel and distributed processing models for cognitive tasks in [Rumelhart and McClelland, 1986; McClelland and Rumelhart, 1986; McClelland and Rumelhart, 19881. Two of these models are described briefly in Appendix A. The motivation to explore new computing models based on ANNs is to solve pattern recognition tasks that may sometimes involve complex optical and acoustical patterns also. It is impossible to derive logical rules for such problems for applying the well known A1 methods. It is also difficult to divide a pattern recognition task into subtasks, so that each of them could be handled on a separate processor. Thus the inadequacies of the logic-based artificial intelligence and the limitations of the sequential computing have led to the concept of parallel and distributed processing through ANN. It may be possible to realize a large number of simple computing units on a single chip or on a few chips, and assemble them into a neural computer with the present day technology. However, it is difficult to implement the large number of synaptic connections, and it is even more difficult to determine the strategies for synaptic strength adjustment (learning). Even with these limitations, ANNs can be developed for several pattern recognition tasks for which it is difficult to derive the logical rules explicitly. The network connection weights can be adjusted to learn from example patterns. The architecture of the network can be evolved to deal with the problem of generalization in pattern classification tasks. ANNs can also be designed to implement selective attention feature required for some pattern recognition tasks. While

Historical Development of Neural Network Principles

21

the adjustment of weights may take a long time, the execution of pattern classification or pattern recall will be much faster, provided the computing units work in parallel as in a dedicated hardware. Since information is stored in the connections and it is distributed throughout, the network can function as a memory. This memory is content addressable, in the sense that the information may be recalled by providing partial or even erroneous input pattern. The information is stored by association with other stored data like in the brain. Thus ANNs can perform the task of associative memory. This memory can work even in the presence of certain level of internal noise, or with a certain degree of forgetfulness. Thus the short-term memory function of the brain can be realized to some extent. Since information is stored throughout in an associative manner, ANNs are somewhat fault tolerant in the sense that the information is not lost even if some connections are snapped or some units are not hctioning. Because of the inherent redundancy in information storage, the networks can also recover the complete information from partial or noisy input pattern. Another way of looking at it is that an ANN is a reliable system built h m intrinsically unreliable units. Any degradation in performance is 'graceful' rather than abrupt as in the conventional computers. A remarkable feature of ANNs is that it can deal with data that are not only noisy, but also fuzzy, inconsistent and probabilistic, just as human beings do. All this is due to the associative and dktributed nature of the stored information and the redundancy in the information storage due to large size of the network. Typically, the stored information is much less than the capacity of the network.
1.2 Historical Development of Neural Network Principles

The key developments in neural network principles are outlined in this section. Table 1.1 gives a list of some significant contributions in this field that have put the field on a strong theoretical and conceptual foundation, as it exists today. In 1943 Warren McCulloch and Walter Pitts proposed a model of computing element, called McCulloch-Pitts neuron, which performs a weighted sum of the inputs to the element followed by a threshold logic operation [McCulloch and Pitts, 19431. Combinations of these computing elements were used to realize several logical computations. The main drawback of this model of computation is that the weights are fixed and hence the model could not learn fiom examples. In 1949 Donald Hebb proposed a learning scheme for adjusting a connection weight based on pre- and post-synaptic values of the variables [Hebb, 19491. Hebb's law became a fundamental learning rule in neural networks literature. In 1954 a learning machine was developed by Marvin Minsky, in which the connection strengths could be adapted automatically

22

Basics of Artificial Neural Networks

Table 1.1 Historical Development of Neural Network Principles
Key developments

Other significant contributions

von Neumann ( 1 9 4 6 ) a n e r a l purpose electronic computer Norbert Weiner (1948Mybernetics Shannon (1948tInformation theory Ashby (1952tDesign for a Brain Gabor (1954)-Nonlinear adaptive filter Uttley (1956)-Theoretical machine Caianiello (1961)-Statistical theory and learning Minsk (1961)Artificial intelligence Steinbuch (1961)-Learnmatrix Minsk and Selfiidge (196ltCredit assignment problem Nilsson (1965tLeamhg machine Amari (1967)-Mathematical solution to credit assignment Kohonen (1971)-Associative memories Willshaw (1971)-Self-organization and generalization Malsburg (1973jSelf-organization Tikhonw (1973)Regularization theory Little (1974)-Ising model and neural network Grossberg (1976bAdaptive resonance theory Anderson (1977)-Brain state-in-box model Little and Shaw (1978)-Stochastic law for NN, spin glasses Fukushima (1980)-Neocognitmn Kohonen (1982)-Feature mapping Barto, Sutton and Anderson (1983)Reinforcement learning Kirkpatrick (1983Himulated annealing nt Peretto (1984Htochastic u i s Mead (1985)-Analog VLSI Arnit (1985)43tatistical machines and stochastic networks Mopf (1986)-Drive-reinforcement leamhg Hecht-Nielsen (1987)-Counterpropagation Linsker (1988Helf-organization based on information preservation Kosko (1988)-BAM, Fuzzy logic in ANN Broomhead (1988)-Radial basis functions (RBF) Poggio and Girosi (1990bRBF and regularization theory

McCulloch and Pitts (1943) Model of neuron Logic operations Lack of learning Hebb (1949) Synaptic modifications Hebb's learning law Minsky (1954) Learning machines Rosenblatt (1958) Perceptmn learning and convergence Pattern classification Linear separability constraint Widrow and Hoff (1960) Adaline-LMS learning Adaptive signal processing Minsky and Papert (1969) Perceptron-Multilayer perceptron (MLP) Hard problems No learning for MLP Werbos (1974) Error backpropagation Hopfield (1982) Energy analysis Ackley, Hinton a d Sejnowski (1985) Boltzmann machine Rumelhart, Hinton and Williams (1986) Generalised delta rule

Historical Development of Neural Network Principles

23

[Minsky, 19541. But it was in 1958 that Rosenblatt proposed the perceptron model, which has weights adjustable by the perceptron learning law [Rosenblatt, 19581. The learning law was shown to converge for pattern classification problems, which are linearly separable in the feature space. While a single layer of perceptrons could handle only linearly separable classes, it was shown that a multilayer perceptron could be used to perform any pattern classification task. But there was no systematic learning algorithm to adjust the weights to realize the classification task. In 1969 Minsky and Papert demonstrated the limitations of the perceptron model through several illustrative examples [Minsky and Papert, 19691. Lack of suitable learning law for a multilayer perceptron network had put brakes on the development of neural network models for pattern recognition tasks for nearly 15 years till 1984. In 1960s Widrow and his group proposed an Adaline model for a eomputing element and an LMS learning algorithm to adjust the weights of an Adaline model Widrow and Hoff, 19601. The convergence of the LMS algorithm was proved. The algorithm was successfully used for adaptive signal processing situations. The resurgence of interest in artificial neural networks is due to two key developments in early 1980s. The first one is the energy analysis of feedback neural networks by John Hopfield, published in 1982 and 1984 [Hopfield, 1982; Hopfield, 19841. The analysis has shown the existence of stable equilibrium states in a feedback network, provided that the network has symmetric weights, and that the state update is made asynchronously. Also, in 1986, Rumelhart et al have shown that it is possible to adjust the weights of a multilayer feedforward neural network in a systematic way to learn the implicit mapping in a set of input-output pattern pairs [Rumelhart et al, 1986al. The learning law is called generalized delta rule or error backpropagation learning law. About the same time Ackley, Hinton and Sejnowski proposed the Boltzmann machine which is a feedback neural network with stochastic neuron units [Ackley et al, 19851. A stochastic neuron has an output function yrhich is implemented using a probabilistic update rule instead of a deterministic update rule as in the Hopfield model. Moreover, , the Boltzmann machine has several additional neuron units, called hidden units, which are used to make a given pattern storage problem representable in a feedback network. Besides these key developments, there are many other significant contributions made in this field during the past thirty years. Notable among them are the concepts of competitive learning, selforganization and simulated annealing. Self-organization led to the realization of feature mapping. Simulated annealing has been very useful in implementing the learning law for the Boltzmann machine. Several new learning laws were also developed, the prominent among

24

Basics of Artificial Neural Networks

them being the reinforcement learning or learning with critic. Several architectures were developed to address specific issues in pattern recognition. Some of these architectures are: adaptive resonance theory (ART), neocognitron and counterpropagation networks. Currently, fuzzy logic concepts are being used t o enhance the capability of the neural networks to deal with real world problems such as in speech, image processing, natural language processing and decision making [Lin and Lee, 19961.
1.3 Artificial Neural Networks: Terminology
Processing unit: We can consider an artificial neural network (ANN) as a highly simplified model of the structure of the biological neural network. A n ANN consists of interconnected processing units. The general model of a processing unit consists of a summing part followed by..an output part. The summing part receives N input values, weights each value, and computes a weighted sum. Th_e weighted sum is called the activation value. The output part produces a signal from the activation value. The sign of the weight for each input determines whether the input is excitatory (positive weight) or inhibitory (negative weight). The inputs could be discrete or continuous data values, and likewise the outputs also could be discrete or continuous. The input and output could also be deterministic or stochastic or fuzzy. Interconnections: In an artificial neural network several processing units are interconnected according to some topology to accomplish a pattern recognition task. Therefore the inputs to a processing unit may come from the outputs of other processing units, and/or from external sources. The output of each unit may be given to several units including itself. The amount of the output of one unit received by another unit depends on the strength of the connection between the units, and it is reflected in the weight value associated with the connecting link. If there are N units in a given ANN, then at any instant of time each unit will have a unique activation value and a unique output value. The set of the N activation values of the network defines the activation state of the network at that instant. Likewise, the set of the N output values of the network defines the output state of the network at that instant. Depending on the discrete or continuous nature of the activation and output values, the state of the network can be described by a discrete or continuous point in an N-dimensional space. Operations: In operation, each unit of an ANN receives inputs from other connected units and/or from an external source. A weighted

Artificial Neural Networks: Terminology

sum of the inputs is computed at a given instant of time. The activation value determines the actual output from the output function unit, i.e., the output state of the unit. The output values and. other external inputs in turn determine the activation and output states of the other units. Activation dynamics determines the activation values of all the units, i.e., the activation state of the network as a function of time. The activation dynamics also determines the dynamics of the output state of the network. The set of all activation states defines the activation state space of the network. The set of all output states defines the output state space of the network. Activation dynamics determines the trajectory of the path of the states in the state space of the network. For a given network, defined by the units and their interconnections with appropriate weights, the activation states determine the short term memory function of the network. Generally, given an external input, the activation dynamics is followed to recall a pattern stored in a network. In order to store a pattern in a network, it is necessary to adjust the weights of the connections in the network. The set of all weights on all connections in a network form a weight vector. The set of all possible weight vectors define the weight space. When the weights are changing, then the synaptic dynamics of the network determines the weight vector as a function of time. Synaptic dynamics is followed to adjust the weights in order to store the given patterns in the network. The process of adjusting the weights is referred to as learning. Once the learning process is completed, the final set of weight values corresponds to the long term memory function of the network. The procedure to incrementally update each of the weights is called a learning law or learning algorithm.
Update: In implementation, there are several options available for

both activation and synaptic dynamics. In particular, the updating of the output states of all the units could be performed synch~onously. In this case, the activation values of all the units are computed at the same time, assuming a given output state throughout. From the activation values, the new output state of the network is derived. In an asynchronous update, on the other hand, each unit is updated sequentially, taking the current output state of the network into account each time. For each unit, the output state can be determined from the activation value either deterministically or stochastically. In practice, the activation dynamics, including the update, is much more complex in a biological neural network than the simple models mentioned above. The ANN models along with the equations governing the activation and synaptic dynamics are designed according to the pattern recognition task to be handled.

26

Basics of Artificial Neural Networks

1.4 Models of Neuron In this section we will consider three classical models for an artificial neuron or processing unit.
1.4.1 McCulloch-Pitts Model

In McCulloch-Pitts (MP) model (Figure 1.2) the activation (x) is given by a weighted sum of its M input values (ai) and a bias term (8). The
Input
a 1

Weights (Eured)
Wl

-M
W i ai

Activation value

afd

.
w 2

-9

'-0

Output signal
s = f (x)
m

WM

i=l Output function f (.)

Summing part

Figure 1.2 McCulloch-Pith model of a neuron.

output signal (s) is typically a nonlinear function flx) of the activation value x. The following equations describe the operation of an MP model:
M

Activation: Output signal:

x = xwiai-8
i=l

s = f (XI

Three commaply used nonlinear functions (binary, ramp and sigrnoid) are shown in Figure 1.3, although only the binary function

(b) Ramp

(c) Sigmoid Figure 1.3 Some nonlinear functions.

Models of Neuron

27

was used in the original MP model. Networks consisting of MP neurons with binary (on-off)output signals can be configured to perform several logical functions FlcCulloch and Pitts, 1943; Zurada, 19921. Figure 1.4 shows some examples of logic circuits realized using (a) NOR gate

(b)

NAND gate

a1

-1

(c) Memory cell assuming unit delay for neuron. An initial excitatory input 1 sustains the output 1 and an initial inhibitory input +1 sustains the output 0

Excitatory 1 input

5jL. jl.

Inhibitory input

Figure 1.4 Illustration of some elementary logic networks using MP neurons.

the MP model. In this model a binary output function is used with the following logic: f(x) = 1, X > O

A single input and a single output MP neuron with proper weight and threshold gives an output a unit time later. This unit delay property of the MP neuron can be used to build sequential digital circuits. With ) feedback, it is also possible to have a memory cell (Figure 1 . 4 ~which can retain the output indefinitely in the absence of any input. In the MP model the weights are fixed. Hence a network using this model does not have the capability of learning. Moreover, the original model allows only binary output states, operating at discrete time steps
1.4.2 Perceptron

The Rosenblatt's perceptron model (Figure 1.5) for an artificial neuron consists of outputs from sensory units to a fixed set of association units, the outputs of which are fed to an MP neuron [Rosenblatt,

Basics of Artificial Neural Networks Weights (adjustable) Activation Output signal (binary)

Input

Sensory Association units units unit unit Figure 1.5 Rosenblatt's perceptron model of a neuron. 19581. The association units perform predetermined manipulations on their inputs. The main deviation from the M P model is that learning (i.e., adjustment of weights) is incorporated in the operation of the imit. The desired or target output (b) is compared with the actual binary output (s), and the error (6) is used to adjust the weights. The following equations describe the operation of the perceptron model of a neuron: Activation: Output signal: Error: Weight change: s = fix) 6
=

b- s

Aw, = 76 ai

where 7 is the learning rate parameter. There is a perceptron learning law which gives a step-by-step procedure for adjusting the weights. Whether the weight adjustment converges or not depends on the nature of the desired input-output pairs to be represented by the model. The perceptron convergence theorem enables us to determine whether the given pattern pairs are representable or not. If the weight values converge, then the corresponding problem is said to be represented by the perceptron network.
1.4.3

Adaline

ADAptive LINear Element (ADALINE) is a computing model proposed by Widrow and is shown in Figure 1.6 [Widrow, 19621. The main distinction between the Rosenblatt's perceptron model and the

Topology

Input
a1

Weights
Wl

Activation value

Output signal s=f(x)=x

w

+ -

a ,
a ,

Wa

M
wiai-0 i=l
--C

w,

10

Summing part

output function f (.)

Figure 1.6 Widmw'~ Adaline model of a new&.

Widrow's Adaline model is that, in the Adaline the analog activation value (x) is compared with the target output (b). In other words, the output is a linear fundion of the activation value (x). The equations that describe the operation of an Adaline are as follows: Activation: Output signal: Error: Weight change:
s = fix) = x

6 = b - s = b- x
Awi = q6 ai

where q is the learning rate parameter. This weight update rule minimises the mean squared error a2, averaged over all inputs. Hence it is called Least Mean Squared (LMS) error learning law. This law is derived using the negative gradient of the error surface in the weight space. Hence it is also known as a gradient descent algorithm.

1.5 Topology
Artificial neural networks are useful only when the processing units are organised in a suitable manner to accomplish a given pattern recognition task. This section presents a few basic structures which will assist in evolving new architectures. The arrangement of the processing units, connections, and pattern inputloutput is referred to as topology [Simpson, 19901. Artificial neural networks are normally organized into layers of processing units. The units of a layer are.similar in the sense that they all have the same activation dynamics and output function. Connections can be made either from the units of one layer to the units of another layer (interlayer connections) or among the units within the layer (intralayer connections) or both interlayer and intralayer connections. Further, the connections across the layers and among the units within a layer can be organised either in a feedforward manner or in a feedback manner. In a feedback network the same processing unit may be visited more than once. We will discuss a few basic structures which form building bk&s

30

Basics of Artificial Neural Networks

for more complex neural network architectures. Let us consider two layers F1 and F2 with M and N processing units, respectively. By providing connections to theJth unit in the F, layer from all the units in the F , layer, as shown in Figures 1.7a and 1.7b, we get two network structures instar and outstar, which have fan-in and fan-out geometries, respectively [Grossberg, 19821. During learning, the normalised weight vector wj = (w,,, wj2, ..., wjMITin instar approaches the nomalized input vector, when an Input vector a = (a,, a2, ..., aMIT is presented at the F, layer. Thus the activation wa ;
= i Z l w.. a 8 of . = Jt
M

the jth unit in the F2 layer will approach maximum value during learning. Whenever the input is given to F,, then the Jth unit of F,

(a) Instar

(b) Outstar

(c) Group of instars

(d) Group of outstars

(e) Bidirectional associative memory

(f) Autoassociative memory

Figure 1.7 Some basic structures of artificial neural networks.

Basic Learning Laws

31

will be activated to the maximum extent. Thus the operation of an instar can be viewed as content addressing the memory. In the case of an outstar, during learning, the weight vedor for the connections from the jth unit in F2approaches the activity pattern in F,, when an input vector a is presented at F1.During recall, whenever the unit j is activated, the signal pattern (sjwL, s,wy, ..., s,w .) will be transmitted to Fl, where sj is the output of the jth umt. %us signal pattern then produces the original activity pattern corresponding to the input vector a, although the input is absent. Thus the operation of an outstar can be viewed as memory addressing the contents. When all the connections from the units in F1 to F2are made as in Figure 1.7c, we obtain a heteroassociation network. This network can be viewed as a group of instars, if the flow is from Fl to F2.On the other hand, if the flow is from F2to F1, then the network can be viewed as a group of outstars (Figure 1.7d). When the flow is bidirectional, we get a bidirectional associative memory (Figure 1.7e), where either of the layers can be used as input'output. If the two layers Fl and F2 coincide and the weights are symmetric, i.e., wj, = w", i ;t j, then we obtain an autoassociative memory in which each unit is connected to every other unit and to itself (Figure 1.70. 1.6 Basic Learning Laws The operation of a neural network is governed by neuronal dynamics. Neuronal dynamics consists of two parts: one corresponding to the dynamics of the activation state and the other corresponding to the dynamics of the synaptic weights. The Short Term Memory (STM) in neural networks is modelled by the activation state of the network. The Long Term Memory (LTM) corresponds to the encoded pattern information in the synaptic weights due to learning. We will discuss models of neuronal dynamics in Chapter 2. In this section we discuss some basic learning laws [Zurada, 1992, Sec. 2.5; Hassoun, 1995, Ch. 31. Learning laws are merely implementation models of synaptic dynamics. Typically, a model of synaptic dynamics is described in terms of expressions for the first derivative of the weights. They are called learning equations. Learning laws describe the weight vector for the ith processing unit at time instant (t + 1) in terms of the weight vector at time instant (t) as follows: wi(t + 1) = wi(t)+ Awi(t) (1.1) where Awi(t) is the change in the weight vector. There are different methods for implementing the learning feature of a neural network, leading to several learning laws. Some

32

Basics of Artificial Neural Networks

basic learning laws are discussed below. All these learning laws use only local information for adjusting the weight of the connection between two units.
1.6.1

Hebb's Law

Here the change in the weight vector is given by

Therefore, the jth component of Awi is given by

T Aw.. = q flw, a)aj V

= qsiaj,

for j = 1 , 2,...,M

(1.3)

where si is the output signal of the ith unit. The law states that the weight increment is proportional to the product of the input data and the resulting output signal of the unit. This law requires weight initialization to small random values around w, = 0 prior to learning. This law represents an unsupervised learning.
1.6.2

Perceptron Learning Law

Here the change in the weight vector is given by

where sgn(x) is sign of x. Therefore, we have

A w, = q [bi- sgn(wTa)l aj
= q (b,- s,)aj,

for j = 1, 2, ...,M (1.5)

This law is applicable only for bipolar output functions fl.). This is also called discrete perceptron learning law. The expression for Aw, shows that the weights are adjusted only if the actual output si is incorrect, since the term in the square brackets is zero for the correct output. This is a supervised learning law, as the law requires a desired output for each input. In implementation, the weights can be initialized to any random initial values, as they are not critical. The weights converge to the final values eventually by repeated use of the input-output pattern pairs, provided the pattern pairs are representable by the system. These issues will be discussed in Chapter 4.
1.6.3

Delta Learning Law

AW, = q [b,- AwTa)] fiwTa) a

Here the change in the weight vector is given by

Basic Learning Laws where fix) is the derivative with respect to x. Hence,

33

This law is valid only for a differentiable output function, as it depends on the derivative of the output function fi.).I t is a supervised learning law since the change in the weight is based on the error between the desired and the actual output values for a given input. Delta learning law can also be viewed as a continuous perceptron learning law. In.implementation, the weights can be initialized to any random values as the values are not very critical. The weights converge to the final values eventually by repeated use of the input-output pattern pairs. The convergence can be more or less guaranteed by using more layers of processing units in between the input and output layers. The delta learning law can be generalized to the case of multiple layers of a feedforward network. We will discuss the generalized delta rule or the error backpropagation learning law in Chapter 4.
1.6.4 Wldrow and Hoff LMS Learning Law

Here the change in the weight vector is given by Awi = q [b,- wTa] a Hence
T A w U = q [ b i - w i a l a j , f o r j = 1 , 2,..., M

(1.8)
(1.9)

This is a supervised learning law and is a special case of the delta learning law, where the output function is assumed linear, i.e., f(xi)=xi. In this case the change in the weight is made proportional to the negative gradient of the error between the desired output and the continuous activation value, which is also the continuous output signal due to linearity of the output function. Hence, this is also called the Least Mean Squared (LMS) error learning law. This is same as the learning law used in the Adaline model of neuron. In implementation, the weights may be initialized to any values. The input-output pattern pairs data is applied several times to achieve convergence of the weights for a given set of training data. The for any arbitrary training data set. convergence is not guar-d
1.6.5 Correlation Learning Law

Here the change in the weight vector is given by

34

Basics of Artificial Neural Networks

Therefore

Aw, = qb,aj, f o r j = 1 , 2 , ..., M

(1.11)

This is a special case of the Hebbian learning with the output signal (si)being replaced by the desired signal (bi).But the Hebbian learning is an unsupervised learning, whereas the correlation learning is a supervised learning, since it uses the desired output value to adjust the weights. In the implementation of the learning law, the weights are initialised to small random values close to zero, i.e., wii = 0.
1.6.6 lnstar (Winner-take-all) Learning Law

This is relevant for a collection of neurons, organized in a layer as shown in Figure 1.8. All the inputs are connected to each of the units

Figure 1.8

Arrangement of units for 'instar learning', where the adjusted weights are highlighted.

in the output layer in a feedfonvard manner. For a given input vector a, the output from each unit i is computed using the weighted sum wTa. The unit k that gives maximum output is identified. That is
T wka
=

T max (wi a)
i

(1.12) (1.13)

Then the weight vector leading to the kth unit is adjusted as follows: Awk = 7 (a- wk) Therefore,
h
=

( a-w ) ,

for j = 1 , 2 , ..., M

(1.14)

The final weight vector tends to represent a group of input vectors within a small neighbourhood. This is a case of unsupervised learning. In implementation, the values of the weight vectors are initialized to random values prior to learning, and the vector lengths are normalized during learning.
1.6.7 Outstar Learning Law

The outstar learning law is also related to a group of units arranged in a layer as shown in Figure 1.9. In this law the weights are adjusted so as to capture the desired output pattern characteristics. The adjustment of the weights is given by Aw. = q(bj-wjk), f o r j = 1, 2, ..., M ~k (1.15)

Basic Learning Laws

Figure 1.9

Arrangement of units for 'outstar learning', where the adjusted weights are highlighted.

where the kth unit is the only active unit in the input layer. The vector b = (bl, b2, ..., bMITis the desired response from the layer of M units. The outstar learning is a supervised learning law, and it is used with a network of instars to capture the characteristics of the input and output patterns for data compression. In ,implementation, the weight vectors are initialized to zero prior t o blaming.
1.6.8

Discussion on Basic Learning Laws

Table 1.2 gives a summary of the basic learning laws described so Table 1.2 Summary of Basic Learning Laws (Adapted from [Zurada, 19921) Learning law
Hebbian
tJ

Weight adjustment
hU,
T h.. q flwia) a, =

Initial

Learning

weights
Near zero Unsupervised

= q sia,, for j = 1, 2,

...,M
Random Supervised

Perce~tron Aw, = q [bi - sgn(wTa)]a, = q (bi - si)aj, for j = 1,2, ...,M Delta Aw, = q [bi - f($a)] fiwTa)aj
= q [bi -si] fixi) a,, for j = 1,2, ...,M

Random

Supervised

WidrowHoff Correlation Winnertake-all Outstar

AW,

= q [bi - wya] a,,

Random Near zero

Supervised Supervised

for j = 1, 2, ...,M Aw, = qb,a,, for j = 1, 2, ...,M

Awy=q(a,-wy),
k is the winning unit, for j = 1, 2, ...,M Awjk = q (b, - wjk), for j = 1,2, ..., M

Random but Unsupervised n~rmalised Zero Supervised

Basics of Artificial Neural Networks

far. It shows the type of learning (supervised/unsupervised) and the nature of the output function (sgn for discrete1 fl.) for continuous) for which each law is applicable. The most important issue in the application of these laws is the convergence of the weights to some final limit values as desired. The convergence and the limit values of the weights depend on the initial setting of the weights prior to learning, and on the learning rate parameter. The Hebb's law and the correlation law lead to the sum of the correlations between input and output (for Hebb's law) components and between input and desired output (for correlation law) components, respectively. But in order to achieve this, the starting initial weight values should be small random values near zero. The learning rate parameter q should be close to one. Typically, the set of patterns are applied only once in the training process. In some variations of these (as in the principal component learning to be discussed in Chapter 61, the learning rate parameter is set to a small value (< 1) and the training patterns are applied several times to achieve convergence. The perceptron, delta and LMS learning laws lead to h a 1 steady state values (provided they converge), only when the weight adjustments are small. Since the correction depends on the error between the desired output and the actual output, only a small portion of the error is used for adjustment of the weights each time. Thus the learning rate parameter q << 1. The initial weights could be set to random values. The set of training patterns need to be applied several times to achieve convergence, if it exists. The convergence will naturally be faster if the starting weights are close to the final steady values. The weights indhe instar and outstar learning laws converge to the mean values of a set of input and desired output patterns, respectively. In these cases the learning rate parameter is typically set to a value less than one (q < 1).The weights in the case of instar can be initialized to any random values, and in the case of outstar to small random values near zero. The set of training patterns are applied several times to achieve convergence. Besides these basic learning laws there are many other learning laws evolved primarily for application in different situations [:Aassoun,1995, Ch. 31. Some of them will be discussed at appropriate places in the later chapters.

1.7 Summary
In this chapter we have seen the motivation and background for the current interest in the study of problems based on models using artificial neural networks. We have reviewed the features of the biological neural network and discussed the feasibility of realizing

Review Questions

37

some of these features through parallel and distributed processing (PDP) models (Appendix A). In particular, the associative memory, fault tolerance and concept learning features could be demonstrated through these PDP models. Some key developments in artificial neural networks were presented to show how the field has evolved to the present state of understanding. An artificial neural network is built using a few basic building blocks. The building blocks were introduced starting with the models of artificial neurons and the topology of a few basic structures. While developing artificial neural networks for specific applications, the weights are adjusted in a systematic manner using learning laws. We have discussed some basic learning laws and their characteristics. But the full potential of a neural network can be exploited if we can incorporate in its operation the neuronal activation and synaptic dynamics of a biological neural network. Some features of these dynamics are discussed in the next chapter.

Review Questions
1 Describe some attractive features of the biological neural . network that make it superior to the most sophisticated Artificial Intelligence computer system for pattern recognition tasks. 2 Explain briefly the terms cell body, axon, synapse, dendrite and . neuron with reference to a biological neural network. 3. Explain briefly the operation of a biological neural network. 4. Compare the performance of a computer and that of a biological neural network in terms of speed of processing, size and complexity, storage, fault tolerance and control mechanism. 5. Give two examples of pattern recognition tasks to illustrate the superiority of the biological neural network over a conventional computer system. 6. What are the main differences among the three models of artificial neuron, namely, McCulloch-Pitts, perceptron and adaline? 7. What is meant by topology of artificial neural networks? Give a few basic topological structures of artificial neural networks. 8. What is the distinction between learning equation and learning law? 9. What are the basic learning laws? 1 . Explain the significance of the initial values of weights and the 0 learning rate parameter in the seven basic learning laws. 11. Identify supervised and unsupervised basic learning laws. 1 . Compare LMS, perceptron and delta learning laws. 2

Basics of Artificial Neural Networks

Problems
1 .
Explain the logic functions (using truth tables) performed by the following networks with MP neurons given in Figure P1.l.

Figure P . Three networks using MP neurons. 1l

2.

Design networks using M-P neurons to realize the following logic functions using f 1for the weights. (a) s(a,, a2,a, ) = alas +a+, +zla3 (b) s(al, a,, a,) = a1a2a3 (c) s(al, a2, a , ) = zla27E3 Give the output of the network in Figure P1.2 for the input [llllT.

3 .

Figure P . A feedforward network with MP neurons. 12

4.

Determine the weights of the network in Figure P1.3a after one iteration using Hebb's law for the following set of input vectors for two different types of output fundions shown in Figures P1.3b and P1.3~. Use suitable values for the initial weights and learning rate parameter. Input: [llOOIT,[lOO1lT,[OO1llTand[OllOIT.Choose f ( x ) = 141 + e-X) for Figure P1.3~.

Problems

Output

Input vedor

a,

a 4

Figure P . (a) A neuron with four inputs and one output, (b) Hard-limiting 13 output function and (c) Sigmoid output function.
5.

Determine the weights of a network with 4 input and 2 output units using (a) Perceptron learning law and (b) Delta learning law with f l x ) = ll(1 +e-*) for the following inputroutput pairs: Input: [1100IT [1001IT [0011IT [0ll0IT Output: [11IT [10IT [01IT [00IT Discuss your results for different choices of the learning rate parameters. Use suitable values for the initial weights. (Hint: Write a program to implement the learning laws.) Using the Instar learning law, group all the sixteen possible binary vectors of length 4 into four different groups. Use suitable values for the initial weights and for the learning rate parameter. Use a 4-unit input and 4-unit output network. Select random 1 initial weights in the range [O, 1 . (Hint: Write a program to implement the learning law.)

6.

Chapter 2

Activation and Synaptic Dynamics

2.1 Introduction An artificial neural network consists of several processing units (or artificial neurons) interconnected in a predetermined manner to accomplish a desired pattern recognition task. In the previous chapter we have seen some models of neurons and some basic topologies, using which it is possible to build complex structures. However, the structure of an artificial neural network is not useful, unless the rules governing the changes of the activation values and connection weight values are also specified. These rules are implied or specified in the activation and synaptic dynamics equations governing the behaviour of the network structure to accomplish the desired task. In a neural network with N processing units, the set of activation values of the units at any given instant defines the activation state of the network. Typically, a problem is specified by a point in the activation state space. The trajectory of the activation states, leading to a solution state, reflects the dynamics of the network. The trajectory depends upon the activation dynamics built into the network. The activation dynamics is prescribed by a set of equations, which can be used to determine the activation state of the network at the next instant, given the activation state at the current instant. For a given input data, the weights of the connecting links in a network are adjusted to enable the network to learn the pattern in the given input data. The set of weight values of all the links in a network at any given instant defines the weight state, which can be viewed as a point in the weight space. The trajectory of the weight states in the weight space is determined by the synaptic dynamics of the network. A network is led t o one of its steady activation states by the activation dynamics and the input pattern. Since the steady activation state depends on the input pattern, it is referred to as short term memory. The state will change if the input pattern changes. On the

Introduction

41

other hand, the steady weight state of a network is determined by the synaptic dynamics for a given set of training inputs, and it does not change. Hence this steady weight state is referred to as long term memory. Activation dynamics relates to the fluctuations a t the neuronal level in a biological neural network. Typically, these fluctuations take place in average intervals of the order of a few milliseconds. Thus the neuronal level dynamics is signific&tly fastef than the dynamics at the synaptic level, where significant changes in the synaptic weights take place at intervals of the order of a few seconds. Therefore, it can be assumed that during activation dynamics the synaptic weights do not change significantly, i.e., the weights can be assumed to be constants of the network. The objective of this chapter is to discuss models for activation and synaptic dynamics. We must distinguish two situations here. Models of neural networks normally refer to the mathematical representation of our understanding and observed behaviour of the biological neural network. The purpose in this case is to capture the knowledge by the model. The model is not intended for detailed analysis of the network. Therefore a model of the neural network could be very complex, involving first and higher order derivatives of activations and weights, as well as several nonlinear interactions. In contrast, the purpose of neural network models is to provide a representation for the dynamics of an artificial network, incorporating features inspired by our understanding of the operation of the biological neural network. In other words, the neural network model is a mathematical model for analysis of gross characteristics of an artificial network. Typically, these models are described by an expression for the first order time derivative of the activation state for activation dynamics and an expression for the first order time derivative of the weight state for synaptic dynamics. These expressions are usually simple enough (although nonlinear) to enable us to predict the global characteristics of the network. An expression for the first derivative may contain time parameter explicitly, in which case such systems become nonautonomous dynamical systems. If the expression does not contain the time parameter explicitly, then the systems become autonomous dynamical systems, which are relatively easier to analyze. Throughout this chapter we use the terms models of neural networks and neural network models interchangeably, although they refer to the autonomous dynarnical system models represented by an expression for the first derivative of the activation value of each unit in the network. We discuss activation dynamics and synaptic dynamics, separately. The discussion on the activation and synaptic dynamics is adapted from [Kosko, 19921. In Section 2.2 on the activation dynamics models we consider . the additive, shunting (or

42

Activation and Synaptic Dynamics

multiplicative) and stochastic models. We also discuss the equilibrium states of the networks with a specified activation dynamics. Since synaptic dynamics models lead to learning laws, in Section 2.3 we first consider the requirements of the learning laws for effective implementation. In this section we also discuss the distinction between the activation and synaptic dynamics models. In Section 2.4 several categories of learning are discussed, which include Hebbian, competitive, error correcting and stochastic learning. A brief discussion is included on the equilibrium of synaptic dynamics. In Section 2.5 we discuss the issues of stability and convergence in activation and synaptic dynamics, respectively. We shall review the general stability theorems and discuss briefly the issues of global and structural stability in neural networks. In Section 2.6 we discuss methods for neural network recall for both feedforward and feedback networks. In the final section we provide a brief summary of the issues discussed in this chapter.
2.2 Activation Dynamics Models
2.2.1

Issues in the Development of Activation Dynamics Models

Activation dynamics is described by the first derivative of the activation value of a neuron [Kosko, 19921. For the ith neuron, it is expressed as

where h(.) is a function of the activation state and synaptic weights of the network. Let us consider a network of N interconnected processing units, where the variables and constants of each unit are shown in Figure 2.1. The activation value is generally associated with
Input Weights ~ctivation value Output signal

Summing part

Output function

Figure 2.1 A typical processing unit i with associated parameters.

the cell membrane potential. The output function fl.) determines the output signal generated at the axon hillock due to a given membrane potential. This function bounds the output signal, and it is normally

Activation Dynamics Models

43

a nondecreasing function of the activation value. Thus the output is bounded as shown in Figure 2.2a for a typical output function. Although the activation value is shown to have a large range, in practice the membrane potential has to be bounded due to limitation of the current carrying capacity of a membrane. Thus there is a limit to the operating range of a processing unit, which corresponds to the difference between the maximum and minimum activation values. The input values to a processing unit coming from external sources, especially through sensory inputs, may have a large dynamic range, as for example, the reflections &om an object in a dim light and the same in a bright light. Thus the dynamic range of the external input values could be vely large, and usually not in our control. If the neuron is made sensitive to smaller values of inputs, as in Figure 2.2b, its output signal will saturate for large input values, i.e., for x > x, in the figure. Moreover, even a noisy input could produce some output signal, which is not desirable. On the other hand, if the neuron is made sensitive to large values of the input by making the threshold 8 large, as in Figure 2.2c, its activation value becomes insensitive to small values of the input. This is the familiar noise-saturation dilemma [Grossberg, 19821. The problem is how a neuron with limited operating range for the activation values can be made sensitive to nearly unlimited range of the input values.

Figure 2.2 Output functions for three different bias values (8).

44

Activation and Synaptic Dynamics

The input to a processing unit may come from the outputs of the other neurons connected to it through synaptic weights, or from an external source such as a sensory input. Both of these types of inputs may have excitatory components which tend to increase the activation of the unit, or inhibitory components which tend to decrease the activation of the unit. The input, the activation value and the output could fall into one or more of the following categories of data depending on the nature of the external input and the nature of the output function: deterministic or stochastic, crisp or fuzzy and discrete or continuous. In developing models for activation dynamics, it is necessary to take into account the known behaviour from the studies on biological neuronal dynamics, but a t the same time, the models must be tractable for analysis to examine the global behaviour of a network consisting of a large number of interconnecting processing units. In particular, the model should be such that it should be possible to study the behaviour of the equilibrium states of the network to determine whether the network is globally and structurally stable. Structural stability refers to the state equilibrium situation where small perturbations of the state around the equilibrium brings the network back to the equilibrium state. This depends on the behaviour of the network in the neighbourhood of the equilibrium state, which in turn depends on the activation dynamics and the connection weights of the network. The model also should be able to learn (adjust the weights) while satisfymg the requirements of storage capacity and stability characteristics. Global stability refers to the state equilibrium condition when both the synaptic and activation dynamics are simultaneously used. In the following discussion we will assume that the weights do not change while examining the activation dynamics. We discuss models for activation dynamics starting from simple additive models and then moving to more general shunting or multiplicative models. Initially, we consider only the deterministic models and then extend the models to stochastic versions. We also provide a discussion on the equilibrium behaviour for different models of the network. It should be noted that each model takes into account a few features of the neuronal dynamics, which may be relevant for a particularllimited application.
2.2.2 Additive Activation Models

As mentioned before, the activation value xi of the ith neuron can be interpreted as the cell membrane potential, and i t is a function of time, i.e., xi = xi(t). The activation models are described by an expression for the first derivative of the activation value of a neuron. Thus xi(t) gives the rate of change of the activation value of the ith neuron of a neural network.

Activation Dynamics Models For the simplest case of a passive decay situation,

45

where Ai ( > 0) is a constant for the membrane and can be interpreted as the passive decay rate. The solution of this equation is given by

In electrical circuit analogy, Ai can be interpreted as membrane conductance, which is inverse of the membrane resistance (Ri). The initial value of xi is xi(0). The steady state value of xi is given by xi(-) = 0, which is also called the resting potential. The passive decay time constant is altered by the membrane capacitance C, which can also be viewed as a time scaling parameter. With Ci, the passive decay model is given by
and the solution is given by

Without loss of generality, we can assume Ci = 1 throughout the following discussion. If we assume a nonzero resting potential, then the activation model can be expressed by adding a constant Pi to the passive decay term as xi(t) = - Ai xi(t)+ Pi, whose solution is given by (2.6)

The steady state activation value is given by xi(-) = PjAi, the resting potential. Assuming the resting potential to be zero (Pi = 0), if there is a constant external excitatory input Ii, then the additive activation model is given by (2.8) Xi(t) = - A, xi(t)+ Bi Ii, where Bi ( > 0) is the weight given to Ii.The solution of this equation is given by Bi Ii xi@)= xi@)e-Af+ --- (1 e-Af) (2.9)

The steady state activation value is given by xi(-) = B,Ii/Ai, which shows that the activation value directly depends on the external input, and thus it is unbounded.

46

Activation and Synaptic Dynamics

In addition to the external input, if there is an input from the outputs of the units, then the model becomes an additive autoassociative model, and is given by

'

j=1

where 64.) is the output function of the jth unit. For inhibitory feedback connections or for inhibitory external input, the equations will be similar to the above except for the signs of the second and third terms in the above equation. The classical neural circuit described by Perkel is a special case of the additive autoassociative model, and is given by [Perkel et al, 19811

where R, is the resistance between the neurons i and j, and

Perkel's model assumes a linear output function f(z) = x, thus resulting in a signal which is unbounded. If the output function f(z) is strictly an increasing but bounded function, as in Figure 2.2, and the connection weights are symmetric, i.e., wii = wji, then the resulting model is called Hopfield model [Hopfield, 19821. The Hopfield model belongs to the class of feedback neural network models,' called autoassociative memory, that are globally stable. We will discuss further on this point in a later section. A network consisting of two layers of processing units, where each unit in one layer (say layer 1) is connected to every unit in the other layer (say layer 2) and vice versa, is called a heteroassociative network. The additive activation model for a heteroassociative network is given by ii(t) = - A, xi(t)+

C fj(yj(t))vii + I, , i = 1, 2, ,,,,M

j=l

where Ii and 4 are the net external inputs to the units i and j, respectively. Note that Ai and A(.) could be different for each unit and

Activation Dynamics Models

47

for each layer. In the above equations V = [vii] is the matrix of weights from the units in the layer 2 to the units in the layer 1, and W = [wjil is the matrix of weights from the units in the layer 1 to the units in the layer 2. These are coupled first order differential equations. Under special conditions, such as the weights in both the and directions being identical, i.e., W = p, the output function being bounded, the resulting hetroassociative model reduces to a bidirectional associative memory [Kosko, 19881. Analogous to the Hopfield autoassociative memory, the bidirectional associative memory can also be proved to be globally stable. Table 2.1 gives a summary of the development of activation dynamics models discussed in this section.
Table 2.1 Summary of Development of Additive Activation Dynamics Models
General form: Passive decay term: Ci xi(t) = -Ai xi(t), where Ai is the membrane conductance and Ci is t h e membrane capacitance Nonzero resting potential (PiIAi): With external input (BJi): where Bi is a positive constant Additive autoassociative model: xi(t) = h(.), i = 1 , 2,...,N

j=1

Perkel's model:

Hetroassociative model:

Bidirectional associative memory:

48
2.2.3

Activation and Synaptic Dynamics

Shunting Activation Models

Grossberg has proposed a shunting activation model to restrict the range of the activation values to a specified operating range irrespective of the dynamic range of the external inputs [Grossberg, 1982; Grossberg, 19881. We will first consider the saturation model, where the activation value is bounded to an upper limit. For an excitatory external input Ii, the shunting activation model is given by xi(t) = - Ai xi(t)+ [Bi- xi(t)]Ii (2.14)

The steady state activation value is obtained by setting xi(t) = 0, and solving for xi. The result is

As the input Ii + m, then xi(=) + Bi. That is, the steady state value of xi saturates at Bi. In other words, if the initial value xi(0) I Bi, then xi(t) I Bi for all t. If the input value refers to an intensity of reflected light Ii = pJ, where I is the background intensity value, and p, is the fraction of the background intensity that is input to the ith unit, then the above saturation model is insensitive to pi for large background intensities. In order to make the steady state activation value sensitive to reflectance, irrespective of the background intensity, Grossberg suggested an on-centre off-surround shunting activation model by providing inhibitory inputs from other input elements to the ith unit along with the excitatory input from the ith input element to ith unit as shown in Figure 2.3. Throughout the following discussion we

Processing units

Input intensities Figure 2.3 An on-center and off-surround configuration for shunting activation model. assume a hard-limiting threshold function for the output function. That is, fix) = 0, for x I 0 and, fix) = 1, for x > 0. Assuming
11
13
Ii

i=l

X Ii = I and Ii = piI, for convenience, the shunting activation model

with on-centre off-surround configuration is given by

Activation Dynamics Models

49

The steady state activation value is obtained by setting xi(t) = 0, and is given by

From this we can see that, even if Ii + =, as I + =, the steady state activation value xi(=) does not saturate. Instead, xi(-) will still be sensitive to pi, the input reflection. It can be seen that, since pi < 1, the steady activation value is always less than Bi, the saturation limit, i.e., xi(t) < Bi for all t. In order to make a unit insensitive to small positive inputs, may be due to noise, the shunting activation model can be modified to incorporate a lower limit (< 0) to the activation value. The following is the resulting model:

The steady state activation value is obtained by setting xi(t) = 0, and is given by

Note that xi(=) + pi (Bi+ Ei)- Ei as I + =. This steady state activation value is negative as long as the input reflectance value to the ith unit, pi < EiI(Bi+ Ei). In that case the output signal of the unit will be zero, since we assume that fix) = 0, for x 5 0. That is, the ith processing unit will be sensitive to the input only if its input reflectance value is above a threshold. Thus it is possible to make the unit insensitive to random noise input within a specified threshold limit value. The above shunting activation model has therefore an operating range of [ - Ei, Bi] for the activation value, since the lowest value for xi(-) = - Ei, which occurs when pi = 0. A shunting activation model with excitatory feedback from the same unit and inhibitory feedback from other units is given by

where Jiis the inhibitory component of the external input. Note that, on the right hand side of Eq. (2.20) xi(t) is replaced by xi for convenience. The inhibitory sign is taken out of the weights wy, and

50

Activation and Synaptic Dynamics

hence w u > 0. The shunting model of (2.20) is a special case of Hodgkin-Huxley membrane equations [Hodgkin and Huxley, 19521. Equation (2.20) can be written in the most general form as xi@)= - A, xi + (B, - Ci x,) [I, +f;.(~,)]

where all the constants are positive. The first term'oh the right hand side corresponds to the passive decay tenh, the second term corresponds to the excitatory term and the third term corresponds to the inhibitory term. If we consider the excitatory term (B, - C, x,) [Iz+ f,(x,)l, it shows the contribution of the excitatory (external and feedback) input in increasing the activation value (x,(t)) of the input. If C, = 0, then the contribution of this input reduces to an additive effect, as in the additive activation model. 'If C, > 0, then the contribution of the excitatory input reduces to zero when the activation x,(t) = B,IC,. This can be viewed as shunting effect in an equivalent electrical circuit, and hence the name shunting activation model. If the initial value x,(O) 5 B/C,, then the model ensures that x,(t) IBjC,, for all t > 0, thus showing the boundedness of the activation value within an upper limit. This can be proved by the following argument: If x,(t) > BjC,, then the second term becomes negative, since we assume that f(x) = 1, for all x > 0 and I, > 0. Since the contribution due to the inhibitory third term is negative, if the excitatory second term is also negative, then the steady activation value, obtained by setting x,(t) = 0, will be negative. Thus there is a contradiction, since we started with the assumption that x,(t) > B,IC,, which is positive. Hence x,(t) < B/C, for all t. Likewise, the inhibitory term (E, + D, xi)[ J,+jzi fi(x,) W B ] shows the contribution of the inhibitory (external and feedback) input in decreasing the activation value xi(t) of the unit. In this case, if Di = 0, then the contribution of this input reduces to an additive effect, as in the additive activation model. If Di > 0, then the contribution of the inhibitory input reduces to zero when the activation xi(t)= - EilDi. This can be viewed as a shunting effect in an equivalent electrical circuit. If the initial value xi(0) 2 - E{Di , then the model ensures that xi(t) 2 - EjDi , for all t > 0. This can be proved by the following argument: For xi(t)< - EilDi, the contribution of the inhibitory third term will be positive, since fix) > 0, for all x. Since the excitatory second term is always positive, the steady state activation value obtained by setting xi(t) = 0 is always positive. But we assumed that xi(t)< - EjDi, which is negative. Thus there is a contradiction. Hence xi(t) 2 - E{Di. Table 2.2 gives a summary of

Activation Dynamics Models

51

the development of shunting activation models discussed in this section.

Table 2.2 Summary of Development of Shunting Activation Dynamics
Models Goal: To keep the operating range of activation value to a specified range General form: Saturation model: To restrict to an upper limit On-centre off-surround configuration: To make it sensitive to changes in the external input i i ( t ) = -Ai xi(t)+ [B,- x,(t)l Zi - xi(t) Ij

j#i

Setting noise limit:

i i ( t ) = -Ai x,(t)+ [Bi- xi(t)l Ii - [Ei+ xi(t)l

x
jti

Zj

With excitatory feedback from the same unit and inhibitory feedback from other units:

i i ( t ) = -A, xi + (B,- xi) [I,+ fi(xi)l - (Ei +xi) J, +

j*i

fj(xj)wij

2.2.4

Stochastic Models

The activation models considered so far are deterministic models. In practice, the inputloutput patterns and the activation values may be considered as sample functions of random processes. The output signal of each processing unit may be a random function of the unit's activation value. In such cases the network activation state and output signal state can be viewed as vector stochastic processes. Each unit in turn behaves as a scalar stochastic process. Stochastic activation models are represented in a simplified fashion by adding an additional noise component to the right side of the expression for xi(t) for each of the deterministic activation models. The probability distribution of the noise component is assumed for analyzing the vector stochastic processes of the activation states. In particular, in stochastic equilibrium, the activation state vector hovers in a random fashion about a fixed (deterministic) equilibrium state, representing the average.
2.2.5 Discussion on Equilibrium

Normally the term equilibrium is used to denote the state of a network at which the network settles when small perturbations are

52

Activation and Synaptic Dynamics

made to the state. In the deterministic models, the equilibrium states are also steady states. Hence these states satisfy the equations xi(t) = 0, for i = 1,2, ...,N. Note that xi(t) = 0 is a necessary condition for a state to be an equilibrium state, but not a sufficient condition. In stochastic models, the equilibrium states are defined by the equations xi(t) = ni(t), for i = 1, 2, ...,N, where ni(t) is the additive noise process. Note that in both the deterministic and stochastic models the transient due to the passive decay term is absent in the equilibrium state. Equilibrium of a network depends on several other factors also besides the activation models. The most important among these is the update of the state change at each stage. The update could be synchronous, which means that the update of all the units is done at the same time. On the other hand, in an asynchronous update the change of state of any one unit changes the overall state of the network. Another factor is that the state update could be deterministic or stochastic. The equilibrium behaviour also depends on whether we are adopting a continuous time update or a discrete time update. A major issue in the study of equilibrium behaviour of a network is the speed at which the feedback signals from other units are received by the current unit.
2.3 Synaptic Dynamics Models
2.3.1

Learning

Synaptic dynamics is attributed to learning in a biological neural network. The synaptic weights are adjusted to learn the pattern information in the input samples. Typically, learning is a slow process, and the samples containing a pattern may have to be presented to the network several times before the pattern information is captured by the weights of the network. A large number of samples are normally needed for the network to learn the pattern implicit in the samples. Pattern information is distributed across all the weights, and it is difficult to relate the weights directly to the training samples. The only way to demonstrate the evidence of learning pattern information is that, given another sample from the same pattern source, the network would classify the new sample into the pattern class of the earlier trained samples. Another interesting feature of learning is that the pattern information is slowly acquired by the network from the training samples, and the training samples themselves are never stored in the network. That is why we say that we learn from examples, not store the examples themselves. The adjustment of the synaptic weights is represented by a set of learning equations, which describe the synaptic dynamics of the network. The learning equation describing a synaptic dynamics model

Synaptic Dynamics Models

53

is given as an expression for the first derivative of the synaptic weight wi,. connecting the unit j to the unit i. The set of equations for all the weights in the network determine the trajectory of the weight states in the weight space from a given initial weight state. Learning laws refer to the specific manners in which the learning equations are implemented. Depending on the synaptic dynamics model and the manner of implementation, several learning laws have been proposed in the literature. The following are some of the requirements of the learning laws for effective implementation:
Requirements of learning laws:

(a) The learning law should lead to convergence of weights. (b) The learning or training time for capturing the pattern information fiom samples should be as small as possible.
(c) An on-line learning is preferable to an off-line learning. That is, the weights should be adjusted on presentation of each sample containing the pattern information.

(d) Learning should use only the local information as far as possible. That is, the change in the weight on a connecting link between two units should depend on the states of these two units only. In such a case, it is possible to implement the learning law in parallel for all the weights, thus speeding up the learning process. (el Learning should be able to capture complex nonlinear mapping between input-output pattern pairs, as well as between adjacent patterns in a temporal sequence of patterns. (0 Learning should be able to capture as many patterns as possible into the network. That is, the pattern information storage capacity should be as large as possible for a given network. Categories of learning: Learning can be viewed as searching through the weight space in a systematic manner to determine the weight vector that leads to an optimum (minimum or maximum) value of an objective function. The search depends on the criterion used for learning. There are several criteria which include minimization of mean squared error, relative entropy, maximum likelihood, gradient descent, etc. [Hassoun, 19951. There are several learning laws in use, and new laws are being proposed to suit a given application and architecture. Some of these wl be discussed at appropriate il places throughout the book, but there are some general categories that these laws fall into, based on the characteristics they are expected to possess. In the first place, the learning or weight adjustment could be supervised or unsupervised. In supervised learning the weight adjustment is determined based on the deviation

54

Activation and Synaptic Dynamics

of the desired output from the actual output. Supervised learning may be used for structural learning or for temporal learning. Structural learning is concerned with capturing in the weights the relationship between the given input-output pattern pairs. Temporal learning is concerned with capturing in the weights the relationship between neighbouring patterns in a sequence of patterns. Unsupervised learning discovers features in a given set of patterns, and organizes the patterns accordingly. There is no externally specified desired output in this case. Unsupervised learning uses mostly local information to update the weights. The local information consists of signal or activation values of the units at either end of the connection for which the weight update is being made. Learning methods may be off-line or on-line. In an off-line learning all the given patterns are used together to determine the weights. On the other hand, in an on-line learning the information in each new pattern is incorporated into the network by incrementally adjusting the weights. Thus an on-line learning allows the neural network to update the information continuously. However, an off-line learning provides solutions better than an on-line learning since the information is extracted using all the training samples in the case of off-line learning. In practice, the training patterns can be considered as samples of random processes. Accordingly, the activation and output states could also be considered as samples of random processes. Randomness in the output state could also result if the output function is implemented in a probabilistic manner rather than in a deterministic manner. These input, activation and output variables may also be viewed as fuzzy quantities instead of crisp quantities. Thus we can view the learning process as deterministic or stochastic or fuzzy or a combination of these characteristics. Finally, in the implementation of the learning methods the variables may be discrete or continuous. Likewise the update of weight values may be in discrete steps or in continuous time. All these factors influence not only the convergence of weights, but also the ability of the network to learn from the training samples.
2.3.2

Distinction between Activation and Synaptic Dynamics Models

In order to appreciate the issues in evolving and implementing learning, it is necessary to clearly understand the distinction between the functions of the activation and synaptic dynamics models. This is discussed in this section. Both activation dynamics and synaptic dynamics models are expressed in terms of expressions for the first derivatives of the activation value of each unit and the strength of the connection between the ith unit and the jth unit, respectively. However, the purpose of invoking activation dynamics model is to

Synaptic Dynamics Models

55

determine the equilibrium state that the network would reach for a given input. In this case, the input to the network is fixed throughout the dynamics. The dynamics model may have terms corresponding to passive decay, excitatory input (external and feedback) and inhibitory input (external and feedback). The passive decay term contributes to transients, which may eventually die, leaving only the steady state part. The transient part is due to the components representing the capacitance and resistance of the cell membrane. The steady state activation equations can be obtained by setting xi(t) = 0, i = 1,2, ..., N. This results in a set of N coupled nonlinear equations, the solution of which will give the steady activation state as a function of time. This assumes that the transients decay faster than the signals coming from feedback, and the feedback signals do not produce any transients. I t is in the movement of the steady activation state that we would be interested in the study of activation dynamics. Note that even a single unit network without feedback may have transient and steady parts, and the steady part i n this case describes the stable state also. But in a network with feedback fiom other units, the steady activation states may eventually reach an equilibrium or a stable state, provided the conditions for the existence of stable states are satisfied by the parameters (especially the weights) in the activation dynamics model. Thus,in these cases we are not interested in the transient part of the solutions. We are only interested in the equilibrium stable states reached by the steady state activation values for a given input. The equilibrium states (x) correspond to the locations of the minima of the Lyapunov energy function V(x), and are given by dV(x(t))ldt = 0, whereas the steady states are given by x(t) = 0, where x(t) is the activation vector with components x,(t), i = 1,2, ..., N. The equilibrium behaviour of the activation state of a neural network will be discussed in detail in Section 2.5. The case of synaptic dynamics model is different from the activation dynamics model. The objective in synaptic dynamics is to capture the pattern information in the examples by incrementally adjusting the weights. Here the weights change due to input. If there is no input, the weights also do not change. Note that providing the same input at another instant again causes the weights to change, as it can be viewed as a sample given for further reinforcement of the weights. If the model contains a passive decay term in addition to the terms due to the varying external input, the network not only learns continuously, but also forgets what it had learnt initially. In discrete implementation, i.e., determining the weight change a t each discrete time step, suitable assumptions are made regarding the contribution of the initial weight state and also the contributions due to the samples given in the past. As an example, let us consider the following synaptic dynamics model, consisting of a passive decay term and a correlation term:

Activation and Synaptic Dynamics wii(t) = - wii(t)+ f;.(xi(t)) f;(3CJ(t)) (2.22)

The solution to the equation is given by

wV(t)= ~ ~ ( f 0 it f;.(xi(r)) e +) t;(x,(r))eTd r ,
0

(2.23)

where w y ( 0 ) is a constant initial value of the weight. The above solution shows that the weight accumulates the correlation of the Note that the activation values output signals, i.e., fi(xi(t))fi(xj(t)). xi(t) and xj(t) depend on the external input given in the form of samples, continuous in time in this case. This is because the activation dynamics depends on the external input besides the network parameters like membrane capacitance and the connection topology like feedback. The activation values considered here are steady and stable, since it is assumed that the transients due to membrane parameters like capacitances have decayed down, and the steady activation state of the network has reached the stable state. This assumption is reasonable, since the adjustment of synaptic weights takes place at a much slower rate compared t o the changes in the activation states. The initial weight wii(0)can be viewed as a priori knowledge. The term wy(0)e can be considered as a forgetting term. As t + m, the " contribution due to this term to the weight will be zero, i.e., the system would not remember the knowledge in the network at t = 0 . The second term reflects recency effect. It shows the accumulation of the correlation term with time. There is an exponential weightage to this accumulation, which shows that recent correlation value is given more weight than the correlation values in the past. As mentioned above, these correlations depend on the input samples. The weights are expected to capture the patterns in the input samples as determined by the synaptic dynamics model. Most of the time the learning laws ignore the passive decay term. Then the initial weight w..(O) receives importance as can be seen below fmm the solution o t t h e equation without the passive decay term. Let wG(t) = f;.(xi(t)> fi(xj(t)) (2.24) The solution is given by
t

ws(t) = ~ ~ ( j0ff(xi(7)) +- ) fi(x,(~)) d7

0

(2.25)

Note that the recency effect also disappears, once the passive decay term is absent. That is, there is no exponential weighting on the accumulation of the correlation term. In discrete-time implementation, the integral is replaced by

Learning Methods

57

summation of the correlation terms, where each term is due to the application of one sample input pattern. That is ub(t) = ~ ~ ( 0+ ' )

.r=

C1 fi(xi(7))6(xj(7))

(2.26)

The initial weight at time t = 0 also influences the weight at any instant t . It does not decay with time. The change in the weight due to an input pattern at the time instant t is given by

In summary, the distinction between the activation dynamics and synaptic dynamics models is highlighted by the following statements: For activation dynamics our interest is in the equilibrium states ( x ) given by V(x(t))= 0, which in turn uses the solution of equations for the steady activation states given by x(t) = 0, i.e., xi(t) = 0, for i = 1,2, ...,N. For synaptic dynamics, on the other hand, learning takes place when wii(t) + 0.

2.4 Learning Methods

There are several methods of learning. For the purpose of discussion, the learning methods are organized into different groups. Table 2.3 gives a summary of the learning methods discussed in this section. The table also lists the categories of learning discussed in Section 2.3.1.
Table 2.3 Summaly of Learning Methods
-

1. Categories of learning

Supervised, reinforcement and unsupervised Off-line and on-line Deterministic, stochastic and fuzzy Discrete and continuous ' Criteria for learning
2. Hebbian learning

Basic Hebbian learning Differential Hebbian learning Stochastic versions

3. Competitive learning-leaniing without a teacher

Linear competitive learning Differential competitive learning Linear differential competitive learning Stochastic versions

58

Activation and Synaptic Dynamics

Table 2.3 Summary of Learning Methods (Cont.)

4. Error correction learning-learning with a teacher

Perceptron learning Delta learning LMS learning

5. Reinforcement learning-learning with a critic

Fixed credit assignment Probabilistic credit assignment Temporal credit assignment

6. Stochastic learning

In multilayer perceptron In Roltzmann machine

7. Other learning methods

Sparse coding Min-max learning Principal component learning Drive-reinforcement learning Details of implementation of some learning methods will be discussed a t appropriate contexts in the later chapters.
2.4.1 Hebbian Learning

The basis for the class of Hebbian learning is that the changes in the synaptic strength is proportional to the correlation between the firing of the post- and pre-synaptic neurons [Hebb, 19491. Figure 2.4

Figure 2.4

Topology for Hebbian learning, where i and j represent processing units. shows the topology for Hebbian learning [Simpson, 19901. The synaptic dynamics equation is given by a decay term (- wii(t))and a correlation term (sisj) as (2.28) wY.(t) = - wy(t)+ sisj .

where sisj is the product of the post-synaptic and pre-synaptic neuronal variables for the ith unit. These variables could be activation values (sisj = xi(t)x,(t)),or an activation value and an external input (sisj = xi ( t )a, (t)),or an output signal and an external input (sisj = fi (xi( t ) )a, (t)), or output signals from two units (sisj = fi (xi ( t ) ) (x, ( t ) ) ) , some other parameters related to the post-synaptic and or pre-synaptic activity. If si and sj represent variables which are deviations from their respective mean values (Zi, then the resulting Zj),

fi

Learning Methods

59

correlation term (si- ifi) (sj- Sj) is called covariance correlation term. Throught our discussion we will assume that si = si(t) = fi(xi(t))and sj = sJ{t) = 6{xj(t)), unless otherwise specified. The solution of Eq. (2.28) is given by

where wb{O) is the initial value of the weight at time t = .O. The,first term shows that the past knowledge will decay exponentially to zero, which is equivalent to forgetting. The second term corresponds to correlation encoding with fading memory due to the exponential weight factor in the integral term. The Hebbian learning thus accumulates the correlation terms, giving more weightage to the recent terms. Some variations of the Hebbian learning are as follows [Simpson, 19901: (2.30) w,(t) = - w&t)+ (si- si)(sj- sj) [Sejnowski, 19771 w,(t) =

- w,(t) + (si- Si) sj

[Sutton and Barto, 19811

(2.31) (2.32)

w,(t) = - w,(t)

+ w,(t)

sisj [Cheung and Omidvar, 19881

The stochastic version of the Hebbian learning given in Eq. (2.28) is approximated to the following stochastic differential equation:

where {nb{t))is assumed to be a zero-mean Gaussian white noise process [Papoulis, 19911, independent of the signal process - wdt) + sisj. Synaptic equilibrium in the deterministic case is given by the steady state condition:

That is, there is no further change of weights. In the stochastic case, the weights reach stochastic equilibrium when the weight changes are only due to the noise component. That is

In these cases the synaptic processes fluctuate randomly at stochastic equilibrium as the weights approach the asymptotic values. Note that the stochastic equilibrium corresponds to the deterministic equilibrium on the average. That is the average or expectation E[w,(t)l = 0, for all t aRer wii reaches equilibrium.

60
2.4.2

Activation and Synaptic Dynamics

Differential Hebbian Learning

The deterministic differential Hebbian learning is described by wy(t) = - wy(t)+ sisj+ 8.8. I J or in a simpler classical version, it is given by [Klopf, 19861 w,(t) = - wy(t)+ sisj (2.36)

..

(2.37)

That is, the differential equation consists of a passive decay term - wy(t) and a correlation term si sj, which is a result of the changes in the post- and pre-synaptic neuronal activations. The stochastic versions of these laws are approximated by adding a noise term to the right hand side of these differential Hebbian learning equations.
2.4.3 Competftive Learning

Learning laws which modulate the difference between the output signal and the synaptic weight belong to the category of competitive learning. The general form of competitive learning is given by the following expression for the synaptic dynamics [Grossberg, 19691: where, si = fi(xi(t)) is the output signal of the unit i, and sj = fi{xj(t)) is the output signal of the unit j. This is also called the deterministic competitive learning law. It can be written as (2.39) The above expression is similar to the deterministic Hebbian learning (see Eq. (2.28)), except that the forgetting term (-si wii(t)), is nonlinear in this case, whereas it was linear in the Hebbian case. Here learning or adjustment of weights takes place only when there is a nonzero post-synaptic signal (si).If si = 0, then the synaptic weights do not change. It is also interesting to note that, unlike in the Hebbian case, in the competitive learning case the system does not forget the past learning when the post-synaptic signal is zero. In the Hebbian case, for si = 0, wy(t) = - wij(t), which results in forgetting the knowledge already acquired. The competitive learning works in a situation where an external input is presented to an input layer of units and these units feed signals to each of the units in the output layer. The signals from the units in the output layer compete with each other, leaving eventually one of the units (say i) as the winner. The weights leading to this unit are adjusted according to the learning law. This is also called the 'winner take-all' situation, since only one unit in the output layer will have a nonzero output eventually. The corresponding weights wy
w . .(t) = - si wy(t)+ sip, , v

Learning Methods

61

from a l the input units ( j ) are adjusted to match the input vector. l While the Hebbian learning is generally distributed, i.e., all the weights are adjusted for every input pattern, the competitive learning is not distributed. In fact the input vectors leading to the same winning unit in the competitive layer will produce a weight vector for that unit l which is an ave age of a l the corresponding input vedom. If the inputkyer units are linear, i.e., s, = x,, then the resulting learning is called linear competitive learning, and is given by

The stochastic versions of the competitive learning are approximated to the following stochastic differential equations [Kosko, 19921:
Random competitive learning w,(t) = si [s,

- wii(t)1+ no@)

Random linear competitive learning w,(t) = si [xi - w"(t)I+ n"(t)

where In&)) is assumed to be a zero-mean Gaussian white noise process, independent of the signal process. If the input space is partitioned into K different nonoverlapping subspaces, Dl, Dz, DK, ..., i.e.,

Di nD, = 0,
a
= 1,

for i

# j,

(2.43)

then a reinforcement function for an input pattern a is defmed as

if a E D,

(2.44)

Using this reinforcement function, the following supervised learning laws are defined:
Random supervised competitive learning

w v.(t) = ri(a)s, [s,- wo(t)l + nii(t) .

Random supervised linear competitive learning wU(t)= r,(a)si [xj- wii(t)] n"(t) +
2.4.4

(2.46)

(2.47)

Differentla1 Competitive Learning

Differential competition means that learning takes place only if there is a change in the post-synaptic neuronal activation. The deterministic differential competitive learning is described by wJt) = 8, [sj- wij(t)] (2.48)

62

Activation and Synaptic Dynamics

This combines the competitive learning and differential Hebbian learning. Linear differential competitive learning law is described by w,(t) = si [x, - wir(t)]

(2.49)

The stochastic versions of the above learning equations are obtained by adding a noise term to the right hand side of these differential competitive leaning equations. Random differential competitive learning Random linear differential competitive learning

2.4.5

Error Correction Learning

Error correction learning uses the error between the desired output and the actual output for a given input pattern t o adjust the weights. These are supervised learning laws, as they depend on the availability of the desired output for a given input. Let (a, b) be a sample of the input-output pair of vectors for which a network has to be designed by adjusting its weights so as to obtain minimum error between the desired and actual outputs. Let E be the error function and E(E) be the expected value of the error function for all the training data consisting of several input-output pairs. Since the joint probability density function of the pairs of random input-output vectors is not known, it is not possible to obtain the desired expectation &[El. Stochastic approximation estimates the expectation using the obsemed random input-output pairs of vectors(a, b . These estimates ) are used in a discrete approximation algorithm like a stochastic gradient descent algorithm to adjust the weights of the network. This type of adjustment may not always result in the optimum set of weights, in the sense of minimizing &[El. It may result in some local minima of the expected error function. Stochastic gradient descent algorithms are discussed in detail in Chapter 4. Most error correction learning methods use the instantaneous ' error (b- b3 to adjust the weights, where b is the actual output vector of the network for the input vector a. Rosenblatt's perceptron learning uses the instantaneous misclassification error to adjust the weights. It is given by

where bi is the desired output from the ith output unit for an input pattern a = (al, a2, ..., aM), a, is the jth component of the input

Learning Methods

63

pattern to the ith unit, and q is a small positive learning constant. Here si is the actual output of the ith unit given by si = sgn ( f: w" aj). Perceptron learning for a bipolar (* 1) output unit produces an error value bi - si = f 2. Note that bi - si = 0 when there is no error. Thus the discrete perceptron learning adjusts weights only when there is misclassiiication. The continuous perceptron learning uses a monotonically increasing nonlinear output function f l . ) for each unit. The weights are adjusted so as to minimize the squared error between the desired and actual output at every instant. The corresponding learning equation is given by

where si = f;:(xi)and xi = glwe ai. Continuous perceptron learning is also called delta learning, and it can be generalized for a network consisting of several layers of feedforward units. The resulting learning method is called the generalized delta rule. Widrow's least mean squared error (LMS) algorithm uses the instantaneous squared error between the desired and the actual output of a unit, assuming a linear output function for each unit, i.e., flx) = x. The corresponding learning equation is given by

w&t) = q (bi- x i ) a,

(2.54)

Note that in all of the above error correction learning methods, we have assumed that the passive decay term to be zero. These methods require that the learning constant ( q ) is made as small as possible, and that the training samples are applied several times to the network until the weights lead to a minimum error. As stated earlier, the resulting weights may not correspond to a global minimum of the expected error function.
2.4.6

Reinforcement Learning

In error correction learning the desired output for a given input is known, and therefore the learning is based on the error between the desired output and the actual output. This supervised learning is called learning with teacher. On the other hand, there are many situations where the desired output for a given input is not known. Only the binary result that the output is right or wrong may be available. This output is called reinforcement signal. This signal only evaluates the output. The learning based on this evaluative signal is called reinforcement learning [Sutton, 19921. Since this is evaluative and not instructive, it is also called learning with critic as opposed to learning with teacher in the supervised learning.

64

Activation and Synaptic Dynamics

The reinforcement learning can be viewed as a credit assignment problem [Sutton, 19841. Depending on the reinforcement signal, the credit or blame for the overall outcome is assigned to different units or weights of the network. This is called structural credit assignment, since it assigns credit to the internal structures of the system, whose actions generated the outcome. On the other hand, if the credit is assigned to the outcomes of series of actions based on the reinforcement signal received for the overall outcome, it is called temporal credit assignment. This happens for example in a game like chess, where the reinforcement signal (win or lose) is received only after a sequence of moves. The assignment of credit or blame in this case is to each of the moves in the sequence that led to the final outcome. The combined temporal and structural credit assignment problem is also relevant in situations involving temporally extended distributed learning systems [Williams, 1988; Williams, 19921. The reinforcement signal can also be viewed as a feedback from the environment which provides input to the network and observes the output of the network. There are three types of reinforcement learning depending on the nature of the environment. If the reinforcement signal from the environment is the same for a given input-output pair, and if it does not change with time, it is called a fixed credit assignment problem. This is like supervised learning in classification problems. On the other hand, if the given input-output pair determines only the probability of positive reinforcement, then the network can be viewed as operating in a stochastic environment. In such a case it is called probabilistic credit assignment. Here the probabilities are assumed stationary. In both the fixed and probabilistic credit assignments the input patterns are chosen randomly and independently by the environment. That is, the input pattern does not depend on the past inputs or outputs. But in the general case where the environment itself is changing, then both the reinforcement signals and the input patterns may depend on the past history of the network outputs. In such cases temporal credit assignment is more appropriate. The associative reward-penalty reinforcement learning by Barto and Anandan is applicable for a processing unit with probabilistic update (see Chapter 5), and is given by [Barto and Anandan, 19851

where (si) is the expected value of the output si for the ith unit, 71' is the learning rate parameter for positive reinforcement (reward) and 71- is the learning rate parameter for negative reinforcement ~ (penalty). Typically 71' >> 71- > 0.The term (1 ( s ~ )is )a derivative term, which can be ignored without affecting the general behaviour

Learning Methods

65

of this learning rule [Hassoun, 1995, p. 891. The above learning rule is apfilicable for units in a single layer only. In a multilayer network with hidden layer units, the error from the output layer units is propagated back to adjust the weights leading to the hidden layer units (see Chapter 4).
2.4.7

Stochastic Learning

Stochastic learning involves adjustment of weights of a neural network in a probabilistic manner [Ackley et al, 19851. The adjustment uses a probability law, which in turn depends on the error. The error for a network is a positive scalar defined in terms of the external input, desired output and the weights connecting the units. In the learning process, a random weight change is made and the resulting change in the error is determined. If the resulting error is lower, then accept the random weight change. If the resulting error is not lower, then accept the random weight change with a predecided probability distribution. The acceptance of random change of weights despite increase in the error from the network allows the network to escape local minima in the search for the global minimum of the error surface. Boltzmann learning uses stochastic learning along with simulated annealing to determine the weights of a feedback network to store a given set of patterns [Ackley et al, 1985; Szu, 19861. Stochastic learning is also used in determining the optimum weights of a multilayer feedforward neural network to amve at a set of weight values corresponding to the global minimum of the error surface, since stochastic learning helps to overcome the local minima problem Wasserman, 19881. However, all stochastic learning methods are slow in convergence and hence are time consuming.
2.4.8 Other Learning Methods

Sparse encoding: If (a,, b ) I = 0, 1, 2, ..., L - 1 are the given set ,, of input-output binary vector pairs, then the sparse encoding learning is given by the following logical OR and AND operations:

wU(I 1) = (ay AND bli) OR w,(l) +

(2.56)

with ~ " ( 0 = 0. This type of learning is used to store information in ) an associative memory [Steinbuch and Piske, 1963; Simpson, 19921.
Min-Max learning: This learning is used in the special case of

providing connections to each processing unit from an input unit, one connection weight (vy) corresponds to the minimum of 'the inputs and ) the other connection weight ( w ~ corresponds to the maximum of the

66

Activation and Synaptic Dynamics

inputs. The weight adjustments are made as follows [Simpson, 19911: vii(l+ 1) = min (aG,~ ~ ( 1 ) ) and wC(l 1) = max (ao, ~ ~ ( 1 ) ) + (2.58)
= wii(0) with ~ ~ ( 0 ) = 0, where a~ is the jth component of the input vector al. The minimum and maximum values are treated as bounds for a given membership function, providing a mechanism to adjust and analyze classes being formed in a neural network [Simpson, 19921.

(2.57)

Principal component learning: Principal components of a set of input vectors are a minimal set of orthogonal vectors that span the space of the covariance matrix of the input data. Once these basis vectors are found, it is possible to express any vector as a linear combination of these basis vectors. Oja's principal component learning is given by [Oja, 19821:

where amiis the ith component of the given input vector, y(m) is the actual output for the mth input vector. This learning extracts only the first principal component, and the output function of the unit is assumed to be linear. Note that the index m is used to indicate that a given input vector can be presented several times, even though there may be only a fixed number of vectors for training. The details of principal component learning are discusssed in Chapter 6.
Drlve-reinforcement learning: This law is given by

where a (t - 2) is a decreasing function of time and A f indicates the change in the output values of the units from the previous instant. The change in the weight uses a weighted sum of the changes in the past input values, multiplied by the current change in the output. The pre-synaptic changes 4,(xj(t - 2)), 2 = 1,2, ...,t are referred to as drives, and the post-synaptic change qi(xi(t))as the reinforcement, and hence the name drive-reinforcement learning. This learning law was proposed for control applications due to its ability to optimize temporal actions [Klopf, 19861.
2.4.9

Learning Functions

Learning laws are merely implementation methods for synaptic dynamics models. Typically, a synaptic dynamics model is described

Learning Methods

67

in terms of expressions for the first derivative of the weights. They are called learning equations. One general way of expressing the learning feature in neural network studies is the following: The change in the weight is proportional to the product of the input a(t) and a learning function g(:), and it is given by [Zurada, 19921 (2.61) wj(t) = V &wi(t), a(t), bi(t)) a(t) where, q is the learning rate parameter wi = (wil, wi2, ..., wiMIT the weight vector for the ith unit with is components wii wii is the weight on the link connecting the jth input unit to the ith processing unit a = (a,, a2, ..., aMITis the input vector with components aj , j = 1, 2, ...,M b = (bl,b,, ..., bN)T the desired output vector with components is bi,i = 1 , 2,...,N Input units are assumed linear. Hence a = x (activation) = s (output). Output units are in general nonlinear. Hence si = f(wTa). The function g(.) may be viewed as a learning function that depends on the type of learning. The increment in the weight vector in unit time interval is given by (see Eq. (2.27)) so that the weight at the time instant (t + 1) in terms of the weight at the time instant t is given by wi(t+ 1) = w,(t)+ Awi(t) (2.63)

There are different methods for implementing the learning feature of a neural network, leading to several learning laws. The different basic learning laws described in Section 1.6 differ in the expression for the l learning function. Al these learning laws use only local information for adjusting the weight of the connection between two units. The expression for the learning function for each of the basic learning laws is given below. The corresponding expression for the learning law is also given. The learning function for Hebb's law is given by

where A.) is the output function. Therefore the change in the weight is given by Awi = ~ $ 8 )a = q si a (2.65) where si is the output signal of the ith unit.

68

Activation and Synaptic Dynamics In perceptron learning the learning function assumes the form
T g(.) = bi - si = bi - sgn(wi a)

(2.66)

which is the difference between the desired output and the actual output at the ith unit. The change in the weight is given by Aw, = q [b, - sgn(w,'a)l a The learning function in delta learning law is given by (2.67)

Therefore the resulting weight change is given by Awi = q [b, - f(wTa)l f(wTa) a
T

(2.69)

The learning function in Widrow and Hoff learning law is given by

g(.) = [b, - wi a] = [b, -xi]

(2.70)

Therefore the change in the weight is given by Aw, = q [b,- wTa1 a In correlation learning the learning function is given by g(.) = bi and the weight change is given by Aw, = q bi a (2.73) (2.72)

2.5 Stability and Convergence

Stability refers to the equilibrium behaviour of the activation state of a neural network, whereas convergence refers to the adjustment behaviour of the weights during learning, which will eventually lead to minimization of error between the desired and actual outputs. Thus convergence is typically associated with supervised learning, although it is relevant in all cases of learning, both supervised and unsupervised. The objective of any learning law is that it should eventually lead to a set of weights which will capture the pattern information in the training set data. In this section we will discuss the global behaviour of artificial neural networks whose activation dynamics is described by the following set of equations [Cohen and Grossberg, 19831:

where xi = xi(t) and the coefficients [cik]form a symmetric matrix.

Stability and Convergence

69

These equations represent a class of N-dimensional competitive dynamical systems. All the previous activation models including the general shunting activation model form special cases of this system. In general, the activation state of the network starts from an initial state and follows a trajectory dictated by the dynamics of the equations. A network will be useful only if a trajectory leads eventually to an equilibrium state at which point there is no further change in the state. Such a state is also called a stable state, when a small perturbation of the state settles to the same state. Different initial states may follow different trajectories, all of which should terminate at some equilibrium states. There may be several trajectories that may terminate at the same equilibrium state. The existence of such equilibrium states enables global pattern formation possible in a network. That is, an input pattern corresponding to a starting state will eventually lead to one of the global patterns, which can be interpreted as storage of the input pattern in long term memory. The global pattern thus formed will only change if there is a different external input. In some cases the network parameters such as weights may slowly change due to learning or self-organization. If the global pattern formation still occurs for any choice of these parameters, then the resulting pattern is said to be absolutely stable or globally stable. Under certain conditions, which will be discussed later, the set of equations (2.74) describing activation dynamics do exhibit stable states which are also called h d point equilibrium states. Such a network then can form global patterns at those states, and hence can be used for pattern storage. One of the conditions is that the weights {cik)should be symmetric (cik = cki).If the weights are not exactly symmetric, then the network may exhibit periodic oscillations of states in certain regions of the state space. These oscillatory regions are also stable, and hence can be used for pattern storage. Oscillatory stable states may also arise when there is some delay in the feedback of the outputs from other processing units to the current unit, even though the weights are exactly symmetric. For some other conditions, the network may display chaotic changes of states in the regions of equilibrium, also called basins of attraction. Such a network is said to exhibit chaotic stability. Thus pattern storage is possible in any network that exhibits either fixed point stability or oscillatory stability or chaotic stability. However, it is difEcult to analyze and design a network suitable for the oscillatory and chaotic types of stabilities [Cohen and Grossberg, 1983;Hertz, 19951. A general network is more likely to exhibit random chaotic changes of states throughout due to nonlinearly coupled set of equations with delayed feedback. One has to carefully choose the parameters of the activation dynamics models for ensuring stable points. In general, it is difficult to know whether a network will have

70

Activation and Symptic Dymmics

stable points, and if so, how many. It is even more difficult to determine the behaviour of the network near the stable points to examine the nature of stability. However, in a few cases it is possible to predict the global pattern behaviour, if it is possible to show the existence of an energy function called Lyapunov function [Arnari, 19771. It is a scalar function of the parameters of the network, denoted by V(x), where x is the activation state vector of the network. V(x) is said to be a Lyapunov function if V(x) I 0 for all x. It is sufficient if we can find a Lyapunov function for a network in order to demonstrate the existence of stable equilibrium states. It is not a necessary condition, as the network may still have stable points, even though a Lyapunov function could not be found. The existence of Lyapunov function makes it easy to analyze the stability of the network. If the Lyapunov function is interpreted as an energy function, then the condition that V(x) I 0 means that any change in the energy due to change in the state of the network results in lowering the total energy. In other words, any change of the state of the network results in the trajectory of the state sliding along the energy surface in the state space towards lower energy. Eventually the trajectory leads to a state from where there is no further decrease in the energy due to changes in the state. Such a state corresponds to the energy minimum, at which V(x) = 0. Normally there will be many states at which V(x) = 0. All such states correspond to equilibrium points or stable states. All trajectories in the state space will eventually lead to one of these stable states. In the following, three general theorems are given that describe the stability of a set of nonlinear dynamical systems. The first theorem, the Cohen-Grossberg theorem, is useful to show the stability of fixed weight autoassociative networks. The second theorem, the Cohen-Grossberg-Kosko theorem, is useful to show the stability of adaptive autoassociative networks. The third theorem, the adaptive bidirectional-associative memory theorem, is useful to show the stability of adaptive heteroassociative networks.
Cohen-Grossberg theorem: For a system of equations given by

a global Lyapunov function is given by

Stability and Convergence

Since

i=1

k= 1

J
(2.81)

we have

v S 0,

if ai(xi)2 0, (i.e., ai(xi) is nonnegative), di(xi) 1 0 (i.e., di(xi) is monotonically nondecreasing function), cn are constant and do not change with time, and En] is symmetric. This last property was used to obtain the simplified expression for the derivative of the second tern of V(x) in Eq. (2.78). Note that the function bi(xi)could be arbitrary, except that it should ensure the integrability of the fimt tern in V(x). Thus V(x) is a global Lyapunov function, provided these conditions are satisfied.
Cohen-Grossberg-Kosko theorem: For a dynarnical system where both the activation state and the synaptic weights are changing simultaneously, the equations describing the dynamics may be expressed as follows [Kosko, 19881:

where [cu] is assumed to be a symmetric matrix. For such a system the following V(x) is a Lyapunov function.

Adaptive bldirectlonal associatlve memory theorem: The system of equations describing the activation and synaptic dynamics of a neural network consisting of two layers of processing units, a unit in each layer feeding its output to all the units in the other layer, is given as follows [Kosko, 19881:

Activation and Synaptic Dynamics

The following is a Lyapunov function for the above system:

2.6 Recall

in Neural Networks

During learning, the weights are adjusted to store the information in a given pattern or a pattein pair. However, during performance, the weight changes are suppressed, and the input to the network determines the output activation xi or the signal value si. This operation is called recall of the stored information. The recall techniques are different for feedforward and feedback networks. The simplest feedforward network uses the following equation to compute the output signal from the input data vector a. where A(.) is the output function of the ith unit. A recall equation for a network with feedback connections is given by the following additive model for activation dynamics: xi(t + 1) = - (1- a) xi(t)+ p

j= 1

x
N

wiifi{x,(t))

+ai

(2.90)

where xi(t + 1) is the activation of the ith unit in a single layer is the nonlinear feedback network at time (t -t1). The function output function of the jth unit, a (<1) is a positive constant that regulates the amount of decay the unit has during the update interval, p is a positive constant that regulates the amount of feedback the other units provide to the ith unit, and ai is the external input to the ith unit. This equation is same as the Eq. (2.10) except for a change of a few symbols. In general, stability is the main issue in feedback networks. If the network reaches a stable state in a finite number of iterations, then the resulting output signal vector represents the nearest neighbour stored pattern of the system for the approximate input pattern a.

c(.)

Summary

73

Cohen and Grossberg (1983) have shown that for a wide class of neural networks with certain constraints, the network with fixed weights reaches a stable state in a finite period of time from any initial condition. Later Kosko showed that a neural network could learn and recall at the same time, and yet remains stable Kosko, 19881. The response of a network due to recall could be the nearest neighbour or interpolative. In the nearest neighbour case, the stored pattern closest to the input pattern is recalled. This typically happens in the feedfornard pattern chsifiation or in the feedback pattern rndching netwbrks. In the interpolative case, the recalled pattern is a combination of the outputs corresponding to the input training patterns nearest to the given input test pattern. This happens in the feedfornard pattern mapping networks,

2.7 Summary
In this chapter we have considered the issues in developing activation and synaptic dynamics models for artificial neural networks. The activation models of both additive and multiplication types are discussed in detail. The multiplicative or shunting type models are developed to limit the operating range of the activation value of a neuron. The synaptic dynamics model equationi form the basis for learning in neural networks. Several learning methods are presented to indicate the variety of methods developed for different applications. The activation and synaptic dynamics models are useful only if global pattern formation is possible with these models. The global pattern formation is linked with stability and convergence of these models. The conditions to be met by a dynamical system for stability and convergence are discussed through stability theorems. Finally the issues in the recall of stored information are discussed briefly. Having understood the basics of artificial neural networks, the next task is to determine what kind of problems these structures and models can solve. The next four chapters deal with pattern recognition tasks that can be solved by some basic structures of artificial neural networks.

Review Questions
1 Explain the following: . (a) Activation and synaptic dynamics (b) Models of neural networks vs neural network models (c) Autonomous and nonautonomous dynamical systems (dl Additive and shunting models of activation models (el Stochastic models vs stochastic versions of models (0 Stability and convergence (g) Structural vs global stability

74

Activation and Synaptic Dynamics

2 What is meant by each of the following: . (a) Transient state (b) Steady state (c) Equilibrium state (d) Stable states 3 What is the noise-saturation dilemma in activation dynamics? . 4 Explain the differences among the three different types of . stability in neural networks: fixed-point, oscillatory and chaotic. 5 What is meant by global pattern formation in neural networks? . 6 What are the requirements of learning laws for effective . implementation? 7 What are forgetting and recency effects in learning? . 8 What are the different categories of learning? . 9. Explain the difference between short-term memory and longterms memory with reference to dynamics models. 1 . What is meant by operating range of a neuron? 0 11. What are the different types of Hebbian learning? 1 . What are the different types of competitive learning? 2 1 . What is reinforcement learning? In what way it is different from 3 supervised learning? 1 . Explain some criteria used for neural network learning. 4 1 . Explain the distinction between stability and convergence. 5 1 . What is meant by global stability? 6 1 . Distinguish between an equilibrium state and a stable state. 7 1 . What is the significance of Lyapunov function in neural networks? 8 1 . Explain the significance of each of the following theorems: 9 (a) Cohen-Grossberg theorem (b) Cohen-Grossberg-Kosko theorem (c) Adaptive bidirectional associative memory theorem 2 . What are the two general methods of recall of information in 0 neural networks? 2 . Explain with an example the distinction between nearest 1 neighbour and interpolative recall of information.

Problems
1 Show that the Perkel's model given in Eq. (2.11) is a special case . of the additive autoassociative model given by Eq. (2.10).

Problems

75

2. Show from Eq. (2.16) that if xi(0) 5 B,, then xi(t) 5 B, for all t > 0. 3. Show from Eq. (2.21) that if x,(O) 5 B, I C,, then xi(t) I Bi I C, for all t > 0. 4. Show from Eq. (2.21) that if x,(O) > - Ei I Di, then xi(t) 2 - E, I Di for all t > 0. 5. Explain the meaning of 'shunting' with reference to the shunting model of Eq. (2.21). 6. Explain the significance of the following: (a) xi = 0, for all i (b) ~ ( x I 0 ) (c) V(X) = 0 (d) W~ # 0, for all i, j . 7. Give the expressions for the general functions ai(xi),bi(xi) and di(xi) in Eq. (2.74) with reference to specific activation models given in Eqs. (2.10) and (2.21). 8. Show that the Lyapunov function represents some form of energy of an electrical circuit. 9. Show that ~ ( x 2 0 for Eq. (2.84). ) 10. Show that V(X, y) I 0 for Eq. (2.88). 1 . Consider a stochastic unit with a bipolar I-1, 1 output function. 1 1 The probability distribution for the unit is given by P(s = 1 Jx) = l/(1+ exp (-2 hx)) If the learning of the stochastic unit is based on gradient descent on the error between the desired and the average output, show that the resulting learning law is the same as the learning law obtained using delta learning for a deterministic unit with hyperbolic tangent as the output function. 12. Determine the weights and the threshold of a stochastic unit 1 with bipolar (-1, 1 output function to classify the following 2-class problem using reinforcement learning equation given in Eq. (2.55). Assume P(s = 1 Ix) = U(1+ exp(- 2 x)) and q+= 0.1 and q- = 0.01. Start with suitable values of initial weights and threshold. Use positive reinforcement when the classification is correct and negative reinforcement when the classification is wrong. Show the final decision surface. (Hint: Write a program to implement the learning.)

llT Class c,: [O 0lT, [I o]', [Oi l T , and Class C,: [- 1 - l l T , [- 1 - 21T, [- 2 - l l T ,and [-2 -21T

Chapter 3

Functional Units of ANN for Pattern Recognition Tasks

So far we have considered issues in pattern recognition, and introduced the basics of artificial neural networks. In this chapter we discuss some functional units of artificial neural networks that can solve simple pattern recognition tasks. These functional units form building blocks for developing neural architectures to solve complex pattern recognition problems. The pattern recognition problem to be addressed by a system is discussed in Section 3.1. Three fundamental functional units are identified to deal with the basic pattern association problem and some variations of this problem. These units are described in Section 3.2. The specific pattern recognition tasks that the various functional units can solve are discussed in Section 3.3. Table 3.1 gives the organization of the networks and the pattern recognition tasks to be discussed in this chapter.
Table 3.1 Basic Artificial Neural Network Models for Pattern Recognition Problems
1. Feedforward ANN

(a) Pattern association (b) Pattern classification (c) Pattern mapping/classification

2. Feedback ANN

(a) Autoassociation (b) Pattern storage (LTM) (c) Pattern environment storage (LTM)
3. Feedforward and Feedback (Competitive Learning) ANN

(a) Pattern storage (STM) (b) Pattern clustering (c) Feature mapping

Pattern Recognition Problem

3.1 Pattern Recognition Problem

In any pattern recognition task we have a set of input patterns and the corresponding output patterns. Depending on the nature of the output patterns and the nature of the task environment, the problem could be identified as one of association or classification or mapping. The given set of input-output pattern pairs form only a few samples of an unknown system. From these samples the pattern recognition model should capture the characteristics of the system. Without looking into the details of the system, let us assume that the input-output patterns are available or given to us. Without loss of generality, let us also assume that the patterns could be represented as vectors in multidimensional spaces. We first state the most straightforward pattern recognition problem, namely, the pattern association problem, and discuss its characteristics.

Pattern Association Problem: Given a set of input-output pattern pairs (a,, bl), ( , b,), ..., (al,bl), ..., (aL, bL) where al = (al1, alz, ..., a, alM) and bl = (bll, biz, ..., bw) are M and N dimensional vectors, respectively, design a neural network to associate each input pattern with the corresponding output pattern. If al and bl are distinct, then the problem is called heteroassociation. On the other hand, if bl = al, then the problem is called autoassociation. In the latter case the input and the corresponding output patterns refer to the same point in an N-dimensional space, s i n c e M = N a n d a l , = bl,, i = 1, 2, ..., N, 1 = 1, 2, ..., L. The problem of storing the association of the input-output pattern pairs (al,bl), I = 1,2, ...,L, involves determining the weights of a network to accomplish the task. This is the training part. Once stored, the problem of recall involves determining the output pattern for a given input pattern by applying the operations of the network on the input pattern. The recalled output pattern depends on the nature of the input and the design of the network. If the input pattern is the same as one of those used in the training, then the recalled output pattern is the same as the associated pattern in the training. If the input pattern is a noisy version of the trained input pattern, then the pattern may not be identical to any of the patterns used in training the network. Let the input pattern is 4 = al+ E, where E is a (small amplitude) noise vector. Let us assume that 4 is closer (according to some distance measure) to al than any other ak,k # I. If the output of the network for this input & is still bl, then the network is designed to exhibit an accretive behaviour. On the other hand, if the network produces an output 6 = bl + 6, such that 1 6 1 + 0 as 1 E I 0, then the network is designed to exhibit an interpolative behaviour. Depending on the interpretation of the problem, several pattern

78

Functional Units of ANN for Pattern Recognition Tasks

recognition tasks can be viewed as variants of the pattern association problem. We will describe these tasks in Section 3.3. First we will consider three basic functional units of neural networks which perform the pattern association and related pattern recognition tasks.
3.2 Basic Functional Units

There are three types of artificial neural networks. They are: (i)feedforward, (ii) feedback and (iii) a combination of both. The simplest networks of each of these types form the basic functional units. They are functional because they can perform by themselves some simple pattern recognition tasks. They are basic because they form building blocks for developing neural network architectures for complex pattern recognition tasks to be described later in Chapter 7. The simplest feedforward network (Figure 3.1) is a two layer network with M input units and N output units. Each input unit is Output vector = bf b' b' A' ' A AN

Output units

Input units (Fan-out units) Input vector

a
=
a 1

Figure 3.1 Basic feedforward neural network.

connected to each of the output units, and each connection is associated with a weight or strength of the connection. The input units are all linear, and they merely perform the task of fan-out, i.e, each unit is providing N outputs, one to each output unit. The output units are either linear or nonlinear depending on the task that the network should perform. Typically, feedforward networks are used for pattern association or pattern classification or pattern mapping. The simplest feedback network, shown in Figure 3.2, consists of a set of N processing units, each connected to all other units. The connection strengths or weights are assumed to be symmetric, i.e., wii = wji, for i j. Depending on the task, the units of the network could be linear or nonlinear. Typically feedback networks are used for autoassociation or pattern storage.

Pattern Recognition Tasks by the Functional Units

Output vector

b'

b:

Input vector

a,

Figure 3.2 Basic feedback neural network.

The simplest combination network is called a competitive learning network, shown in Figure 3.3. It consists of an input layer of units
Output vector

Output units

Input units (Fan-out units) Input vector

a =

a,

a,

a ,

Figure 3.3 Basic competitive learning network.

feeding to the units in the output layer in a feedforward manner, and a feedback connection among the units in the output layer, including self-feedback. Usually the connection strengths or weights of the feedforward path are adjustable by training the network for a given pattern recognition task. The feedback connection strengths or weights in the output layer are usually fixed to specific values depending on the problem. The input units are all linear, and they merely perform the task of fan-out, i.e., each unit providing N outputs, one to each output unit. The output units are either linear or nonlinear depending on the task the network should perform. Typically the competitive learning network is used for pattern grouping/clustering.

3.3 Pattern Recognition Tasks by the Functional Units

Table 3.1 gives a summary of the pattern recognition tasks that can be performed by the three functional units described in the previous

80

Functional Units of ANN for Pattern Recognition Tasks

section. All the pattern recognition tasks listed are simple, and can be viewed as variants of the pattern association problem. Each of these tasks can be described in terms of mapping of points from one multidimensional space onto another multidimensional space. In this section the geometrical interpretations of the pattern recognition tasks are given to obtain a clear understanding of the problems. The input pattern space is an M-dimensional space, and the input patterns are points in this space. Likewise the output pattern space $ is an N-dimensional space, and the output patterns are points in this space. The pattern spaces are shown as circles in the figures used to illustrate the pattern recognition tasks.
3.3.1 Pattern Recognltlon Tasks by Feedforward Neural Networks

In this section we will discuss three pattern recognition tasks that can be performed by the basic feedforward neural network.
Pattern association problem: The pattern association problem is illustrated in Figure 3.4. The input patterns are shown as a,, a,, a3
Input pattern space Association Output pattern space

Figure 3.4 Illustration of pattern association task.

and the corresponding output patterns as b,, b,, b3. The objective of designing a neural network is to capture the association between input-output pattern pairs in the given set of training data, so that when any of the inputs al is given, the corresponding output bl is retrieved. Suppose an input pattern ai not used in the training set is given. If the training input pattern al is the closest to ai, then the pattern association network should retrieve the output pattern b, for the input pattern ai. Thus the network should display accretive behaviour. The pattern ai can be viewed as a noisy version of the pattern a,. That is ai = a, + E, where E is a noise vector.' If the amplitude of the noise added to a, is so large that the noisy input pattern is closer to some pattern (say ak)other than the correct one (a,), then the network produces an incorrect output pattern

Pattern Recognition Tasks by the Functional Units

81

; I . Thus an incorrect output pattern would be retrieved for f the given noisy input. An example of a pattern association problem is associating a O O OT unique binary code to a printed alphabet character, say [ O O I for A, [OOOO1lT for B, etc. (See Figure 3.5). The input patterns A, B, etc.,

bk,k

Figure 3.6 An example of pattern association problem.

could be represented as black and white pixels in a grid of size, say 16 x 16 points. Then the input pattern space is a binary 256-dimensiollal space, and the output pattern space is a binary 5-dimensional space. Noisy versions of the input patterns are obtained when some of the pixels in the grid containing a character are transformed from black to white or vice versa. Note that the performance of a network for the pattern association problem is mainly dictated by the distribution of the training patterns in the input space. This point will be discussed in detail in Chapter 4.
Pattern classification problem: In the pattern association problem if a group of input patterns correspond to the same output pattern, then typically there will be far fewer output patterns compared to the number of input patterns. In other words, if some of the output patterns in the pattern association problem are identicd, then the number of distinct output patterns can be viewed as class labels, and the input patterns corresponding to each class can be viewed as samples of that class. The problem then becomes a pattern classification problem as illustrated in Figure 3.6. In this case whenever a pattern belonging to a class is given as input, the network identifies the class label. During training, only a

Functional Units of ANN for Pattern Recognition Tasks

Input pattern space Classification Output pattern space

Figure 3.6 Illustration of pattern classification task.

few samples of patterns for each class are given. In testing, the input pattern is usually different from the patterns used in the training set for the class. The network displays an accretive behaviour in this case. An example of pattern classification problem could be labelling hand printed characters within a specified grid into the corresponding printed character. Note that the printed character patterns are unique and fixed in number, and serve as class labels. These labels could be a unique 5-bit code as shown in Figure 3.7. For a given

Figure 3.7 An example of pattern classification problem.

character, the samples of hand-printed versions of the character are not identical. In fact the dimensionality of the input pattern space will have to be very large in order to represent the hand-printed characters accurately. An input pattern not belonging to any class may be forced into one of the predetermined class labels by the network. Note that the performance of a network for the pattern classification problem depends on the characteristics of the samples associated with each class. Thus grouping of the input patterns by

Pattern Recognition Tasks by the Functional U i s nt

83

the class label dictates the performance. This point will be discussed in detail in Chapters 4 and 7.
Pattern mapplng: Given a set of input-output pattern pairs as in the pattern association problem, if the objective is to capture the implied mapping, instead of association, then the problem becomes a pattern mapping problem (Figure 3.8). In a pattern mapping problem
Input pattern apace Output pattern space

Figure~ 3.8 Illustration of pattern mapping task.

both the input and the output patterns are only samples from the mapping system. Once the system behaviour is captured by the network, the network would produce a possible output pattern for a new input pattern, not used in the training set. The possible output pattern would be appro&ately an interpolated version of the output patterns corresponding to the input training patterns close to the given test input pattern. Thus the network displays an interpolative behaviour. Typically the input and output pattern spaces are continuous in this case, and the mapping function must be smooth for the interpolation to work satisfactorily. An example of the data for a pattern mapping problem could be the input data given to a complex physical system and the corresponding output data from the system for a number of trials. The objective is to capture the unknown system behaviour from the samples of the input-output pair data. A pattern mapping problem is the most general case, from which the pattern classification and pattern association problems can be derived as special cases. The network for pattern mapping is expected to perform generalization. The details of how well a given network can do generalization will be discussed in Chapter 7.
3.3.2 Pattern Recognition Tasks by Feedback Neural Networks

In this section we wl discuss three pattern recognition tasks that il can be performed by the basic feedback neural networks.
Autoassoclatlon problem: If each of the output patterns bl in a

84

Functional Units of ANN fir Pattern Recognition Tasks

pattern association problem is identical to the corresponding input patterns al , then the output pattern space is identical to the input pattern space (Figure 3.9). In such a case the problem becomes an
Input pattern space Output pattern space (same as input and the points are also same)

Figure 3.9 Illustration of autoassociation task.

autoassociation problem. This is a trivial case where the network merely stores the given set of input patterns. When a noisy input pattern is given, the network retrieves the same noisy pattern. Thus there is an absence of accretive behaviour. A detailed analysis of the autoassociation problem is given in Chapter 5. Note that the special case of bl = al , 1 = 1, 2, ..., L in the pattern association task is considered as a problem of heteroassociation task to be addressed by a feedforward network The term autoassociation task is thus used exclusively in the context of feedback networks.
Pattern storage problem: In the autoassociation problem, if a given input pattern is stored in a network for later recall by an approximate input pattern, then the problem becomes a pattern storage problem (Figure 3.10). Any input vector close to a stored input pattern will
Input pattern space Output pattern space (same as input but the points could be different from the input patterns to be stored)

Figure 3.10 Illustration of pattern storage task.

recall that input pattern exactly from the network, and thus the network displays accretive behaviour. The stored patterns could be

Pattern Recognition Tasks by the Functional Units

85

the same as the input patterns given during training. In such a case the input pattern space is a continuous one, and the output space consists of a fixed finite set of (stored) patterns corresponding to some of the points in the input pattern space. The stored patterns could also be some transformed versions of the input patterns, but of the same dimension as the input space. In such a case the stored patterns may correspond to different points in the input space. Due to its accretive behaviour, the pattern storage network is very useful in practice. A detailed analysis of this network is given in Chapter 5.
Pattern environment storage probiem: If a set of patterns together with their probabilities of occurrence are specified, then the resulting specification is called pattern environment. The design of a network to store a given pattern environment aims at recall of the stored patterns with the lowest probability of error. This is called a pattern environment storage problem. A detailed analysis of this problem together with the network design is given in Chapter 5. 3.3.3 Pattern Recognition Tasks by Competitive Learning Neural Networks

In this section we will discuss three pattern recognition tasks that can be performed by a combination neural network consisting of feedforward and feedback parts. The network is also called the competitive learning network.
Temporary pattern storage: If a given input pattern is stored in a network, even in a transformed form, in such a way that the pattern remains only until a new pattern input is given, then the problem becomes that of a short term memory or temporary storage problem. This is only of academic interest. However, a detailed analysis of this problem is given in Chapter 6. Pattern clustering problem: Given a set of patterns, if they are grouped according to similarity of the patterns, then the resulting problem is called pattern clustering. It is illustrated in Figure 3.11. There are two types of problems here. In one case the network displays an accretive behaviour (Figure 3.11a). That is, if an input pattern not belonging to any group is presented, then the network will force it into one of the groups. The input pattern space is typically a continuous space. The test input patterns could be the same as the ones used in the training or could be different. The output pattern space consists of a set of cluster centres or labels. The second type of problem displays interpolative behaviour as shown in Figure 3.11b. In this case, a test input pattern not belonging

86

Functional Units of ANN for Pattern Recognition Tasks

Input pattern apace Output pattern apace

(b) Interpolative

Figure 3.11 Illustration of two types of pattern clustering tasks.

to any group produces an output which is some form of interpolation of the output patterns or cluster centers, depending on the proximity of the test input pattern to the input pattern groups formed during training. Pattern clustering also leads to the problem of vector quantization. A detailed analysis of these problems is given in Chapter 6.
Feature mapplng problem: In the pattern clustering problem a group of approximately similar input patterns are identified with a fixed output pattern or a group label. On the other hand, if similarities of the features of the input patterns have to be retained in the output, the problem becomes one of feature mapping. In this, a given set of input patterns are mapped onto output patterns in such a way that the proximity of the output patterns reflect the similarity of the features of the corresponding input patterns. When a test input pattern is given, it will generate an output which is in the neighbourhood of the outputs for similar patterns. Note that typically the number of output patterns are fixed, but they are much larger than in the pattern clustering case, and they are organized physically in the network in such a way that the neighbourhood pattern labels reflect closeness of features. A detailed analysis of the feature mapping problem is given in Chapter 6. In summary, this chapter dealt with some basic functional units of neural networks and a description of the pattern recognition tasks that these units can perform. In particular, we have identified three

Review Questions

87

basic networks: feedforward, feedback and competitive learning networks. We have defined the pattern association problem as a basic problem, and we have seen how several other pattern recognition tasks could be interpreted as varianta of this problem. We have discussed each of the pattern recognition tasks in the form of a mapping problem. What we have not discussed is how the basic functional units perform the corresponding pattern recognition tasks mentioned in this chapter. The next three chapters deal with a detailed analysis of these tasks by the networks.

Revlew Questions
1 What are the three functional units? Why are they called . functional units? 2. Explain the meaning of (a) accretive behaviour and (b) interpolative behaviour. 3. Distinguish between pattern association, pattern classification and pattern mapping tasks. 4. Give a real life example of a pattern mapping problem. 5. Explain the difference between autoassociation problem and heteroassociation problem. 6. What is meant by a pattern environment storage problem? Give a real life example to illustrate the problem. 7. Explain the difference between the accretive and interpolative type of clustering problems. 8. Explain what is meant by feature mapping? Explain the problem with a real life example from speech production. 9. Explain how recognition of handwritten digit8 is closer to a classification type problem, whereas recognition of vowel sounds in continuous speech is closer to a feature mapping type of problem.

Chapter 4

Feedforward Neural Networks

4.1 Introduction
This chapter presents a detailed analysis of the pattern recognition tasks that can be performed by a feedforward artificial neural network. As mentioned earlier, a feedforward artificial neural network consists of layers of processing units, each layer feeding input to the next layer in a feedforward manner through a set of connection strengths or weights. The simplest such network is a two layer network. By a suitable choice of architecture for a feedforward network, it is possible to perform several pattern recognition tasks. The simplest task is a pattern association task, which can be realized by a two layer feedforward network with linear processing units. A detailed analysis of the linear association network shows that the network is limited in its capabilities. In particular, the number of input-output pattern pairs to be associated are limited to the dimensionality of the input pattern, and also the set of input patterns must be linearly independent. The constraint on the number of input patterns is overcome by using a two layer feedforward network with nonlinear processing units in the output layer. This modification automatically leads to the consideration of pattern classification problems. While this modification overcomes the constraints of number and linear independence on the input patterns, it introduces the limitations of linear separability of the functional relation between input and output patterns. Classification problems which are not linearly separable are called hard problems. In order to overcome the constraint of linear separability for pattern classification problems, a multilayer feedforward network with nonlinear processing units in all the intermediate hidden layers and in the output layer is proposed. While a multilayer feedforward architecture could solve representation of the hard problems in a network, it introduces the problem of hard learning, i.e., the difficulty in adjusting the weights of the network to capture the implied functional relationship between the given input-output pattern pairs. The hard learning problem is solved by using thc backpropagation learning algorithm. The resulting network provides a solution to the pattern mapping problems. The generaliza-

Introduction

89

tion (ability to learn a mapping function) feature of a multilayer feedforward network with the backpropagation learning law depends on several factors such as the architectural details of the network, the learning rate parameter of the training process and the training samples themselves. Table 4.1 shows the summary of the topics to be discussed in this chapter. The pattern association problem is discussed in Section 4.2. Table 4.1 Pattern Recognition Tasks by Feedfoward Neural Networks Pattern association Architecture: Two layers, linear processing units, single set of weights Learning: Hebb's (orthogonal) rule, Delta (linearly independent) rule Recall: Direct Linear independence, number of patterns restricted to Limitation: input dimensionality To overcome: Nonlinear processing units, leads to a pattern classification problem Pattern classification Architecture: Two layers, nonlinear processing units, -geometrical interpretation Learning: Perceptron learning Recall: Direct Limitation: Linearly separable functions, cannot handle hard problems To overcome: More layers, leads to a hard learning problem Pattern mapping or classification nt, Archztecture: Multilayer (hidden), nonlinear processing u i s geometrical interpretation Learning: Generalized delta rule (backpropagation) Recall: Direct Slow learning, does not guarantee convergence Limitation: To overcome: More complex architecture This section gives a detailed analysis of a linear associative network, and shows the limitations of the network for pattern association problems. Section 4.3 describes the pattern classification problem. An analysis of a two layer feedforward network with nonlinear processing units in the output layer brings out the limitations of the network for pattern classification task. The section also discusses the problems of classification, representation, learning and convergence in the context of perceptron networks. In Section 4.4 the problem of pattern mapping by a multilayer neural network is discussed. The chapter concludes with a discussion on the backpropagation learning law and its implications for generalization in a pattern mapping problem.

90

Feedforward Neural Networks

4.2 Analysis of Pattern Association Networks

4.2.1

Linear Associative Network

The objective in pattern association is to design a network that can b[), represent the association in the pairs of vectors (q, 1 = 1, 2, ..., L, through a set of weights to be determined by a learning law. The given set of input-output pattern pairs is called training data. The input patterns are typically generated synthetically, like machine printed characters. The input patterns used for recall may be corrupted by external noise. The following vector and matrix notations are used for the analysis of a linear associative network: Input vector Activation vector of input layer Activation vector of output layer Output vector Input matrix Output matrix Weight matrix Weight vector for jth unit of output layer

a = [all,a12, ...,a,M] 1

x = [xl,x2, ..., xMIT

= b l , y z , ..., Y N ] T

b1 = [bll,biz, ...,bwl T A = [ a l a 2... aJ is an M x L matrix B = b1bz bL] an N x L matrix ... is W = [ ~ ~ ~ ~ . . . ~ ~ ] ~ i s a n ~ x ~ m a t r i x

w.= [wjl,wJ2,...,wJM1 T . I

The network consists of a set of weights connecting two layers of processing units as shown in Figure 4.1. The output function of each
Output vector

Activation vector of output layer

Activation vector o input layer f Input vector

QI

41

Cr,

Figum 4.1 Linear associative network.

Analysis of Pattern Association Networks

91

unit in these layers is linear. Each output unit receivesinputs from the M input units corresponding to the M-dimensional input vectors. The number (N) of output units corresponds to the dimensionality of the output vectors. Due to linearity of the output function, the activation values (xi) and the signal values of the units in the input layer are the same as the input data values ali. The activation value of the jth unit in the output layer is given by yj
=

i=l

x
M

wji ali = wj ail

j = 1,2, ..., N.

(4.1)

The output (bl;.)of the jth unit is the same as its activation value yj, since the output function of the unit is linear, i.e., bl;. = yj. The network is called linear since the output of the network is simply a linear weighted sum of the component values of the input pattern. The objective is to determine a set of weights Iwji) in such a way that the actual output bS, is equal to the desired output blj for all the given L pattern pairs. The weights are determined by using the criterion that the total mean squared error between the desired output and the actual output is to be minimized. The weights can be determined either by computing them from the training data set or by learning. Computation of weights makes use of all the training set data together. On the other hand, in learning, the weights are updated after presentation of each of the input-output pattern pairs in the training set.
4.2.2

Determination of Weights by Computation

For a linear associative network Mecht-Nielsen, 19901, xi = a l i , i = 1 , 2,..., M

(4.2)

Actual output vector

b; = y = Wx = Wal
Error in the output is given by the distance between the desired output vector and the actual output vector. The total error E(W) over all the L input-output pattern pairs is given by

92 We can write where the square norm

Feedforward Neural Networks

Using the definition that the trace of a square matrix S is the sum of the main diagonal entries of S, it is easy to see that

where the matrix S is given by

and tr(S) is the trace of the matrix.S. Using the definition for pseudoinverse of a matrix [Penrose, 19551, i.e., A+ = AT(AAT)-l,we get the matrix identities A+AAT= AT and AAT(A+lT A. Using these matrix identities we get = It can be seen that the trace of the first term in Eq. (4.11) is always nonnegative, as it is in a quadratic form of the real symmetric matrix AAT. It becomes zero for W = BA+.The trace of the second term is a constant, independent of W. Since the trace of sum of matrices is the sum of traces of the individual matrices, the error E(W) is minimum when W = BA+. The minimum error is obtained by substituting W = BA+ in Eq. (4.7), and is given by

where Z is an L x L identity matrix. The above simplification is obtained by using the following matrix identities: (A+A)~ AT(A+lT = and A A ~ ( A += ~ ) A. The following singular value decomposition (SVD) of an M x L matrix A is used to compute the pseudoinverse and to evaluate the minimum error. Assuming L I the SVD of a matrix A is given by M, [Strang, 19801

Analysis of Pattern Association Networks

93

where = hipi, ATAqi = hiqi, and the sets (ply p2, ..., pM) and {q,, q2, ..., q,) are each orthogonal. The eigenvalues hi of the matrices AA and A ~ A be real and nonnegative, since the matrices are will symmetric. The eigenvalues are ordered, i.e., I, 2 hi+1. Note that the pi's are M-dimensional vectors and q/s are L-dimensional vectors. The pseudoinverse A+ of A is given by

'

where r is the rank (maximum number of linearly independent columns) of A. Also r turns out to be the number of nonzero eigenvalues I,. Note that if r = L, then all the L column vectors are linearly independent. Using the SVD, it can be shown that A+A = ILxL,if L is the number of linearly independent columns of A. In such a case I-A'A = 0 (null vector), and hence Em, = 0 (See Eq. (4.12)). Therefore, for a linearly independent set of input pattern vectors, the error in the recall of the associated output pattern vector is zero, if the optimum choice of W = BA' is used. If the rank r of the matrix A is less than L, then the input vectors are linearly dependent. In this case also the choice of the weight matrix as W = BA+still results in the least error E-. But this least error is not zero in this case. The value of the error depends on the A ' rank r of the matrix. The matrix A will have a sub-matrix I,,,, and all the other four sub-matrices will be zero. That is

The expression for minimum error is given from Eq.(4.12) as

The next issue is how to achieve the minimum error retrieval from the linear associative network, when there is noise nl added to the input vectors. The noisy input vectors are

It is assumed that each component of the noise vector nl is uncorrelated with the other components and also with the components of the pattern vectors, and has the same standard deviation o. Let C be an M x L matrix of the noisy input vectors. The objective is to find a W that minimizes

Feedforward Neural Networks

Murakami has shown that, if W = BA', then the expression for error E(W) is given by [Murakami and Aibara, 19871

The first term in the square brackets can be attributed to the linear dependency part of the column vectors of A. If the rank of the matrix A is L, then r = L, and the first term will be zero. Therefore, the error is determined by the noise power 2. If in addition, there is no noise, i.e., o = 0, then the error E(W) = 0. In that case error-free recall is possible. To minimize E(WAinthe presence of noise in the input pattern vectors, choose W = B A+, where

The value of s is determined in such a way that

That is, the noise power 2 will decide how many terms should be considered in the SVD expression for the pseudoinverse. If the eigenvalue A, is so small that the noise power dominates, then that eigenvector could as well be included in the first term of the expression in Eq. (4.19) for the error corresponding to the linear dependence. This will reduce the error. Note that this analysis is valid only if the legal inputs are corrupted by noise. It is not valid if the input consists of only noise. The expression for the error E(W) is applicable for the closed set of the column vectors in A Murakami and Aibara, 19871.
4.23

Determination of Weights by Learning

It is desirable to determine the weights of a network in an incremental manner, as and when a new training input-output pattern pair is available. This is called learning. Each update of the weights with a new input data can be interpreted as network learning. Computationally also learning is preferable because it does not require information of all the training set data at the same time. As will be seen later in this section, it is also preferable to have learning confined to a local operation. That is, the update of a weight connecting two processing units depends only on the connection

Analysis of Pattern Association Networks

95

weight and the activations of the units on either side of the connection. Two learning laws and their variations, as applicable to a linear associative network, are discussed in this section.
Hebb's law: Let the input pattern vector al and the corresponding desired output pattern vector bl be applied to the linear associative network. According to the Hebb's law, the updated weight value of a connection depends only on the activations of the processing units on either side of the connecting link. That is

Note that the computation of the increment xi yj = aliblj is purely local for the processor unit and the input-output pattern pair. The updated weight matrix for the application of the lth pair (al, bl) is given by W(1) = W(1- 1)+ b,a:, (4.23) where W(1- 1) refers to the weight matrix after presentation of the first (1- 1) pattern pairs, and W(1) refers to the weight matrix after presentation of the first 1 pattern pairs. Note that blar is the outer product of the two vectors, which results in an N x M matrix. Each element of this matrix is an increment of the corresponding element in the weight matrix. If the initial values of the elements of the weight matrix are assumed to be zero, then the weight matrix resulting after application of the L input-output pattern vector pairs (al, bl), 1 = 1, 2, ..., L, is given by
L

W=
1-1

bla; = BAT,

where the element wji of W is given by

To verify whether the network has learnt the association of the given set of input-output pattern vector pairs, apply the input pattern ak and determine the actual output vector b; .

96

Feedforward Neural Networks

It is obvious from the above equation that the actual output b; is not the same as the desired output bk. Only if some restrictions are imposed on the set of input pattern vectors {al, %, ..., aLl, we can get the recall of the correct output pattern bkfor the input pattern ak. The restriction is that the set of input vectors must be orthonormal. That is

In such a case the first term in the expression for b; in Eq. (4.26) becomes bk, and the second term becomes zero, as each of the products aTakis zero for I # k. The restriction of orthogonality limits the total number (L)of the input patterns in the set A to M, i.e., the dimensionality of the input vectors, as there can be only M or less than M mutually orthogonal vectors in an M-dimensional space. If the restriction of orthogonality on the set of input vectors is relaxed to mere linear independence, then the expression in Eq. (4.26) for recall reduces to

where it is assumed that the vectors are of unit magnitude, so that aiak = 1. This leaves an error. term e indicating that the recall is not perfect, if the weight matrix is derived using the Hebb's law. However, it was shown in the previous Section 4.2.2 that, for linearly independent set of input vectors, exact recall can be achieved if the weight matrix W is chosen as W = BA', where A+ is the pseudoinverse of the matrix A. If the set of input vectors are not linearly independent, then still the best choice of W is BA+, as this yields, on the average, the least squared error in the recall of the associated pattern. The error is defined as the difference between the desired and the actual output patterns from the associative network. If th%reis noiseAinthe input, the best choice of the weight matrix W is BA', whereA+ includes fewer (s) terms in the singular value decomposition expansion of A than the rank (r) of the matrix, the choice of s being dictated by the level of the noise (See Eq. (4.21)). For all these best choices of W, the weight values have to be computed from the knowledge of the complete input pattern matrix A, since all of them need the SVD of A to compute the pseudoinverse A+.However, it is possible, at least in some cases, to develop learning algorithms which can approach the best choices for the weight matrices. The purpose of these learning algorithms is to provide a procedure for incremental update of the weight matrix when an input-output pattern pair is presented to the network. Most of these learning algorithms are based on gradient descent along an error surface (See Appendix C ) . The most basic among them is Widrow and

Analysis of Pattern Association Networks

97

Hoffs least mean square (LMS) algorithm [Widrow and Hoff, 19601. The gradient descent algorithms are discussed in detail later in the section on pattern mapping tasks.
Widrow's law: A form of Widrow learning can be used to obtain W= BA+ recursively. Let W(l - 1) be the weight matrix after presentation of (1 - 1)samples. Then W(1- 1)= B(1- 1)A+(I I), where the matrices B(1 - 1) and A(1 - 1) are composed of the first (1 - 1)vectors of bk and the first (1 - 1) vectors of ah, respectively. When the pair (al, bl) is given to the network, then the updated matrix is given by (See [Hecht-Nielsen, 19901)

W(Z) = W(Z- 1) (bl- WQ- l)al)pr +

(4.29)

where Pl =
[I- A(1- l)A+(l- I)] al ' I [I- A(1- 1)A+(E- l)lal1

if the denominator is

1 - - ~ ~ ( l)A+(l l)al' otherwise 1+ IA+(l- l)al1 By starting with zero initial values for all the weights, and successively adding the pairs (al,bl), (a2, b2), ..., (aL,bL), we can obtain the final pseudoinverse-based weight matrix W = BA+. The problem with this approach is that the recursive procedure cannot be implemented locally because of the need to calculate pl in Eq. (4.29). The same eventual effect can be approximately realized using the following variation of the above learning law,

where q is a small positive constant called the learning rate parameter. This Widrow's learning law can be implemented locally by means of the following equation,

where wj(l - 1) is the weight vector associated with the jth processing unit in the output layer of the linear associative network at the (1 - 1)th iteration. With this scheme, it is often necessary to apply the pairs (al,bl) of the training set data several times, with each pair chosen at random. The convergence of the Widrow's learning law in Eq. (4.32) depends on the choice of the learning rate parameter q. For sufficiently low values of q, a linear associative network can adaptively form only an approximation to the desired weight matrix W = BA+.There is no known method for adaptively learning the best

98

Feedforward Neural Networks

choice of the weight matrix W = BA+. Note also that no method is known to adaptively learn even an approximation to the best choice of the weight matrix W = B& in the case of additive noise in the input pattern vectors. Therefore, in the case of noisy patterns, t$e best weight matrix has to be computed using the expressions for A+ in terms of the components of the singular value decomposition of A, depending on the estimated noise level in the input patterns. This is obvious from the fact that noise effects can be reduced only when its statistics are observed over several patterns.
4.2.4

Discussion on Pattern Association Problem

Table 4.2 gives a summary of the results of linear associative networks.

Table 4.2 Summary of Results of Linear Associative Networks P a t t e r n association problem Given a set {(a!, b,)) of L pattern pairs, the objective is to determine the weights of a linear associative network so as to minimize the error between the desired and actual outputs. If A = [al a2... aL], B = (blb2... bL] and Ware the input, output and weight matrices, respectively, then the optimum weights are given by (a) W = B A ~ for orthogonal set of input vectors (b) W = BA-' for linearly independent set of input vectors (full rank square matrix: r = L = M ) for linearly independent set of input vectors (full rank (c) W = BA' matrix: r = L < M) for linearly dependent set of input vectors (reduced rank: (d) W = BA'

r<LlM
for noisy input vectors (e) W = For the cases (a), (b) and (c), the minimum error is zero. For the case (d) the minimum error is determined by the rank of the input matrix. For the case (e) the minimum error is determined by both the rank of the input matrix and the noise power. Determination of weights by learning (a) For orthogonal input vectors the optimum weights W = B A can be ~ obtained using Hebb's learning law. (b) For linearly independent or dependent input vectors an approximation to the optimum weights W = BA+ can be learnt using a form of Widrow's learning law. (c) For noisy input vectors there is no known learning law that can provide even an approximation to the optimum weights W = BA +.

BA+

Analysis of Pattern Classification Networks

99

It is often useful to allow the processing units in the output layer of the network to have a bias input. In such a case the input matrix A to this layer is augmented with an additional column vector, whose values are always - Addition of this bias term results in a weight 1. matrix W that performs an afine transformation. With the affine transformation, any arbitrary rotation, scaling and translation operation on patterns can be handled, whereas linear transformations of the previous associative network can carry out only arbitrary rotation and scaling operations on the input patterns [HechbNielsen, 19901. In many applications the linkage between the dimensionality (M) of the input data and the number (L) of data items that can be associated and recalled is an unacceptable restriction. By means of coding schemes, the dimeriionality of the input data can sometimes be increased artificially, thus allowing more (L > M) pairs of items to be associated Pao, 19891. But, as we will see in the next section, the dependence of the number of input patterns on the dimensionality of the pattern vector can be removed completely by using nonlinear processing units in the output layer. Thus the artificial neural networks can capture the association among the pairs (al,bl), 1 = 1, 2, ..., L, even when the number of input patterns is greater than the dimensionality of the input vectors, i.e., L > M. While the constraint of dimensionality on the number of input patterns is removed in the artificial neural networks, some other restrictions will be placed which involve the functional relation between an input and the corresponding output. In particular, the implied mapping between the input and output pattern pairs can be captured by a two layer artificial neural network, provided the mapping function belongs to a linearly separable class. But the number of linearly separable functions decrease rapidly as the dimensionality of the input and output pattern vectors increases. These issues will be discussed in the following section.

4.3 Analysis of Pattern Classification Networks

In an M-dimensional space if a set of points could be considered as input patterns, and if an output pattern, not necessarily distinct from one another, is assigned to each of the input patterns, then the number of distinct output patterns can be viewed as distinct classes or class labels for the input patterns. There is no restriction on the number of input patterns. The input-output pattern vector pairs (al,bl), 1 = 1, 2, ..., L, in this case can be considered as a training set for a pattern classification problem. Typically, for pattern classification problems, the output patterns are points in a discrete (normally binary) N-dimensional space. The input patterns are usually from natural sources like speech and hand-printed characters. The input patterns may be corrupted by external noise. Even a noisy

100

Feedforward Neural Networks

input will be mapped onto one of the distinct pattern classes, and hence the recall displays an accretive behaviour.
4.3.1 Pattern Classification Network: Perceptron

A two layer feedforward network with nonlinear (hard-limiting)output functions for the units in the output layer can be used to perform the task of pattern classification. The number of units in the input layer corresponds to the dimensionality of the input pattern vectors. The units in the input layer are all linear, as the input layer merely contributes to fan out the input to each of the output units. The number of output units depends on the number of distinct classes in the pattern classification task. We assume for this discussion that the output units are binary. Each output unit is connected to all the input units, and a weight is associated with each connection. Since the output function of a unit is a hard-limiting threshold function, for a given set of input-output patterns, the weighted sum of the input values is compared with the threshold for the unit to determine whether the sum is greater or less than the threshold. Thus in this case a set of inequalities are generated with the given data. Thus there is no unique solution for the weights in this case, as in the case of linear associative network. It is necessary to determine a set of weights to satisfy all the inequalities. Determination of such weights is usually. accompanied by means of incremental adjustment of the weights using a learning law. A detailed analysis of pattern classification networks is presented here assuming M input units and a single binary output unit. The output unit uses a hard-limiting threshold function to decide whether the output signal should be 1 or 0. Typically, if the weighted sum of the input values to the output unit exceeds the threshold, the output signal is labelled as 1, otherwise as 0. Extension of the analysis for a network consisting of multiple binary units in the output layer is trivial [Zurada, 19921. Multiple binary output units are needed if the number of pattern classes exceeds 2.
Pattern classification problem: If a subset of the input patterns belong to one class (say class A,) and the remaining subset of the input patterns to another class (say class A,), then the objective in a pattern classification problem is to determine a set of weights wl, w,, ..., WM such that if the weighted sum

x
M
i=l

wiai > 8, then a = (al, a,, ..., aM)Tbelongs to class A,

(4.33)

and if

x
M
i= 1

wiai I 8, then a = (al, a,, ..., aM)T belongs to class A, (4.34)

Analysis of Pattern Classification Networks

101

Note that the dividing surface between the two classes is given by

This equation represents a linear hyperplane in the M-dimensional space. The hyperplane becomes a point if M = 1, a straight line if M = 2, and a plane if M = 3. Since the solution of the classification problem involves determining the weights and the threshold value, the classification network can be depicted as shown in Figure 4.2, where the input a.

Figure 4.2 A single unit pattern classification network (perceptron).

to the connection involving the threshold value w,, = 8 is always 1. Defining the augmented input and weight vectors as a = (-1,a,, ...,aMITand w = (wo,w,, ..., wMIT,respectively, the perceptron classification problem can be stated as follows: If w T a > 0, then a belongs to class A,, and if w T a I 0, then a belongs to class A,. The equation for the dividing linear hyperplane is w T a = 0.
Perceptron learning law: In the above perceptron classification problem, the input space is an M-dimensional space and the number of output patterns are two, corresponding to the two classes. Note that we use the ( M + 1)-dimensional vector to denote a point in the M-dimensional space, as the a. component of the vector is always 1. Suppose the subsets A, and Ap of points in the M-dimensional space contain the sample patterns belonging to the classes A, and A,, respectively. The objective in the perceptron learning is to systematically adjust the weights for each presentation of an input vector belonging to A, or A, along with its class identification. The perceptron learning law for the two-class problem may be stated as follows:

w(m + 1) = w(m) + q a, if a E Al and wT(m)a S O

= w(m) - q a, if a
E

Aq and wT(m)a > 0

(4.36)

102

Feedforward Neural Networks

where the index m is used to denote the learning process at the mth step. The vectors a and w(m) are the input and weight vectors, respectively, at the mth step, and 17 is a positive learning rate parameter. can be varying at each learning step, although it is assumed as constant in the perceptron learning. Note that no adjustment of weights is made when the input vector is correctly classified. That is, w(m + 1) = w(m), if a
=
E E

Al and wT(m)a > 0 A2 and wT(m)a I0

(4.37)

w(m), if a

The initial value of the weight vector w(0) could be random. Figure 4.3 shows an example of the decision boundaries at different

Figure 4.3 Illustration of decision boundaries formed during implementation of perceptron learning for linearly separable classes.

times for a 2-dimensional input vector. The equation of the straight line is given by wlal + w2a2 = 8 (4.38) For different values of the weights during learning, the position of the line changes. Note that in this example the two classes can be separated by a straight line, and hence they are called linearly separable classes. On the other hand consider the example of the pattern classification problem in Figure 4.4. In this case the straight line wanders in the plane during learning, and the weights do not converge to a final stable value, as the two classes cannot be separated by a single straight line.
Perceptron convergence theorem: This theorem states that the perceptron learning law converges to a final set of weight values in a finite number of steps, if the classes are linearly separable. The proof of this theorem is as follows:

Analysis of Pattern Classification Networks

Figure 4.4 Illustration of decision boundaries formed during implementation

of perceptron learning for linearly inseparable classes.

Let a and w be the augmented input and weight vectors, respectively. Assuming that there exists a solution w* for the classification problem, we have to show that w* can be approached in a finite number of steps, starting from some initial random weight values. We know that the solution w* satisfies the following inequality as per the Eq. (4.37):

> a > 0, for each a

where

Al

(4.39)

a = min ( ~ * ~ a \
a Al

The weight vector is updated if w T (m)a I0, for a E Al. That is,
w ( m+ 1) = w ( m )+r\ a(m), for a(m) = a
E

Al,

(4.40)

where a ( m ) is used to denote the input vector a t step m . If we start with w ( 0 ) = 0 , where 0 is an all zero column vector, then
rn-1

w ( m ) = 11

a(i>

(4.41)

i=O

Multiplying both sides of Eq. (4.41)by w * ~ , get we rn-1 w * ~ w= ~ ) ~ * ~ a> i ) ( q ( qma

(4.42)

r=O

since ~ * ~ a>(ai according to Eq. (4.39).Using the Cauchy-Schwartz ) inequality 11 w *T 112 . 11 w ( m )112 2 [ ~ * ~ w ( m ) l ~ (4.43) we get from Eq. (4.42)

104
We also have from Eq. (4.40)

Feedforward Neural Networks

since for learning w T ( m ) a ( m )S O when a ( m )E A,. Therefore, starting from w ( 0 ) = 0, we get from Eq. (4.45)

where

p=

max I1 a ( i ) /I2. Combining Eqs. (4.44)and (4.46),we obtain

a(i) E A1

the optimum value of m by solving

Since p is positive, Eq. (4.48) shows that the optimum weight value can be approached in a finite number of steps using the perceptron learning law.
Alternate proof of the convergence theorem: Assume that a solution vector w * exists. Then using the following perceptron behaviour

> cx > 0 for a E Al

and
< - a < 0 for a E A2

we can show that the magnitude of the cosine of the angle the weight vectors w * and w ( m ) is given by

i$

between

where

a = min I weTal
a

and

= max
a

11 a 112

Using the perceptron learning law in Eq. (4.36),and Eqs. (4.49) and (4.52),we get the following:

Analysis of Pattern Classification Networks

105

wbTw(m 1) = w b T ( w ( m+ q N m ) ) + )
> wbTw(m) q a , for w T ( m ) a ( m )5 0 +
Starting &om w ( 0 ) = 0, we get

(4.54) (4.55)

wbTw(m) mqa, for w T (m)a(m)SO, and a ( m )E Al >

Likewise, using the perceptron learning law in Eq. (4.36), and Eqs. (4.50) and (4.52), we get

< w*Tw(m)q a , for #(m)a(m) > 0 Starting from w ( 0 ) = 0, we get

w * ~ w ( ~ ) q a , for d ( m ) a ( m )> 0 , and a ( m )E A2 < -m

That is

(4.56) (4.57) (4.58)

( ~ * ~ w ( m m q a , for w T(m)a(m) 0 , and a ( m ) E A2 ( >) >

Therefore from Eqs. (4.55) and (4.5'71, we get

I wbTw(m)> m q a , (

for all a

Similarly, using Eq. (4.36), we get

< II w(m)112 + 2 q &(m)a(m) + 112 P

<

11 w ( m )112 + q 2 P, for # ( m ) a ( m ) SO

(4.59)

and

< 11 w(m)112

+ q2 P,

for &(m)a(m) > 0

(4.60)

Starting from w ( 0 ) = 0, we get for both (4.59) and (4.60)

II w(m> < mq2P ti2

Therefore, from Eqs. (4.51), (4.58) and (4.61), we get

(4.61)

106

Feedforward Neural Networks

Discussion on the convergence theorem: The number of iterations for convergence depends on the relation between w ( 0 )and w*.Normally the initial value w ( 0 ) is set to 0. The initial setting of the weight values does not affect the proof of the perceptron convergence theorem. The working of the perceptron learning can be viewed as follows: At the ( m + 1)th iteration we have

w ( m + 1) = w ( m )+ q a(m),for w T (m)a(m) O S
and a(m)E Al From this we get Notice that if w T (m)a(m) 0, then w T ( m + l ) a ( m )> 0, provided 7 is < chosen as the smallest positive real number (< 1) such that

Thus the given pattern a(m) is classified correctly if it is presented to the perceptron with the new weight vector w ( m + 1). The weight vector is adjusted to enable the pattern to be classified correctly. The perceptron convergence theorem for the two class problem is applicable for both binary (0, 1) and bipolar (-1, + I ) input and output data. By considering a two-class problem each time, the perceptron convergence theorem can be proved for a multiclass problem as well. The perceptron learning law and its proof of convergence are applicable for a single layer of nonlinear processing units, also called a single layer perceptron. Note that convergence takes place provided an optimal solution w*exists. Such a solution exists for a single layer perceptron, only if the given classification problem is linearly separable. In other words, the perceptron learning law converges to a solution only if the class boundaries are separable by linear hyperplanes in the M-dimensional input pattern space.
Perceptron learning as gradient descent: The perceptron learning law in Eq. (4.36) can also be written as

where b(m)is the desired output, which for the binary case is given by (4.69) b(m) = 1, for a ( m ) A l ,
=

0, for a(m)E A2

i4.70)

and s(m) is the actual output for the input vector a(m) to the perceptron. The actual output is given by

s(m) = 1, if w T (m)a(m) 0 >

= 0,

(4.71) (4.72)

if w (m)a(m) 0 2

Analysis of Pattern Clussifiation Networks

107

From Eq. (4.68) we note that if s(m) = b(m), then w(m+l) = w(m), i.e., no correction takes place. On the other hand, if there is an error, s(m) # b(m), then the update rule given by (4.68) is same as the update rule given in Eq. (4.36). Note that Eq. (4.68) is also valid for a bipolar output function, i.e., when s(m) = flwT(m)a(m))= k 1. Therefore Eq. (4.68) can be written as where e(m) = b(m) - s(m) is the error signal. If we use the instantaneous correlation (product) between the output error e(m) and the activation value r(m) = wT(m)a(m) as a measure of performance E(m), then

The negative derivative of E(m) with respect to the weight vector w(m) can be defined as the negative gradient of E(m) and is given by

Thus the weight update q e(m) a(m) in the perceptron learning irA Eq. (4.73) is proportional to the negative gradient of the performance measure E(m).
Perceptron representatlon problem: Convergence in the perceptron learning takes place only if the pattern classes are linearly separable in the pattern space. Linear separability requires that the convex hulls of the pattern sets of the classes are disjoint. A convex hull of that contains Ao. A a pattern set A. is the smallest convex set in convex set is a set of points in the M-dimensional space such that a line joining any two points in the set lies entirely in the region enclosed by the set. For linearly separable classes, the perceptron convergence theorem ensures that the final set of weights will be reached in a finite number of steps. These weights define a linear hyperplane separating the two classes. But in practice the number of linearly separable functions will decrease rapidly as the dimension of the input pattern space is increased [Cameron, 1960; Muroga, 19711. Table 4.3 shows the number of linearly separable functions for a two-class problem with binary input patterns for different dimensions of the input pattern space. For binary pattern classification problems (M = 2), there are 14 functions which are linearly separable. The problem in Figure 4.5a is one of the linearly separable functions. There are two functions which are linearly inseparable, one of which is shown in Figure 4.5b. These linearly inseparable problems do not lead to convergence of weights through the perceptron learning

108

Feedforward Neural Networks

law, indicating that these problems are not representable by a single layer of perceptron discussed so far.
Table 4.3 . Number of Linearly Separable Functions for a Two-class Problem Dimension of input data M 1 2 3 4 5 6 Number of possible functions 22M 4 16 256 65536 - 4.3 lo9 - 1.8 x lo1' Number of linearly separable functions
4 14 104 1882 94572 15028134

Figure 4.5 Examples of (a) linearly separable and (b) linearly inseparable classification problems. The classes are indicated by 'x' and '0'.

4.3.2

Linear Inseparability: Hard Problems

A two-layer feedforward network with hard-limiting threshold units

in the output layer can solve linearly separable pattern classification problems. This is also called a single layer perceptron, as there is only one layer of nonlinear units. There are many problems which are not linearly separable, and hence are not representable by a single layer perceptron. These unrepresentable problems are called hard problems. Some of these problems are illustrated using the perceptron model consisting of sensory units, association units and the output layer as shown in Figure 4.6. The output unit of the perceptron computes a logical predicate, based on the information fed to it by the association units connected to it. The association units form a family of local predicates, computing a set of local properties or features. The family of local predicates are looking a t a 'retina', which consists of points on a plane, which in the figure corresponds to the sensory input. In the simple 'linear' perceptron the output unit looks a t the local predicates from the association units, takes their weighted sum, compares with a threshold, and then responds with a value for the overall logical predicate, which is either true or false. If it were

Analysis of Pattern Classification Networks

Input Weights (adjustable)

Sensory units

Association units

Summing unit

Output unit

Figure 4.6 Rosenblatt's perceptron model of a neuron.

possible for the local predicates to look at every point in the entire retina, any possible logical predicate could be computed. This would be impractical, since the number of possible patterns on the retina grows exponentially with the size of the retina [Minsky and Papert, 19901. Two important limitations on the local predicates are: order-limited, where only a certain maximum order of retinal points could be connected to the local decision unit computing the local predicate, and diameter-limited, where only a geometrically restricted region of retina could be connected to the local predicate. The order-limited perceptron cannot compute the parity problem examples shown in Figure 4.7, where images with an even number of distinct

Figure 4.7 A parity problem illustrating the order-limited perceptron: (a) Even parity and (b) Odd parity.

110

Feedforward Neural Networks

unconnected patterns (Figure 4.7a) should produce an output 1, otherwise the output for the odd number of patterns in Figure 4.7b should be 0. Likewise the diameter-limited perceptron cannot handle the connectedness problem examples shown in Figure 4.8, where to detect connectedness the output of the perceptron should be 1 if there is only one conneded pattern as in Figure 4.8a, otherwise it should be 0 for patterns shown in F'igure 4.8b [Aleksander and Morton, 19901.

@)

Figure4.8 A connectedness problem illustrating the diameter-limited perceptron: (a) Connected class and (b) Disconnected class.

4.3.3 Geometrical Interpretation of Hard Problems: Multllayer Perceptron

In this section the problem of pattern classification and the performance of feedforward neural networks are discussed in geometric terms. A pattern classification problem can be viewed as determining the l~ypersurfaces separating the multidimensional patterns belonging to different classes. For convenience throughout this section we consider a Bdimensional pattern space. If the pattern classes are linearly separable then the hypersurfaces reduce to straight lines as shown in Figure 4.9. A two-layer network consisting of two input units and N output units can produce N distinct lines in the pattern space. These lines can be used to separate different classes, provided the regions formed by the pattern classification problem are linearly separable. As mentioned earlier (See Table 4.3), linearly separable problems are in general far fewer among all possible problems, especially as the dimensionality of the input space increases. If the outputs of the second layer are combined by a set of units forming another layer, then it can be shown that any convex region can be formed by the separating surfaces [Lippmann, 1987; Wasseman, 19891. A convex region is one in which a line joining any

Analysis of Pattern Classification Networks

Output layer (hard-limiting unite) Input layer (hear units)

Figure 4.9 An example of linearly separable classes: (a) Network and (b) Linearly separable classes.

two points is entirely confined to the region itself. Figure 4.10b illustrates the regions that can be created by a three layer network. In this case the number of units in the second layer determines the shape of the dividing surface. The number of units in the third layer decides the number of classes. It can be seen that the three-layer network (Fig. 4.10b) is not general enough, as it is not guaranteed that the class regions in the pattern space form convex regions in all cases. In f a d one could have a situation as shown for the classes with meshed regions, where the desired classes are enclosed by complicated nonconvex regions. Note that intersection of linear hyperplanes in the three layer network can only produce convex surfaces. However, intersection of the convex regions may produce any nonconvex region also. Thus adding one more layer of units to combine the outputs of the third layer can yield surfaces which can separate even the nonconvex regions of the type shown in Figure 4.10~.In f a d it can be shown that a four-layer network with the input layer consisting of linear units, and the other three layers consisting of hard-limiting nonlinear units, can perform any complex pattern classification tasks. Thus all the hard problems mentioned earlier can be handled by a multilayer feedforward neural network, with nonlinear units. Such a network is also called a multilayer perceptron. Note that the two-layer network in Figure 4.10a is a

112

Feedforward Neural Networks

single-layer perceptron, and the three-layer and four-layer networks in the Figures 4.10b and 4 . 1 0 ~are two-layer and three-layer perceptrons, respectively.

Figure 4.10 Geometrical interpretation of pattern classification. The figure

shows decision regions for different layers of perceptron networks. [Adapted from Lippmann, 19871.

The above discussion is focussed primarily on a multilayer perceptron network with units having hard-limiting nonlinear output functions. Similar behaviour is expected from a multilayer feedforward neural network when the output functions of the units are continuous nonlinear functions, such as sigmoid functions. In these cases the decision regions are typically bounded by smooth surfaces instead of linear hyperplanes, and hence geometrical visualization and interpretation is difficult. Table 4.4 gives a summary of the discussion on the perceptron network. The main difficulty with a multilayer perceptron network is that it is not straightforward to adjust the weights leading to the units in the intermediate layers, since the desired output values of the units in these layers are not known. The perceptron learning uses the knowledge of the error between the desired output and the actual output to adjust the weights. From the given data only the desired

Analysis of Pattern Mapping Networks

Table 4.4 Summary of Issues in Perceptron Learning
1. Perceptron network Weighted sum of the input to a unit with hard-limiting output function 2. P e r c e p t r o n classification problem For a two class (A, and A,) problem, determine the weights (w) and threshold (8) such that

&a-9>0,

for a A l and w T a - 8 5 0 , for ~ E A , .

3. Perceptron learning l a w

The weights are determined in an iterative manner using the following learning law at the (m + l& iteration: ) w(m + 1) = w(m) + q a(m), for wT(m)a(m)5 8 and a(m) E Al
= w(m) -q a(m), for wT(m)a(m)> 8 and a(m) E A, where T( is a (positive) learning rate parameter. Perceptron learning as gradient descent The perceptron learning law can be rewritten a s a single equation: w(m + 1) = w(m) + q e(m) a(m), where e(m) = b(m) - s(m). Denoting Aw(m) = e(m) a h ) , we have - aE(m) Aw(m) = rlaw(m) where E(m) = - e(m) wT(m)a(m: P e r c e p t r o n convergence theorem The perceptron learning law converges in a finite number of steps, provided that the given classification problem is representable. P e r c e p t r o n representation problem A classification problem is representable by a single layer perceptron if the classes are linearly separable, i.e., separable by linear hyperplanes in the input feature space. Classification problems that are not linearly separable are called hard problems. Multilayer perceptron Any pattern classification prohlem, including the hard problems, can be represented by a multilayer perceptron network.

4.

5.

6.

7.

output values of the units in the final output layer are known. Thus, although a multilayer perceptron network can handle hard problems, the problem of learning or training such a network, called hard learning problem, remains. This problem is discussed in detail in the following section.

4.4 Analysis of Pattern Mapping Networks

4.4.1

Pattern Mapping Problem

If a set of input-output pattern pairs is given corresponding to an

114

Feedforward Neural Networks

arbitrary function transforming a point in the M-dimensional input pattern space to a point in the N-dimensional output pattern space, then the problem of capturing the implied functional relationship is called a mapping problem. The network that accomplishes this task is cdled a mapping network. Since no restriction such as linear separability is placed on the set of input-output pattern pairs, the pattern mapping problem is a more general case of pattern classification problem. Note that the objective in the pattern mapping problem is to capture the implied function, i.e., the generalization implied in the given input-output pattern pairs. This can also be viewed as an approximation of the function from a given data. For a complex system with multiple ( M ) inputs and multiple 0 outputs,' if several input-output pattern pairs are collected during experimentation, then the objective in the pattern mapping problem is to capture the system characteristics from the observed data. For a new input, the captured system is expected to produce an output close to the one that would have been obtained by the real system. In terms of function approximation, the approximate mapping system should give an output which is close to the values of the real function for inputs close to the current input used during learning. Note that the approximate system does not produce strictly an interpolated output, as the function finally captured during learning may not fit any of the points given in the training set. This is illustrated in Figure 4.11.

Fg i-

X input 4.11 Function approximation in pattern mapping problem.

4.4.2 Pattern Mapping Network

Earlier we have seen that a multilayer feedforward neural network with at least two intermediate layers in addition to the input and output layers can perform any pattern classification task. Such a network can also perform a pattern mapping task. The additional layers are called hidden layers, and the number of units in the hidden layers depends on the nature of the mapping problem. For any

Analysis of Pattern Mapping Networks

115

arbitrary problem, generalization may be difficult. With a sufficiently large size of the network, it is possible to (virtually) store all the input-output pattern pairs given in the training set. Then the network will not be performing the desired mapping, because it will not be capturing the implied functional relationship between the given input-output pattern pairs. Except in the input layer, the units in the other layers must be nonlinear in order to provide generalization capability for the network. In fact it can be shown that, if all the units are linear, then a multilayer network can be reduced to an equivalent two-layer network with a set of N x M weights. , 3 Let W,, W and W be the weight matrices of appropriate sizes between the input layer and the first hidden layer, the first hidden layer and the second hidden layer, and the second hidden layer and the output layer, respectively. Then if all the units are linear, the output and input patterns are related by the weight matrix containing N x M weight elements. That is, W X M = W3W2w1 N (4.76) As can be seen easily, such a network reduces to a linear associative network. But if the units in the output layer are nonlinear, then the network is limited by the linear separability constraint on the function relating the input-output pattern pairs. If the units in the hidden layers and in the output layer are nonlinear, then the number of unknown weights depend on the number of units in the hidden layers, besides the number of units in the input and output layers. The pattern mapping problem involves determining these weights, given a training set consisting of input-output pattern pairs. We need a systematic way of updating these weights when each input-output pattern pair is presented to the network. In order to do this updating of weights in a supervisory mode, it is necessary to know the desired output for each unit in the hidden and output layers. Once the desired output is known, the error, i.e., the difference between the desired and actual outputs from each unit may be used to guide the updating of the weights leading to the unit from the units in the previous layer. We know the desired output only for the units in the final output layer, and not for the units in the hidden layers. Therefore a straightforward application of a learning rule, that depends on the difference between the desired and the actual outputs, is not feasible in this case. The problem of updating the weights in this case is called a hard learning problem. The hard learning problem is solved by using a differentiable nonlinear output function for each unit in the hidden and output layers. The corresponding learning law is based on propagating the error from the output layer to the hidden layers for updating the weights. This is an error correcting learning law, also called the

116

Feedforward Neural Networks

generalized delta rule. It is based on the principle of gradient descent along the error surface. Appendix C gives the background information needed for understanding the gradient descent methods. Table 4.5 gives a summary of the gradient search methods discussed in the Appendix C. In the following section we derive the generalized delta rule applicable for a multilayer feedforward network with nonlinear units.
Table 4 5 Summary of Basic Gradient Search Methods
1. Objective

Determine the optimal set of weights for which the expected error E(w) between the desired and actual outputs is minimum. For a linear network the error surface is a quadratic function of the weights

The optimumweight vector w* is given by w' = w -i R-'v, where V = dE/dw 2 and R is the autocorrelation matrix of the input data.
2. Gradient Search Methods

We can write the equation for adjustment of weights as

If R and V, are known exactly, then the above adjustment gives w' in one step starting from any initial weights d m ) . If R and V, are known only approximately, then the optimum weight vector can be obtained in an iterative manner by writing

where q < 1 2 for convergence. This is Newton's method. The error 1 moves approximately along the path from w(m) to w*. Here q is a dimensionless quantity. If the weights are adjusted in the direction of the negative gradient at each step, it becomes method of steepest descent. w(m + 1) = w(m) + CL ( - V,), where p < 1 4 2) , A for convergence and A- i s the largest , eigenvalue of R. The learning rate parameter CI, has the dimensions of inverse of signal power. Here convergence is slower than in the Newton's method. In general, the gradient cannot be computed, but can only be estimated. Hence convergence of the gradient descent methods is not guaranteed. The estimate depends on our knowledge of the error surface.

Analysis of Pattern Mapping Networks

Table 4.6 (Cont.)

117

3. Nature o error d a c e f Error surface may not be quadratic if R ie to be estimated from a small eet of samples. Error surface ie not quadratic for instantaneous measurement of error. Error eurface is also not quadratic if the processing units are nonlinear. Error eurface is not predictable for nonstationary input data, eince R will be varying with time.
4. Estimation of gradient

Derivative measurement: Uses general ,howledge of the error surface. Inetantaneous measurement (linear units): Uses epecific knowledge of the error eurface. LMS algorithm. Leads to convergence in the mean (stachaetic gradient descent). Instantaneous measurement (nonlinear units): Usee specific knowledge of the error surface. Delta rule. No guarantee of convegence even in the mean as in the LMS algorithm. 4.4.3

Generalized Delta Rule: Backpropagation learning

,

The objective is to develop a learning algorithm for a multilayer feedforward neural network, so that the network can be trained to capture the mapping implicit in the given set of input-output pattern pairs. The approach to be followed is basically a gradient descent along the error surface to arrive at the optimum set of weights. The error is defined as the squared difference between the desired output (i.e., given output pattern) and the actual output obtained at the output layer of the network due to application of an input pattern from the given input-output pattern pair. The output is calculated using the current setting of the weights in all the layers. The optimum weights may be obtained if the weights are adjusted in such a way that the gradient descent is made along the total error surface. But $he desirable characteristic of any learning law is to specify the incremental update of the weights of the network for each presentation of an input-output pattern pair. While this may result in a suboptimal solution, in most cases of practical significance the result is acceptable. A learning law, called generalized delta rule or backpropagation law, is derived in this section [Werbos, 1974; Rumelhart et al, 1986al. Let (%, b ) 1 = 1,2, ...,L be the set of training pattern pairs. It is ,, not necessary to have all the training data set at one time, nor the training data set to be a finite set. The objective is to determine the weight update for each presentation of an input-output pattern pair.

118

Feedforward Neural Networks

Since the given data may be used several times during training, let us use the index m to indicate the presentation step for the training pair at step m. For training a multilayer feedforward neural network, we use the following estimate of the gradient descent along the error surface to determine the increment in the weight connecting the units j and i:

where q > 0 is a learning rate parameter, which may also vary for each presentation of the training pair. The weight update is given by

The generalized delta rule to be derived below consists of for deriving expressions for hii the connections a t different layers. Let us consider the multilayer feedforward neural network given in Figure 4.12. The network consist of three layers of units, the first

Figure 4.12 A three layer feedforward neural network. layer has I linear input units indexed by i, the second layer has J nonlinear units indexed by j, and the third layer has K nonlinear units indexed by k . For simplicity only one layer (the second layer) of hidden units is considered here. Extension of learning to a network consisting of several hidden layers is trivial. Since the input vector a(m) is given at the input layer and the desired output b(m) is available only at the output layer, the error between the desired output vector b(m) and the actual output vector b'(m) is available only at the output layer. Using this error it is necessary to adjust the weights (wt) from the input units to the hidden units, and the weights ( w ~ from the hidden units to the j output units. Let (a(m), b(m)) be the current sample of the function mapping the input space to the output space $ + $. Let b'(m) be the actual ! output of the network for the input a(m) at the step m. The mean squared error at the mth step is given by

Analysis of Pattern Mapping Networks

119

where

The superscript '0' refers to the output units quantities, the superscript 'h' refers to the hidden units quantities, and ai , xi , and si refer to the input, activation and output values for the unit i, respectively. For the weights leading to the units in the output layer:

Here the iteration index is omitted in all the where 6i = (bkfunctions and variables on the right hand side for convenience. Therefore h h y ( m ) = qQsj (4.89) and
= w,(m)

e.

+ 11%~:.

(4.91)

For the weights leading to the units in the hidden layer:

Feedforward Neural Networks

-Z
k=l

( b k - f ; ) 'c ,w

as h
awh ' Jr

Since sjh = fih(xjh),we get

Since xjh =

Z
i=l

W;

si , we get
7 = Si

ax; awji

Therefore

-- - aE(m)

a 4

&=I

(bk- f f )
r

hW , $' si

= -6hs.
J

where

Hence

~ w ; ( m = q 6; si = q 6; ai(m) )
since si = xi = ai(m).Therefore

where

K 6: = $' kzlw, 6; represents the error propagated back to the

output of the hidden units from the next layer, hence the name backpropagation for this learning algorithm. Table 4.6 gives a summary of the backpropagation learning algorithm.
4.4.4 Discussion on Backpropagation Law

There are several issues which are important for understanding and implementing the backpropagation learning in practice [Haykin, 1994; Russo, 1991; Guyon, 1991; Hush and Horne, 1993; Werbos, 19941. A summary of the issues is given in Table 4.7.A few of these issues will be discussed in this section.

Analysis of Pattern Mapping Networks

Table 4.6 Backpropagation Algorithm (Generalized Delta Rule)

121

Given a set of input-output patterns (al, bl),I = 1, 2, ... L, where the lth input vector al = (all, al,, ...,all)T and the lth output vector bl = (bll, b12, QT. Assume only one hidden layer and initial setting of weights to be arbitrary. Assume input layer with only linear units. Then the output signal is equal to the input activation value for each of these units. Let q be the learning rate parameter. Let a = a(m) = a1 and b = b(m) = bl. Activation of unit i in the input layer, xi = ai(m)
a*.,

Activation of unit j in the hidden layer,

<

C wi xi C wUsj
j= 1

Output signal from the jth unit in the hidde; iAyer, : = l'jh($) s
J

Activation of unit k in the output layer, xi =

Output signal from unit k in the output layer, si = c(xi) Error term for the kth output unit, 6'; = (bk- s';) Update weights on output layer, wh(m + 1) = w,&m)+q6i s ;

Error term for the jth hidden unit, 6; =

Update the weights on the hidden layer, wi(m + 1) = wi(m) +@ ai 1 Calculate the error for the lth pattern, El = 2 (b, - s;)' Total error for all patterns, E =

k=l

C 6: wU
k=l

C El
1=1

Apply the given patterns one by one, may be several times, in some random order and update the weights until the total error reduces to an acceptable value. Table 4 7 Issues in Backpropagation Leanung Description and features of backpropagation Significance of error backpropagation Forward computation (inner product and nonlinear fundion) Backward operation (error calculation and derivative of output function) 'Nature of output function (semilinear) Stochastic gradient descent Local computations Stopping criterion Performance of backpropagation learning Initialization of weights Presentation of training patterns: Pattern and batch modes

Feedforward Neural Networks

Table 4.7 Issues in Backpropagation Learning (Cont.)

- Range and value of q for stability and convergence - Learning rate adaptation for better convergence
Momentum term for faster convergence Second order methods for better and faster convergence Refinement of backpropagation learning Stochastic gradient descent, not an optimization lpethod Nonlinear system identification: Extended Kalman-type algorithm Unconstrained optimization: Conjugate-gradient methods Asymptotic estimation of a posteriori class probabilities Fuzzy backpropagation learning Interpretation of results of learning Ill-posed nature of solution Approximation of functions Good estimation of decision surfaces Nonlinear feature detector followed by linearly separable classification Estimation of a posteriori class probabilities

Learning rate parametqr q

Generalization VC dimension Cross-validation Loading problem Size and efficiency of training set data Architectures of network Complexity of problem Tasks with backpropagation network Logic function Pattern classification Pattern mapping Function approximation Probability estimation Prediction Limitations of backpropagation learning Slow convergence (no proof of convergence) Local minima problem ' 0 Scaling Need for teacher: Supervised learning Extensions to backpropagation Learning with critic Regularization Radial basis functions Probabilistic neural networks Fuzzy neural networks

Analysis of Pattern Mapping Networks

123

Description and features of backpropagation: The training patterns

are applied in some random order one by one, and the weights are adjusted using the backpropagation learning law. Each application of the training set patterns is called a cycle. The patterns may have to be applied for several training cycles to obtain the output error to an acceptable low value. Once the network is trained, it can be used to recall the appropriate pattern (in this case some interpolated output pattern) for a new input pattern. The computation for recall is straightforward, in the sense that the weights and the output functions of the units in different layers are used to compute the activation values and the output signals. The signals from the output layer correspond to the output. Backpropagation learning emerged as the most significant result in the field of artificial neural networks. In fact it is this learning law that led to the resurgence of interest in neural networks, nearly aRer 15 years period of lull due to exposition of limitations of the perceptron learning by Minsky and Papert (1969). In this section we will discuss various features including limitations of the backpre pagation learning. We will also discuss the issues that determine the performance of the network resulting from the learning law. We will discuss these issues with reference to specific applications, and also with reference to some potential applications of the multilayer feedforward neural networks. As noted earlier, the backpropagation learning involves propagation of 'the error backwards from the output layer to the hidden layers in order to determine the update for the weights leading to the units in a hidden layer. The error at the output layer itself is computed using the difference between the desired output and the actual output at each of the output units. The actual output for a given input training pattern is determined by computing the outputs of units for each hidden layer in the forward pass of the input data. Note that the error in the output is propagated backwards only to determine the weight updates. There is no feedback of the signal itself at any stage, as it is a feedforward neural network. Since the backpropagation learning is exactly the same as the delta learning (see Section 1.6.3) at the output layer and is similar to the delta learning with the propagated error at the hidden layers, it is also called generalized delta rule. The term 'generalized' is used because the delta learning could be extended to the hidden layer units. Backpropagation of error is possible only if the output functions of the nonlinear processing units are differentiable. Note that if these output functions are linear, then we cannot realize the advantage of a multilayer network to generate complex decision boundaries for a nonlinearly separable (hard) classification problems. In fact a multilayer feedforward network with linear processing units is equivalent to a linear associative network, as discussed in Eq. (4.76), which, in

124

Feedforward Neural Networks

turn, is limited to solving simple pattern association problems. On the other hand, hard-limiting output function as in a multilayer perceptron cannot be used for learning the weights. A common differentiable output function used in the backpropagation learning is one which possesses a sigmoid nonlinearity. Two examples of sigrnoidal nonlinear function are the logistic function and hyperbolic tangent function (See Figure 4.13):

(a) Logistic function and its derivative

f(x) = tanh px

f(4=

PO - f (x))

(b) Hyperbolic tangent function and its derivative

Figure 4.13 Logistic and hyperbolic tangent functions and their derivatives for p = 0.5.

Logistic function
fix) = - , - w < x < m 1+ e z
1

(4.100)

Hyperbolic function

For the logistic function the limits are 0 I Ax) I 1, and for the hyperbolic tangent function the limits are - 1 I Ax) I 1.

Analysis of Pattern Mapping Networks Let us consider the derivative of the logistic function

It can be seen from Eq. (4.102) that Ax) has the maximum value of 0.25 when f(x) = 0.5, and has the minimum value of 0 when f i x ) = 0 or 1. Since the amount of change in the weight value leading to any unit i in the network is proportional to fi(x), the change is maximum in the midrange of the activation value. This feature of the learning law contributes to its stability [Rumelhart et al, 1986al. Note that the hyperbolic tangent function can be viewed as a biased and scaled version of the logistic function. That is

The asymmetry of the hyperbolic tangent function seems to make the learning faster by reducing the number of iterations required for training [Guyon, 19911. The backpropagation learning is based on the gradient descent along the error surface. That is, the weight adjustment is proportional to the negative gradient of the error with respect to the weight. The error is the instantaneous error between the desired and the actual values of the output of the network. This instantaneous error is due to a given training pattern, which can be assumed to be a sample function of a random process. Thus the error can be assumed to be a random variable. Therefore this gradient descent method is a stochastic gradient learning method. Due to this stochastic nature, the path to the minimum of the error surface will be zigzag. The error surface itself will be an approximation to the true error surface determined by the entire training set of patterns. Moreover, even the true error surface is not a smooth quadratic surface as in the case of the Adaline. In fact the error surface may contain several local minima besides the global minimum. Hence the stochastic approximation of the gradient descent used in the backpropagation learning need not converge. There is no proof of convergence even in the mean as in the case of the LMS algorithm. The issues in the convergence of gradient descent methods are summarized in Table 4.8. Since there is no proof of convergence, some heuristic criteria are used to stop the process of learning. They are based on the values of the gradient and the error in successive iterations and also on the total number of iterations. The average gradient value over each training cycle (presentation of all the training patterns once) is observed, and if this average value is below a preset threshold value for successive cycles, then the training process may be stopped. Likewise, the training process may be stopped using a threshold for the average error and observing the average error in successive cycles.

Feedforward Neural Networks

Table 4.8 Gradient Descent and Convergence
1. Let the input-output vector pair(a,b) be the sample function of a random process. True ensemble average of the error

where e(m) is the instantaneous error for a given sample function. For linear units the error surface E(w) is a smooth bowl-shaped in the weight space and hence the gradient descent dE/dWii converges to the optimal weight vector w*. 2. Estimation of the error from a finite set of input-output pairs: E(w) =

C e2(m)
m=l

For linear units, this error surface is an approximation to the bowl-shape in the weight space and hence convergence of the gradient descent is only approximate. 3. Instantaneous error (Linear units): For linear units, the gradient descent converges only in the mean (stochastic convergence) 4. Instantaneous error (Nonlinear units): For nonlinear units, there is no proof of convergence even in the stochastic sense.

Sometimes both the average gradient as well as the average error may be used in the stopping criterion. But the main objective is to capture the implicit pattern behaviour in the training set data so that adequate generalization takes place in the network. The generalization feature is verified by testing the performance of the network for several new (test) patterns.
Performance of the backpropagatlon leamlng law: The performance of the backpropagation learning law depends on the initial setting of the weights, learning rate parameter, output functions of the units, presentation of the training data, besides the specific pattern recognition task (like classification, mapping, etc.) or specific application (like function approximation, probability estimation, prediction, logic function, etc.). It is important to initialize the weight values properly before applying the learning law for a given training set [Hush et al, 1991;Lee et al, 19911. Initial weights cmespond to a priori knowledge. If we have the knowledge and also if we know how to present the knowledge in the form of initial weights, then the overall performance of the resulting trained network in terms of speed

Analysis of Pattern Mapping Networks

127

of learning and generalization would improve significantly. In general it is not known how to collect the relevant knowledge a priori. The more difficult part is to know how to include it in the form of weighta. Therefore all the weights in the network are initialized to random numbers that are unifo~mly distributed in a small range of values. l The range is typically [- a I@, + a I K where Ni is the number of inputs to the ith unit. Thus the range can be different for each unit. The value of a is typically in the range (1to 3) [Weasels and Barnard, 19921. Initial weighta that are in very small range will result in long learning times. On the other hand, large initial weight values may result in the network output values in the saturation region of the output function. In the saturation region the gradient value is small. If the saturation is at the incorrect level, it may result in slow learning due to small changes made in the weighta in each iteration. Incorrect saturation rarely occurs if the unit operates in the linear range of the output function. Adjustment of the weights using backpropagation learning law is done by presenting the given set of training patterns several times. Randomizing the presentation of these patterns tends to make the search in the weight space stochastic, and thus reduces the possibility of limit cycles' in the trajectory in the weight space during learning [.Baykin, 1994, p. 1511. Presentation of the training data pattern by pattern for a4ustment of the weights makes it possible to have the learning online. This pattern mode also reduces the problem of local minima. But to speed up the learning process it is preferable to update the weights in a batch mode, in which the gradient of the error, computed over all the training patterns, is used. The batch. mode gives a better estimation of the gradient of the overall error surface. Learning rate parameter q plays a crucial role in the backpropagation learning. The order of values for q depends on the variance of the input data. For the case of Adaline, the learning rate where & is the largest eigenvalue of the ,, parameter q < 1 1 (Zh,,), autocorrelation matrix of the input data. This gives an indication for the choice of q, since the derivation in the backpropagation does not suggeat any clue for this choice. Since it is a stochastic gradient descent learning, too small an q will result in a smooth trajectory in the weight space, but takes long time to converge. On the other hand, too large an q may increase the speed of learning, but wl result in il large random fluctuations in the weight space, which in turn may lead to an unstable situation in the sense that the network weights may not converge. It is desirable to adjust the weights in such a way that all the units learn nearly at the same rate. That is, the net change in all the weights leading to a unit should be nearly the same. To accomplish this, the learning rate parameters should be different for

128

Feedforward Neural Networks

different weights. The weights leading to a unit with many inputs should have smaller compared to the 11 for the weights leading to a unit with fewer inputs. Also, the gradient of the error with respect to the weights leading to the output layer will be laEger than the gradient of the error with respect to the weights leading to the hidden layers. Therefore the learning rate parameters 11 should be typically smaller for the weights at the output layer and larger for the weights leading to the units in the hidden layers. This will ensure that the net change in the weights remains nearly the same for all layers. Better convergence in learning can be achieved by adapting the learning rate parameter 11 suitably for each iteration. For this the change in is made proportional to the negative gradient of the instantapeous error with respect to 11 [Haykin, 1994, p. 1951. That is
\

where y is a proportionality constant. It was shown in [Haykin, 19941 that

This is called delta-delta learning rule [Jacobs, 19881. The change in the learning rate parameter depends on the instantaneous gradients at the previous two iterations. In this learning it is difficult to chmse suitable values for the proportionality constant y if the magnitudes of the two gradients in the product are either too small or too large. To overcome this limitation a modification of the above learning rule, namely, delta-bar-delta learning rule was proposed [Jacobs, 1988; Minai and Williams, 19901. The adaptation of the learning rate parameter using the delta-delta learning rule or the delta-bar-delta learning rule slows down the backpropagation learning significantly due to additional complexity in computation at each iteration. It is possible to reduce this complexity by using the idea of the gradient reuse method, in which the gradient estimate is obtained by averaging the gradient values corresponding to several training patterns. Thus

where 1 is the index for training pattern and $(m) is the propagated error. The learning rate parameter %i(m)is also computed using the averaged gradient for several training patterns. The values of the learning rate parameters computed using any of the above methods are very low, thus resulting in slow learning.

Analysis of Pattern Mapping Networks

129

One way to increase the rate of learning is by using a momentum term in the weight change as follows [:Plaut et al, 1986; Fahlman, 1989; Rumelhart et al, 1986al: where 0 I a <1 is the momentum constant. The use of the momentum term accelerates the descent to the minimum of the error surface. It will also help in reducing the effects of local minima of the error surface. The expression for the updated weight which includes momentum t r as well as the learning rate adaptation is given by em
L

+ rl,i(m)
1=1

a+)

sf(m)

(4.108)

Normally the backpropagation learning uses the weight change proportional to the negative gradient of the instantaneous error. Thus it uses only the first derivative of the instantaneous error with respect t o the weight. If the weight change is made using the information in the second derivative of the error, then a better estimate of the optimum weight change towards the minimum may be obtained. The momentum method is one such method where both the weight change at the previous step and the gradient at the current step are used to determine the weight change for the current step. More effective methods [Battiti, 19921 can be derived starting with the following Taylor series expression of the error as a function of the weight vector

where g =

aE - is aw

a2E the gradient vector, and H = - the Hessian

matrix. For small Aw, the higher order terms can be neglected, so that we get AE = E(w + Aw) - E(w) (4.110)

Taking the derivative of E with respect to w gives the p d i e n t . That is

On the other hand, taking the derivative of gives

AE with respect to Aw

130

Feedforward Neural Networks

Setting this to zero gives an optimum value of Aw, taking upto the second order term into account. Therefore

Thus the new weight vedor t k n the optimal value of Aw is given by aig

This is the Newton's method. Note that this is similar to the expression (C.17) in Appendix-C. For the quadratic error function E(w), the optimal step Aw* will lead to the final weight value w* starting from any initial weight vector ~ ( 0 )That is .

provided H-'g is known at w = w(0). For a nonquadratic error surface, as in the network with nonlinear units, the Newton's method gives the optimal weight change if the variation of the error is considered only upto the second derivative. Note that the Newton's method is different from the gradient descent. Since the Newton's method uses more information of the error surface than the gradient descent, it is expected to converge faster. But there is no guarantee that this choice of the weight change will converge. Implementation of Newton's method is cumbersome due to the need for computation of the Hessian matrix. Methods were proposed which will avoid the need for the computation of the Hessian matrix. The conjugate gradient method is one such method, where the increment in the weight at the mth step is given by

where the direction of the increment d(m) in the weight is a linear combination of the current gradient vector and the previous direction of the increment in the weight. That is where the value of a(m) is obtained in terms of the gradient by one of the following formulae Fletcher and Reeves, 1964; Polak and Ribiere, 19691.

Computation of the learning rate parameters q(m) in Eq. (4.117) requires line minimization for each iteration [Johansson et al, 19901.

Analysis of Pattern Mapping Networks

131

The objective is to determine the value of q for which the error E[w(m) + q d(m)l is minimized for given values of w(m) and d(m). Performance of the conjugate-gradient method depends critically on the choice of q(m) and hence on the line minimization. But generally the conjugate-gradient method converges much faster than the standard backpropagation learning, although there is no proof of convergence in this case also due to the nonquadratic nature of the error surface [Kramer and Sangiovanni-Vincentelli, 19891.
Refinements of the backpropagation learning: The backpropagation learning is based on the steepest descent along the surface of the instantaneous error in the weight space. It is only a first order approximation of the descent as the weight change is assumed to be proportional to the negative gradient. The instantaneous error is a result of a single training pattern, which can be viewed as a sample function of a random process. The search for the global minimum of the error surface is stochastic in nature as it uses only the instantaneous error at each step. The stochastic nature of the gradient descent results in a zig-zag path of the trajectory in the weight space in our search for the global minimum of the error surface. Note that the zig-zag path is also due to the nonquadratic nature of the error surface, which in turn is due to the nonlinear output functions of the units. Note also that the backpropagation learning is based only on the gradient descent and not on any optimization criterion. A better learning in terms of convergence towards the global minimum may be achieved if the information from the given training patterns are used more effectively. One such approach is based on posing the supervised learning problem as a nonlinear system identification problem [Haykin, 19911. The resulting learning algorithm is called an extended Kalman-type learning [Singhal and Wu, 19891 which uses piecewise linear approximation to the nonlinear optimal filtering problem. Better learning can also be achieved if the supervised learning is posed as an unconstrained optimization problem, where the cost function is the error function E(w) [Battiti, 19921. In this case the optimal value of the increment in the weight is obtained by considering only upto second order derivatives of the error function. w The resulting expression for the optimal A requires computation of the second derivatives of E(w) with respect to all the weights, namely, the Hessian matrix. The convergence will be faster than the gradient descent, but there is no guarantee for convergence in this case also. A multilayer feedforward neural network with backpropagation learning on a finite set of independent and identically distributed samples leads to an asymptotic approximation of the underlying a posteriori class probabilities provided that the size of the training set

132

Feedfornard Neural Networks

data is large, and the learning algorithm does not get struck in a local minima [Hampshire and Pearlmutter, 19901. If the a posteriori conditional probabilities are used as the desired response in a learning algorithm based on an information theoretic measure for the cost function [Kullback, 1968; Haykin, 1994, Sec. 6.201, then the network captures these conditional probability distributions. In particular, the output of the network can be interpreted as estimates of the a posteriori conditional probabilities for the underlying distributions in the given training data. Yet another way of formulating the learning problem for a multilayer neural network is by using the fuzzy representation for input or output or for both. This results in a fuzzy backpropagation learning law [Ishibuchi et al, 19931. The convergence of the fuzzy backpropagation learning is significantly faster, and the resulting minimum mean squared error is also significantly lower than the usual backpropagation learning.
Interpretation of the result of learning: A trained multilayer feedforward neural network is expected to capture the functional relationship between the input-output pattern pairs in the given training data. It is implicitly assumed that the mapping function corresponding to the data is a smooth one. But due to limited number of training samples, the problem becomes an ill-posed problem, in the sense that there will be many solutions satisfying the given data, but none of them may be the desired/conect one [Tikhonov and Arsenin, 1977; Wieland and Leighton, 19871. Figure 4.14 illustrates the basic
Training data points

Function realized due to overtraining

Output
X

Input

Figure 4.14 Illustration of an ill-pwd problem for a function of one variable.

idea of an ill-posed problem for a function of one variable. Given the samples marked 'x', the objective is to capture the function represented by the solid curve. But depending on the size of the network, several solutions are possible, including the overtraining situations (shown by dotted curve) in which for all the training data

Analysis of Pattern Mapping Networks

133

the error is zero. In fact there could be several functions passing through the given set of points, none of which is the desired one. This happens if the number of free parameters (weights) of the network is very large. Such a situation results in a large error when some other (test) samples are given to validate the network model for the function. This is called 'poor generalization' by the network. On the other hand, fewer number of the free parameters may result in a large error even for the training data, and hence a poor approximation to the desired function. The function approximation interpretation of a multilayer feedforward neural network enables us to view different hidden layers of the network performing different functions. For example, the first hidden layer can be interpreted as capturing some local features in the input space. The second hidden layer can be interpreted as capturing some global features. This two-stage approximation has been shown to realize any continuous vector-valued function [Sontag, 1992bl. The universal approximation theorem of Cybenko seems to suggest that even a single layer of nonlinear units would suffice to realize any continuous function [Cybenko, 19891. But this result assumes that a hidden layer of unlimited size is available, and that the continuous function to be approximated is also available. Thus Cybenko's theorem gives only an existence proof, but it is not useful to realize the function by training a single hidden layer network. A trained multilayer neural network can be interpreted as a classifier, with complex decision surfaces separating the classes. These decision surfaces are due to multiple layers of nonlinear units. In the limiting case of hard-limiting nonlinear units, the geometrical arguments for the creation of the complex decision surfaces in a multilayer perceptron discussed in Section 4.3.3 are applicable. It is also possible to view that the hidden layers perform a nonlinear feature extraction to map the input data into linearly separable classes in the feature space. At the output layer the unit with the largest output is considered as the class to which the input belongs. As mentioned earlier, the output of a trained multilayer neural network can also be considered as an approximation to the a posteriori class probabilities.
Generalization: A backpropagation learning network is expected to generalize from the training set data, so that the network can be used to determine the output for a new test input. As mentioned earlier, 'generalization' is different from 'interpolation', since in generalization the network is expected to model the unknown system or function from which the training set data has been obtained. The problem of determination of weights from the training set data is called the loading' problem [Judd, 1990; Blum and Rivest, 19921. The

134

Feedforward Neural Networks

generalization performance depends on the size and efficiency of the training set, besides the architecture of the network and the complexity of the problem [Hush and Horne, 19931. Testing the performance of the network with new data is called cross-validation. If the performance for the test data is as good as for the training data, then the network is said to have generalized from the training data. Further discussion on generalization is given later in Section 7.3 and in Appendix D.
Tasks with backpropagation network: A backpropagation network

can be used for several applications such as realization of logic functions, pattern classification, pattern mapping, function approximation, estimation of probability distribution and prediction [Hush and Horne, 19931. These tasks were demonstrated in several real world applications such as in speech, character recognition, system identification, passive sonar detection/classification,speech synthesis, etc. [Sejnowski and Rosenberg, 1987;Cohen et al, 1993;LeCun et al, 1990; Narendra and Parthasarathy, 1990;Casselman et al, 19911.
Limitations of backpropagation: The major limitation of the back-

propagation learning is its slow convergence. Moreover, there is no proof of convergence, although it seems to perform well in practice. Due to stochastic gradient descent on a nonlinear error surface, it is likely that most of the time the result may converge to some local minimum on the error surface [Gori and Tesi, 19921.There is no easy way to eliminate this effect completely, although stochastic learning algorithms were proposed to reduce the effects of local minima [Wasserman, 19881.Another major problem is the problem of scaling. When the complexity of the problem is increased, there is no guarantee that a given network would converge, and even if it converges, there is no guarantee that good generalization would result. The complexity of a problem can be defined in terms of its size or its predicate order [Minsky and Papert, 1990;Hush and Horne, 19931.Effects of scaling can be handled by using the prior information of the problem, if possible. Also, modular architectures can also reduce the effects of the scaling problem [Ballard, 1990;Jacobs et al, 1991; Haykin, 19941. For many applications, the desired output may not be known precisely. In such a case the backpropagation learning cannot be used directly. Other learning laws have been developed based on the information whether the response is correct or wrong. This mode of learning is called reinforcement learning or learning with critic [Sutton et al, 1991;Barto, 19921 as discussed in Section 2.4.6.
Extensions of backpropagation: Principles analogous to the ones

used in the backpropagation network have been applied to extend the

Summary and Discussion

135

scope of the network in several directions as in the case of probabilistic neural networks, fuzzy backpropagation networks, regularization networks and radial basis function networks [Wasserman, 19931.

4.5 Summary and Discussion

We have presented a detailed analysis of feedforward networks in this chapter with emphasis on the pattern recognition tasks that can be realized using these networks. A network with linear units (Adaline units) performs a pattern association task provided the input patterns are linearly independent. Linear independence of input patterns also limits the number of patterns to the dimensionality of the input pattern space. We have seen that this limitation is overcome by using hard-limiting threshold units (perceptron units) in the feedforward network. Since threshold units in the output layer results in a discrete set of states, the resulting network performs pattern classification task. The hard-limiting threshold units provide a set of inequalities to be satisfied by the network. Thus the weights of the network are not unique any more and hence they are determined by means of the perceptron learning law. A single layer perceptron is limited to linearly separable classes only. For an arbitrary pattern classification problem, a multilayer perceptron (MLP) is needed. But due to absence of desired output at the units in the intermediate layers of units, the MLP network cannot be trained by the simple perceptron learning law. This hard learning problem can be solved by using nonlinear units with differentiable output functions. Since the output functions are now continuous, the multilayer feedforward neural network can perform pattern mapping task. The output error backpro~\agationis used in the learning algorithm for these multilayer networks. Since the backpropagation learning is based on stochastic gradient descent along a rough error surface, there is no guarantee that the learning law converges towards the desired solution for a given pattern mapping task. Several variations of the backpropagation learning have been suggested to improve the convergence as well as the result of convergence. Although there is no proof of convergence, the backpropagation learning algorithm seems to perform effectively for many tasks such as pattern classification, function approximation, time series prediction, etc. How well a trained feedforward network performs a given task is discussed both theoretically and experimentally in the literature on generalization. The issue of generalization is an important topic, but it is not discussed in this book. There are excellent treatments of this topic in Widyasagar, 1997; Valiant, 19941. Appendix D gives an overview of generalization in neural networks. Some of the limitations of backpropagation such as convergence

136

Feedforward Neural Networks

can be addressed with reference to specific tasks, exploiting the knowledge of the task domain. Thus architectures developed for specific tasks are more useful than the general feedforward neural networks. Some of these architectures will be discussed in Chapter 7. 1 . 2 . 3 .
4.

5 . 6 .

7 . 8 .

9 . 1. 0 1. 1

1. 2 13. 14. 15. 16. 1. 7 1. 8 1. 9 20.

Review Questions What is a linear associative network? What is pseudoinverse of a matrix? Explain the significance of (a) determination of weights by computation and (b) determination of weights by learning. What is the difference between linearly independent set and orthogonal set of vectors? What does the rank of an input matrix indicate? Explain the nature of the input vectors in each of the following cases of the optimal choice of weight matrix. (a) W = B A ~ , (b) = BA-' and (c) W = BA'. W Explain the choice of W = BA' for linearly independent and linearly dependent cases of input vectors. Why the choice of W = BA' need not be the best choice for noisy input vectors? Discuss your answer with reference to the Murakami result given in Eq. (4.19). What is the significance of the Widrow's learning for linear associative networks? Why is it that there is no learning law for obtaining the best choice of the weights for the case of noisy input vectors? Why is it that the number of input patterns are linked to the dimensionality of the input vectors in the case of linear associative network? Why learning is essential for a network with nonlinear units? What is perceptron learning for pattern classification? Explain the significance of perceptron convergence theorem. Explain how to interpret perceptron learning as a gradient descent algorithm. What is the gradient term here? What is meant by perceptron representation problem? Distinguish between linearly separable and linearly inseparable problems. Why a single layer of perceptron cannot be used to solve linearly inseparable problems? Give two examples of linearly inseparable problems. Show by geometrical arguments that with 3 layers of nonlinear units, any hard classification problem can be solved.

Review Questions

137

Distinguish between multilayer perceptron and a general multilayer feedforward neural network. Explain how a multilayer feedforward neural network with linear units in all the layers is equivalent to a linear associative network. What is meant by gradient descent methods? Explain the difference between method of steepest descent and Newton's method. Explain the difference between LMS learning and delta learning. Why LMS learning is called a stochastic gradient descent method? Comment on the nature of the error surface for a multilayer feedforward neural network. Why backpropagation learning is also called generalized delta rule? Why convergence is not guaranteed for the backpropagation learning algorithm? Discuss the significance of semilinear function in the backpropagation learning. How 'pattern' mode and 'batch' mode of training affect the result of backpropagation learning? Explain why it is preferable to have gifferent values for q for weights leading to the units in different layers in a feedforward neural network. What is the significance of momentum term in backpropagation learning? What is conjugate gradient method? Discuss various interpretations of the results of backpropagation learning. What is an ill-posed problem in the context of training a multilayer feedforward network? What is meant by generalization in feedforward networks? Why should generalization depend on the size and efficiency of the training set, architecture of the network and the complexity of the problem? Discuss a few tasks that can be performed by a backpropagation network. How can we interpret the results of backpropagation learning as an estimation of a posteriori class probabilities? Explain the limitations of backpropagation learning.

Feedforward Neural Networks

Problems
1 A pth order polynomial threshold function is defined as . [Hassoun, 1995, p. 8 1

10,

otherwise

Show that the-number of weights is given by

and r = for a

qM

where ( M , is the number of combinations of M different items

l i

taken i at a time without repetition. (Hint: Count the number of weights in each case. Note that for the binary case a E (0, l l M the for p 2 2.) indices in the summation are ip > ip

-,

2. In the equation in Problem 1 above p = 1 corresponds to the case of linear threshold function, and p = 2 for a quadratic threshold function. Larger values of p gives higher flexibility to realize a Boolean function by threshold gates. In fact it can be shown that any Boolean function of M variables can be realized using a polynomial threshold function of order p l M [Hassoun, 1995, p. 91. Show that the most difficult M-variable Boolean function to implement by a polynomial threshold function requires 2M parameters in the worst case. (Hint: Use the result of Problem 1 for p = M.) 3. A set of N points in KM is said to be in 'general position' if every subset of M or fewer points is linearly dependent. A 'dichotomy' is labelling of N points into two distinct categories. The number of linearly separable dichotomies of N points in general position in R~ is given by [:Hassoun, 1995, p. 181

Problems

139

Derive the above result using repeated iteration of the recursive relation C(N + 1, M) = C(N, M) + C(N, M - 1) and noting that C(l, M) = 2. (Hint: See [Hertz, 1991, p. 113-1141.) 4. A pth order polynodal threshold function with labeled inputs aE may be viewed as a linear threshold function with (r- 1) preprocessed inputs, where

The mapping $(a) from the input space, RM to the $-space R r - 1 is called '$-mapping'. A dichotomy of N points is '+separable' if there exist a (r - 2)-dimensional hyperplane in the '$-space' which correctly classifies the N points [Hassoun, 1995, p. 201. Show that the number of Boolean functions of M-variables that can be realized by an M-input pth order polynomial threshold function is less than C(N, r - 1). 5. Using the matrix identities A = A A ~ u + and AT = A+A A ~derive )~ , the expression given in Eq. (4.11) from the definition of the matrix S given in Eq. (4.10). 6. Derive the expression for Emi, given in Eq. (4.16) using the expression for the pseudoinverse given in Eq. (4.14). 7. Compute the weight matrix for the following pattern association task

8. Using the perceptron learning law design a classifier for the following problem:

1 Class C,: 1- 2 21T, 1- 2 1.51T, [- 2 OIT, 1 OIT, and [3 OIT 9.

Class C,: [ l 31T, [3 31T, [ l 21T, [3 21T, and r10 OIT Design and train a feedforward network for the following problems: (a) Parity: Consider a 4-input and 1-output problem, where the output should be 'one' if there are odd number of 1s in the input pattern and 'zero' otherwise. The difficulty of the problem is due to the f a d that the input patterns differing in only one bit require opposite oatputs.

140

Feedforward Neural Networks (b) Encoding: Consider an 8-input and 8-output problem, where the output should be equal to the input for any of the 8 combinations of seven 0s and one 1.
(c) Symmetry: Consider a 4-input and 1-output problem where the output is required to be 'one' if the input configuration is symmetrical and 'zero' otherwise.

(d) Addition: Consider a 4-input and 3-output problem, where the output should be the result of the sum of two 2-bit input numbers. (Hint: Write a program to implement the algorithm. In all the cases start with a hidden layer of 8 units and progressively reduce the number of units.) 10. Generalize the XOR problem to a parity problem for N (> 2) variables by considering a network for the two variables first and then extending the network considering the output of the first network as one variable and the third variable as another. Repeat this for N = 4 and design a network for solving the parity problem for 4 variables. (See [Bose and Liang, 1996, p. 2141.) 1 . For the following 2-class problem determine the decision 1 boundaries obtained by LMS and perceptron learning laws. Comment on the results. Class C,: [- 21T, [-2 31T, [-1 ll T , [ - 41T [O OIT, 2 1
[O llT, [ 21T, [ 31Tand [l O O

llT

Class C,: 1 OIT, [2 llT, [3 -llT, 1 llT, [3 21T, 1 3

12. Study the classification performance of a MLFFNN for a 2-class problem, where the 2-dimensional data for each class is derived from the Gaussian distributions with the following means and variances, and the class probabilities:

Class

C,:

= [3 OIT,

4 = 4, and P(C,) = 0.6

Assume a single hidden layer and a sigmoid output function for the units in the hidden and output layers. Study the performance for different number of hidden units (say 2, 4, and 6), and for different learning rate parameters (say 0.01, 0.1, and 0.9). Study also the effect of momentum term by considering two different values for the momentum parameter (say 0.1 and 0.5).

Problems

141

Compare the classification performance of the best network in Problem 12 above with the performance of the Bayesian classification result. The Bayes classification result is obtained by computing the probability of error for optimum Bayes classifier for the given distributions. The Bayes classifier is defined as follows: For a given input x, decide C1 if othemise decide C,,where

and
2 P(X)

=
k= 1

P(X

I c& P(ck)-

Chapter 5

Feedback Neural Networks

5.1 Introduction

This chapter presents a detailed analysis of the pattern recognition tasks that can be performed by feedback artificial neural networks. In its most general form a feedback network consists of a set of processing units, the output of each unit is fed as input to all other units including the same unit. With each link connecting any two units, a weight is associated which determines the amount of output a unit feeds as input to the other unit. A general feedback network does not have any structure, and hence is not likely to be useful for solving any pattern recognition task. However, by appropriate choice of the parameters of a feedback network, it is possible to perform several pattern recognition tasks. The simplest one is an autoassociation task, which can be performed by a feedback network consisting of linear processing units. A detailed analysis of the linear autoassociative network shows that the network is severely limited in its capabilities. In particular, a linear autoassociative network merely gives out what is given to it as input. That is, if the input is noisy, it comes out as noisy output, thus giving an error in recall even with optimal setting of weights. Therefore a linear autoassociative network does not have any practical use. By using a nonlinear output function for each processing unit, a feedback network can be used for pattern storage. The function of a feedback network with nonlinear units can be described in terms of the trajectory of the state of the network with time. By associating an energy with each state, the trajectory describes a traversal along the energy landscape. The minima of the energy landscape correspond to stable states, which can be used,to store the given input patterns. The number of patterns that can be stored in a given network depends on the number of units and the strengths of the connecting links. It is quite possible that the number of available energy minima is less than the number of patterns to be stored. In such a case the given pattern storage problem becomes a hard problem for the network. If on the other hand, the number of energy minima in the energy landscape of a network is greater than the required number of

Introduction

143

patterns to be stored, then there is likely to be an error in the recall of the stored patterns due to the additional false minima. The hard problem can be solved by providing additional (hidden) units in a feedback network, and the errors in recall of the stored patterns due to false minima can be reduced using probabilistic update for the output function of a unit. A feedback network with hidden units and probabilistic update is called a Boltzmann machine. It can be used to store a pattern environment, described by a set of patterns to be stored, together with the probability of occurrence of each of these patterns. Table 5.1 shows the organization of the topics to be discussed in this chapter. A detailed analysis of linear autoassociative feedforward networks is considered first in Section 5.2. The pattern storage problem is analyzed in detail in Section 5.3. In particular, the Hopfield energy analysis, and the issues of hard problem and false minima are discussed in this section. The Boltzmann machine is introduced in Section 5.4. This section also deals with the details of the pattern environment storage problem and the Boltzmann learning law. Some practical issues in the implementation of learning laws for feedback networks including simulated annealing are discussed in Section 5.5.
Table 5.1 Pattern Recognition Tasks by Feedback Neural Networks Autoassociation Architecture: Single layer with feedback, linear processing units Learning: Not important Recall: Activation dynamics until stable states are reached Limitution: No accretive behaviour To overcome: Nonlinear processing units, leads to a pattern storage problem Pattern Storage Architecture: Feedback neural network, nonlinear processing units, states, Hopfield energy analysis Learning: Not important Recall: Activation dynamics until stable states are reached Limitation: Hard problems, limited number of patterns, false minima To overcome: Stochastic update, hidden units Pattern Environment Storage Architecture: Boltzmann machine, nonlinear processing units, hidden units, stochastic update Learning: Boltzmann learning law, simulated annealing Recall: Activation dynamics, simulated annealing Limitation: Slow learning To Overcome: Different architecture

144

Feedback Neural Networks

5.2 Analysis of Linear Autoassociative FF Networks

First we censider the realization of an autoassociative task with a feedforward network as shown in Figure 5.1. Analogous to the hetero-

Figuw 5.1 Linear autoassociative feedforward network.

association, in autoassociation the objective is to associate a given pattern with itself during training, and then to recall the associated pattern when an approximatelnoisy version of the same pattern is given during testing. In other words, in autoassociation the associated output pattern bl is same as the input pattern al for the Ith pattern. That is, with reference to the pattern association task, bl = nl, 1 = 1, 2, ..., L in the case of autoassociation. In recall it is desired to obtain bl as output for an approximate input al+ E. The weight matrix W = [wijl of a linear autoassociative network (Figure 5.1) can be determined as in the case of the linear heteroassociator, for a fixed set of input pattern vectors {al). Since we want WA= A, the optimal weights are given by (see Section 4.2.2) W=AA+ (5.1) where A+ is the pseudoinverse of the M x L matrix A consisting of the input vectors {al). The pseudoinverse is given in tern af the components of singular value decomposition of the matrix A as follows:

where hi are the eigenvalues, and pi and q, are the eigenvectors of the matrices AAT and A ~ Arespectively. That is, , and

Analysis of Linear Autoassociative FF Networks

145

The sets of eigenvectors {pi]and (9,) are orthonormal sets. The ei envalues are real and nonnegative, since the matrices AAT and AFA are symmetric. The eigenvalues hi are ordered, i.e., hi 2 hi+l. If the rank of the matrix A is r (L), then the eigenvalues hi, i > r will I be zero. Therefore
i=l

and the pseudoinverse

The minimum error for the choice of the optimum weight matrix W = AA+ is given from Eq. (4.16) as

But since hi = 0 for i > r, Emin= 0. Thus in the case of linear autoassociative network there is no error in the recall due to linear dependency of the input patterns, unlike in the case of linear heteroassociative network. In other words, in this case the input comes out as output without any error. When noise is added to the input vector, the noisy input vectors are given by c, = a,+&, 1 = 1 , 2,...,L (5.8) where the noise vedor E is uncorrelated with the input vector al, and has the average power or variance c?. For the choice of W = AA', the error in recall is given &om Eq. (4.19) as [Murakami and Aibara, 19871

Thus the error in the recall is mainly due to noise, as the linear
dependence component of the error is zero in the case of autoassociation. Note that this is because a noisy input vector comes out

146

Feedback Neural Networks

as a noisy output and hence its difference from the true vector in the recall is only due to noise. The error in recall due to noise can be reduced by the choice of & W = A , where

where s is given by

That is, for a given noise power 2 , the error can be reduced by moving the error into the linear dependency term, which is realized by an appropriate choice of the number of terms in.the expression for the seudoinverse. The resulting error for the optimal choice of w= is

The linear autoassociation task can also be realized by a single layer feedback network with linear processing units shown in Figure 5.2. The

w lj WIN Figure 5.2 Linear autoassociation by a feedback network.

condition for autoassociation, namely, Wal = al, is satisified if W = I, an identity matrix. This trivial choice of the weight matrix is realized if the input vectors are linearly independent, so that W = A A -= I. For this choice of W, the output for a noisy input ~ al + E is given by W(a, + E) = a, + E, which is the noisy input itself. This is due to lack of accretive behaviour during recall, and such a feedback network is not useful for storing information. It is possible to make a feedback network useful, especially for pattern storage, if the linear processing units are replaced with processing units having nonlinear output functions. We discuss this case in the next section and give a detailed analysis of pattern storage networks.

5.3 Analysis of Pattern Storage Networks

5.3.1 Pattern Storage Networks

The objective in a pattern storage task is to store a given set of

Analysis of Pattern Storage Networks

147

patterns, so that any of them can be recalled exactly when an approximate version of the corresponding pattern is presented to the network. For this purpose, the features and their spatial relations in the patterns need to be stored. The pattern recall should take place even when the features and their spatial relations are slightly disturbed due to noise and distortion or due to natural variation of the pattern generating process. The approximation of a pattern refers to the closeness of the features and their spatial relations to the original stored pattern. Sometimes the data itself is actually stored through the weights, as in the case of binary patterns. In this case the approximation can be measured in terms of some distance, like Hamming distance, between the patterns. The distance is automatically captured by the threshold feature of the output functions of the processing units in a feedback network Freeman and Skapura, 19911. Pattern storage is generally accomplished by a feedback network consisting of processing units with nonlinear output functions. The outputs of the processing units at any instant of time define the output state of the network at that instant. Likewise, the activation values of the units at any instant determine the activation state of the network at that instant. The state of the network at successive instants of time, i.e., the trajectory of the state, is determined by the activation dynamics model used for the network. Recall of a stored pattern involves starting at some initial state of the network depending on the input, and applying the activation dynamics until the trajectory reaches an equilibrium state. The final equilibrium state is the stored pattern resulting *om the network for the given input. Associated with each output state is an energy (to be defined later) which depends on the network parameters like the weights and bias, besides the state of the network. The energy as a function of the state of the network corresponds to something like an energy landscape. The shape of the energy landscape is determined by the network parameters and states. The feedback among the units and the nonlinear processing in the units may create basins of attraction in the energy landscape, when the weights satisfy certain constraints. Figure 5.3 shows energy landscapes as a function of the output state for the two cases of with and without the basins of attraction. In the latter case the energy fluctuates quickly and randomly from one state to another as shown in Figure 5.3b. But in the energy landscape with basins of attraction as in Figure 5.3a, the states around the stable state correspond to small deviations from the stable state. The deviation can be measured in some suitable distance measure, such as Hamming distance for binary patterns. The Hamming distance between two binary patterns each of length N is defined as the number of bit positions in which the patterns differ. Thus the states

148

Feedback Neural Networks

Energy

Energy

Figure 5.3

State State (a) (b) Energy landscapes (a) with basins of attraction and (b) without basins of attraction.

closer to the stable states correspond to patterns with smaller Hamming distance. The basins of attraction in the energy landscape tend to be the regions of stable equilibrium states [Cohen and Grossberg, 19831. If there is a fixed state in each of the basins where the energy is minimum, then that state corresponds to a fixed point of equilibrium. The basins could also be periodic (oscillatory) regions or chaotic regions of equilibria. For an oscillatory region, the state of the network changes continuously in a periodic manner. For a chaotic region, the state of the network is not predictable, but it is confined to the equilibrium region. Throughout the subsequent discussion we consider only the fixed points of equilibrium in the energy landscape. It is the existence of the basins of attraction or regions of equilibrium states that is exploited for the pattern storage task. The fixed points in these regions correspond to the states of the energy minima, and they are used to store the desired patterns. These stored patterns can be recalled even with approximate patterns as inputs. An erroneous pattern is more likely to be closer to the corresponding true pattern than to the other stored patterns according to some distance measure. Each input pattern results in an initial state of the network, which may be closer to the desired true state in the sense that it may lie near the basin of attraction corresponding to the true state. An arbitrary state may not correspond to an equilibrium or a stable state. As the dynamics of the network evolves, the network may eventually settle at a stable state, from which the pattern may be read or derived. ~ i v e a network specified by the number of processing units, their n connection strengths and the activation dynamics, it is not normally possible to determine exactly the number of basins of attraction in the energy landscape as well as their relative spacings and depths in the state space of the network. The spacing between two states can be measured .by a suitable distance measure, such as the Hamming distance for binary patterns. The number of patterns that can be stored is called the capacity of the network. It i s possible to estimate

Analysis of Pdttern ,Storage Networks

149

the capacity of the network and also the average probability of error in recall. The probability of error in recall can be reduced by adjusting the weights in such a way that the resulting energy landscape is matched to the probability distribution of the desired patterns. Typically the capacity of a fully connected network is of the order of N, the number of processing units. Although there are 2N different states for a network with binary state units, the network can be used to store only of the order of N binary patterns, as there will be only that many fixed points or energy minima in the energy landscape. In general, the number of desired patterns is independent of the number of basins of attractions. The latter depends only on the network units and their interconnections. If the number of patterns is more than the number of basins of attraction, then the pattern storage problem becomes a hard problem, in the sense that the patterns cannot be stored in the given network. On the other hand, if the number of patterns is less than the number of basins of attraction, then there will be the so called false wells or minima due to the additional basins of attraction. During recall, it is likely that the state of the network, as it evolves from the initial state corresponding to the input pattern, may settle in a false well. The recalled pattern corresponding to the false well may not be the desired pattern, thus resulting in an error in the recall. In the next subsection we will consider the Hopfield model of a feedback network for the pattern storage and discuss the working of a discrete Hopfield model. The Hopfield model is a fully connected feedback network with symmetric weights. In the discrete Hopfield network the state update is asynchronous and the units have binaryhipolar output functions. In the continuous Hopfield model the state update is dictated by the activation dynamics, and the units have continuous nonlinear output functions.
5.3.2 The Hopfleld Model

Consider the McCulloch-Pitts neuron model for the units of a feedback network, where the output of each unit is fed to all the other units with weights wij,for all i and j. Let the output function of each of the units be bipolar (k so that 1) and

is where li the threshold for the unit i. We will assume ei = 0 for convenience. The state of each unit is either +1 or - a t any given 1 instant of time. Due to feedback, the state of a unit depends on the

150

Feedback Neural Networks

states of the other units. The updating of the state of a unit can be done synchronously or asynchronously. In the synchronous update all the units are simultaneously updated at each time instant, assuming l that the state of the network is frozen until update is made for a l the units. In the asynchronous update a unit is selected at random and its new state is computed. Another unit is selected at random and its state is updated using the current state of the network. The updatingrusing the random choice of a unit is continued until no further change in the state takes place for all the units. That is, the state at time (t + 1) is the same as the state at time t for all the units. That is si(t + 1) = s,(t), for all i (5.15)

In this situation we can say that the network activation dynamics update throughout the reached a stable state. We assume asyn-nous following discussion. Note that the asynchronous update ensures that $he next state is at most unit Hamming distance from the current state. If the network is to store a pattern a = ( a l ,a,, ..., aNIT,then in a stable state we must have the updated state value to be the same as the current state value. That is

This can happen if wo = (1IN) ai aj, because

where a; = 1 for bipolar (f1) states. For storing L patterns, we could choose a general Hebbian rule given by the summation of the Hebbian terms for each pattern. That is,

Then the state ak will be stable if s ,

[+z z
N

ali a , akj = a,,, for all i

J = 1 1=1

Taking out the 1 = k term in the summation and simplifying it using a$ = 1, we get

(5.19)

C a , ab a~

Since ski = f 1, the above is true for all aki, provided the crossterm

= ski,

for all i

(5.20)

Analysis of Pattern Stomge Networks

151

in Eq. (5.20) does not change the sign of ahi plus the crossterm. Table 5.2 gives an algorithm for storing and recall of patterns in a Hopfield network.
Table 6.2 Hopfield Network Algorithm to Store and Recall a Set of Bipolar Patterns

Let the network coneiat of N fully connected unita with each unit having hard-limiting bipolar threshold output function. Let al, 1 = 1, 2, ..., L be the vectors to be stored. The vedore (4)are assumed to have bipolar components, i.e,,ali = f 1, i=1,2,...,N. 1. h i g n the connection weights

=O,fori=j, l < i , j < N 2. Initialize the network output with the given unknown input pattern a si(0)= ai, for i = 1, 2, ...,N
where si(0)i the output of the unit i at time t = 0 s 3. Iterate until convergence

si(t+ 1) = sgn

1",

wiisj(t)

, for i

1, 2, ...,N

The process is repeated until the outputs remain unchanged with further iteration. The steady outputa of the unite represent the stored pattern that best matches the given input.

In general, the crosstern in Eq. (5.20) is negligible if LIN << 1. Eq. (5.20) is satisfied if the number of patterns L is limited to the storage capacity of the network, i.e., the maximum number of patterns that can be stored in the network.
5.3.3

Capaclty of Hopfleld Model

We consider the discrete Hopfield model to derive the capacity of the network. Let us consider the following quantity [Hertz et al, 19911

If cf is negative then the cross term and aki have the same sign in Eq. (5.20) and hence the pattern akis stable. On the other hand, if cf is positive and greater than 1, then the sign of the cross term changes the sign of abi plus the cross term in Eq. (5.20). The result is that the pattern a k turns out to be unstable, and hence the desired pattern cannot be stored.

152

Feedback Neural Networks

Therefore the probability of error is given by

Pe = Prob (4> 1)

(5.22)

To compute this probability, let us assume that the probability of ali equal to +1 or - is 0.5. For random patterns, the cross term 1 corresponds to 1/N times the sum of about NZ independent random numbers, each of which is +1 or - Thus cl is a sum of random 1. variables having a binomial distribution with zero mean and variance 4 = UN.If NL is assumed large, then the distribution of cf can be approximated by a Gaussian distribution with zero mean and 4 variance Papoulis, 19911. Therefore,

where eflx) is error function given by

= 0.105 for Pe = 0.001. Thus the This gives a value of L,,IN maximum number of patterns that can be stored for a probability of error of 0.001 is L,, = 0.105 N. A more sophisticated calculation [Amit et al, 1987; Amit, 19891 using probabilistic update leads to a capacity of L,, = 0.138 N .

5.3.4

Energy Analysis of Hoptield Network

Discrete Hoptleld model: Associated with each state of the network, Hopfield proposed an energy function whose value always either reduces or remains the same as the state of the network changes. Assuming the threshold value of the unit i to be Bi, the energy function is given by [Hopfield, 19821

The energy V(s) as a function of the state s of the network describes the energy landscape in the state space. The energy landscape is determined only by the network architecture, i.e., the number of units, their output functions, threshold values, connections between units and the strengths of the connections. Hopfield has shown that for symmetric weights with no self-feedback, i.e., wV = wji, and with bipolar I- +1) or binary (0,1) output functions, the dynamics of the 1,

Analysis of Pattern Storage Networks

153

network using the asynchronous update always leads towards energy minima at equilibrium. The states corresponding to these energy minima turn out to be stable states, which means that small perturbations around it lead to unstable states. Hence the dynamics of the network takes the network back to a stable state again. It is the existence of these stable states that enables us to store patterns, one at each of these states. To show that A 5 0, let us consider the change of state due to V update of one unit, say k, at some instant. All other units remain unchanged. We can write the expressions for energy before and after the change as fhllows [Freeman and Skapura, 19911:

void

1 -2

C C wiist
i j

old
.

old sj

C 0.
I

Sold
I

The change in energy due to update of the kth unit is given by A = Vnew vOld V 1
i t k j+k
i+k

Since sfew = s;ld, for i + k, the first two terms on the right hand side of Eq. (5.27) will be zero. Hence,

If the weights are assumed symmetric, i.e., wu = wji, then we get

If, in addition, wkk = 0, then since sFw = sPldfor i in both the parentheses are equal. Therefore, A = (aild V

* k, the terms
(5.30)

- sim)

154

Feedback Neural Networks

The update rule for each unit k is as follows: Case A: If Case B: If Case C: If

x x x
1

wkisfd - Elk > 0, then wkis;ld

srw + 1 = - ek< 0, then srw - 1 =

ST=
sold k

wkis;ld - C& = 0, then

For case A, if s;ld = + 1, then AV = 0, and if s;ld = - 1, then AV 5 0. For case B, if s;ld = + 1, then AV< 0, and if s;ld = - 1, then AV= 0. For case C, irrespective of the value of s;ld , AV = 0. Thus we have AVS 0. Therefore the energy decreases or remains the same when a unit, selected at random, is updated, provided the weights are symmetric, and the self-feedback is zero. This is the energy analysis for discrete Hopfield model. That the expression for V in Eq. (5.25) does indeed represent some form of energy can be seen from the following arguments based on Hebb's law: If a given pattern vector al is to be stored in the network state vector s, then the match will be perfect if both the vectors coincide. That is, the magnitude of their inner product is maximum. Alternatively, the negative of the magnitude of their inner product is minimum. Thus we can choose a quantity [Hertz et al, 19911

to be minimized for storing a pattern vector al in the network. For storing L pattern vectors we can write the resulting V as a summation of the contributions due to each pattern vector. That is

If we identify the weights wi with the term (UN)

ali ab, then we get

1=1

which is same as the first term in the Hopfield energy expression given in Eq. (5.25).

Analysis of Pattern Storage Networks

155

This method of identifying wq from an energy function is useful, especially to solve several optimization problems. Given an energy function or a cost function or an objective function for a problem in terms of its variables and constraints, if we can identify the coefficients associated with si s . si and constant terms in the function, then a feedback network can 6e built with weights corresponding to these coefficients. Then using an activation dynamics for the network, the equilibrium state or states can be found. These states correspond to the minima or maxima of the energy function. Higher order terms consisting of product of three (si sj sk) or more variables cannot be handled by the feedback model with pairwise connections.
Continuous Hopfield model. In this subsection we will consider the

energy analysis for a continuous Hopfield model [Hopfield, 1984; Hertz et al, 1991; Freeman and Skapura, 19911.A continuous model is a fully connected feedback network with a continuous nonlinear output function in each unit. The output function is typically a sigmoid function flk) = e-k which is shown in Figure 5.4 for different 1+ e-k

'

1 - e-'x figure 5.4 (a) Sigmoid function f ( )= - different values of gain z for 1 + e-" parameter 1 (b) The inverse function. (c) Contribution of fl.) to .

the energy function.

156

Feedback Neural Networks

values of the gain parameter A. In the continuous model all the units will change their output signals (si) continuously and sihultaneously towards values determined by the output function. The activation values (xi) will also change continuously according to xi = ' S w..s.. V J
J

This is reflected in the following equation for the activation dynamics:

where zi is the time constant and s, = fixj). Consider the following energy function [Hopfield, 19841:

We can show that in this case (dVldt) I 0. ds. ' = -- C C w..-s.-- 2'xCw,si-$+Zfl(si)& a 1 dt vdt .
2 i
j
J

ds . (5.36)

Assuming symmetry of weights, i.e., w, = wji, we get

Using the relation in Eq. (5.34), we get

Since Ax) is a monotonically increasing function, f(x) > 0. Hence dVldt I 0. Note that dVldt = 0 when &jdt = 0, for all i. This shows that the activation dynamics eventually leads to a state where the energy h e t i o n has a local minimum value, i.e., dVldt = 0. This happens when the activation state reaches an equilibrium steady state at which there is no further change in the activation values, i.e., &jdt = 0. The above result, namely, dVldt I 0, shows that the energy always decreases as the state of the network changes. Let us examine the differences between the continuous model and the discrete model. In the discrete model only one unit is considered

Analysis of Pattern Storage Networks

157

at a time for update. The choice of the unit for update is random and the dynamics is that of the steady activation values (xi = 0), since the transients are assumed to have died down at each update of the state of the unit. Hence in the discrete case xi = 0 and V(x) = 0 are different conditions. In the continuous case the states of all the units and hence the state of the network change continuously, as dictated by the differential equations for the activation dynamics. Hence, in this case xi = 0 for all i implies that V = 0. The energy function V is also called the Lyapunw function of the dynamical system. The difference in the energy functions for the discrete and continuous case is due to the extra term
' i

'

jf '(s)

ds in Eq. (5.35).

This expression is for a gain value h = 1. For a general gain value this term is given by (l/h) & j f-'(s) ds. The integral term is 0 for
' 1

'

si = 0 and becomes very large as si approaches f 1 (see Figure 5.4~). But for high gain values (h >> I), this term in the energy function becomes negligibly small, and hence the energy function approaches that of the discrete case. In fact when h + m, the output function becomes a bipolar function, and hence is equal to the discrete case. In the discrete case the energy minima are at some of the corners of the hypercube in the N-dimensional space, since all the states are at the corners of the hypercube. On the other hand, for moderate or small values of h, the integral term contributes to large positive values near the surfaces, edges and corners of the hypercube, and it contributes small values interior to the hypercube. This is because the value of s, is 1 at the surfaces, edges and corners. Thus the energy minima will be displacgd to the interior of the hypercube. As h + 0, the minima of the energy function disappear one by one, since all the states will tend to have the same energy value. The energy analysis so far shows that, for symmetric weights on the connections, there exist basins of attraction with a fixed point or a stable point for each basin corresponding to an energy minimum. If the connections are not symmetric, then the basins of attraction may correspond to oscillatory or chaotic states regions. In the case of purely random connections, with mean 0 and variance cf, there will be a transition from stable to chaotic behaviour as 3 is ipcreased [Sompolinsky et al, 1988; Hertz, 1995; Hertz et al, 19911. We can summarize the behaviour of feedback networks in relation to the complexity of the network as follows: To make a network useful for pattern storage, the output functions of the units are made hardlimiting nonlinear units. For analysis in terms of storage capacity, as well as for the recall of information from the stable states, we have imposed Hopfield conditions of symmetry of weights and asynchronous update. A more natural situation will be to use continuous

158

Feedback Neural Networks

output functions, so that any type of pattern can be stored. But the analysis of the performance of the network will be more difficult. In addition, if we relax the conditions on the symmetry of weights, we may still get stable regions, but it is not possible to analyse the network in terms of its storage capacity and retrieval of information. If we further relax the constraints to make the feedback system more closer to the natural biological system, then we may be able to get better functionality, but it is almost impossible to analyse such complex networks. For example it is not possible to predict the global pattern behaviour of a feedback network with random weights. Thus, although the networks may get more and more powerful by relaxing the constraints on the network, they become less useful, if we cannot predict and control the pattern storage and recall of the desired information.
5.3.5 State Transition Diagram

Derivation of state transition diagram: The energy analysis of the Hopfield network in the previous section shows that the energy of the network at each state either decreases or remains the same as the network dynamics evolves. In other words, the network either remains in the same state or moves to a state having a lower energy. This can also be demonstrated by means of a state transition diagram which gives the states of the network and their energies, together with the probability of transition from one state to another. In this section we will illustrate the state transition diagram (adapted from [Aleksander and Morton, 19901) for a 3-unit feedback network with symmetric weights wy = wji. The units have a threshold value of 8,, i = 1,2, 3 and a binary (0, 1) output function. A binary output function is assumed for convenience, although the conclusions are equally valid for the bipolar (-1, +1)case. Figure 5.5 shows a 3-unit feedback network. The state update for the unit i is governed by the following equation:

Figure 5.5 A 3-unit feedback network with symmetric weights wy, threshold
values 8 and the output states si,i = l , 2 , 3 . i

Analysis of Pattern Storage Networks

The energy at any state sl s2 s3 of the network is given by

There are eight different states for the 3-unit network, as each of the si may assume a value either 0 or 1. Thus the states are: 000, 001, 010, 100, 011, 101, 110 and 1 1 Assuming the values 1.

we get the following energy values,for each state. V(OO0) = 0.0, V(00l) = 0.7, V(O10) = - 0.2, V(1OO) = - 0.1, V(Ol1) = 0.1, V(101) = 0.1, V(110) = 0.2, and V(111) = 0.0. The transition from any state to the next state can be computed using the state update Eq. (5.39). For example, if the current state is 000, by selecting any one unit, say unit 2, at random, we can find its next state by computing the activation value x2 = 1.E w2, sj and =1 comparing it with the threshold 02. Since x2 (= 0) > O2 (= - 0.2) the state of the unit 2 changes from 0 to 1. Thus if we select this unit, there will be a transition from the state 000 to 010. Since we can select any one of the three units with equal probability, i.e., U3, the probability of making a transition from 000 to 010 is thus U3. hikewise by selecting the unit 1 for update, the network makes a transition from 000 to 100 with a probability U3. Selecting the unit 3 for update results in a transition from 000 to itself, since the activation x3 (= 0) < O3 (= 0.7). By computing the transition probabilities for all the states, we get the state transition diagram shown in Figure 5.6. Note that while computing the transitions, only asynchronous update of each unit selected at random was used. Table 5.3 shows the computation of the state transitions by comparing the weighted inputs with the threshold value for each unit. The entries L in the parenthesis are ? wu sj < > Oi . ( J F'rom the state transition diagram we observe the following points: The diagram is drawn in such a way that the higher energy states are shown abwe the lower energy states. The transition is always from a higher energy state to a state with equal or lower energy. Thus the Hopfield result AV I0 is satisfied. There are some states 010, 100 and 1 1 which have a self-transition probability of 1. That means, once 1 these states are reached, the network remains in these states, which is equivalent to saying that the activation dynamics equation is such that
3

160

Feedback Neural Networks

0 0
1

(a) A 3-unit network

1 3

- 0.2
3 3

(b)State transition diagram

Figure 5.6 A 3-unit network and the corresponding state transition
diagram. (Adapted from [Aleksander and Morton, 19901).

where fl.) is the binary output function, i.e., flx) = 0, for x I 0 and flx) -=1, for x > 0. Since there is no transition kom these states to other states, these are stable states. Note that only three out of the total eight are stable states. As per the approximate capacity calculations made in Section 5.3.3 for a Hopfield network, the number

Analysis of Pattern Storage Networks

Table 6.3 Computation of State Transitions for Figure 5.6
Unit 1 Unit 2 Unit 3

161

of stable states will be much fewer than the number of possible states, and in fact the number of stable states are of the order N. The stable states are always at the energy minima, so that the transition to any of these states is always from a state with a higher energy value than the energy value of the stable state. Computatlon of welghts for pattern storage: So far we have considered the analysis of a given feedback network and studied its characteristics. But patterns can be stored at the stable states by design. That is, it is possible to determine the weights of a network by calculation in order to store a given set of patterns in the network. Let 010 and 111 be the two patterns to be stored in a 3-unit binary network. Then at each of these states the following activation dynamics equations must be satisfied:

This will result in the following inequalities for each of the states: For the state sl s2 s3 = 010

and for the state sl s2 s3 = 111

162

Feedback Neural Networks

Since we assume symmetry of the weights (wi= wji)and wii 0, the = above inequalities reduce to

The following choice of the thresholds and weights, namely,

satisfies the above inequalities and hence the resulting network given in Figure 5.7a stores the given two patterns. These two patterns correspond to the stable states 010 and 1 1 in the network as can 1 be seen from the state transition diagram in Figure 5.7b. The energy values for different states are as follows:

(a) A 3-unit network

@) State transition diagram

Figure 5.7 A 3-unit network and the corresponding state transition

diagram. (Adapted from [Aleksander and Morton, 19901).

Analysis of Pattern Storage Networks The energies of different states are:

Table 5.4 shows the computation of the state transitions by comp aring the weighted inputs with the threshold values for each unit in each state. The entries in the parenthesis are wUsj < = > Ii .

Table 6.4 Computation of State Transitions for Figure 5.7 unit 1 Unit 2 Unit 3

5.3.6

Pattern Storage by Computation of Weights-Problem of False Energy Minima

For another choice of the values of Ii and w~ which satisfies all the inequalities for the above problem of storage of the patterns 010 and 1 1 in a 3-unit network, there may be more than two energy minima 1 or stable states in the network. Two of them correspond to the desired patterns and the other extra states correspond to false minima. This is illustrated for the choice of the thresholds and weights shown in Figure 5.6a. The corresponding state transition diagram is given in the Figure 5.6b. Here there are three energy minima corresponding to the three stable states 010, 100, 1 1 1. The presence of the extra stable state may result in recalling a pattern not in the set of the desired patterns to be stored. If an approximate input is given to the units in the network, so that the network is forced into the state, say s , s2 s3 = 000 initially, then since this state is unstable, the dynamics of the network will eventually lead to either the state 010 (the desired pattern) or to the state 100

164

Feedback Neural Networks

(See the state transition diagram in Figure 5.6b). Both these states are stable states and have equal probability of transition from the initial state 000. While the state 010 is the desirable pattern to be recalled, there is an equal chance that the pattern 100 may be recalled. Likewise, if the initial state is 110, then there is an equal chance that any one of the stable states 010, 100 and 1 1 may be 1 recalled. The recall of the pattern 1 1 results in an undetectable 1 error, as the desired pattern is 010 for the approximate input 110. The recall of the pattern 100 at any time will give as output a pattern which was not stored in the network intentionally, since in our pattern storage task we have specified only 010 and 1 1 as the 1 desired patterns to be stored in the network. The stable state 100 in this case corresponds to a false (undesirable) energy minimum. Errors in recall due to false minima can be reduced in two ways: 1. By designing the energy minima for the given patterns in an optimal way, so that the given patterns correspond to the lowest energy minima in the network.
2. By using a stochastic update of the state for each unit, instead of the deterministic update dictated by the activation values and the output function.

The issue of stochastic update will be discussed in Section 5.4, and the issue of designing energy wells by learning in Section 5.5.
Pattern storag-Hard problems: In the previous subsection we have discussed the effect of having more minima in the energy landscape than the number required to store the given patterns. In this section we consider the case of the so called hard problems of pattern storage. Let us consider the problem of storing the patterns say 000, 011, 101 and 110. By using the condition f w, s, - 0, = si for each unit i, the inequalities to be satisfied to

(S

make these states stable in a 3-unit feedback network can be derived. In this case no choice of thresholds and weights can satisfy all the constraints in the inequalities. The reason is that the number of desired patterns is more than the capacity of the network, and hence they cannot be representedfstoredin a feedback network with 3 units. In some cases, even if the number of desired patterns is within the capacity limit of a network, the s p e d c patterns may not be representable in a given type (binary) of a feedback network For example, for storing the patterns 000 and 100, the following inequalities have to be satisfied by the type of network we have been considering so far. 812 0, e22 0, e32 0, and

el < 0, wzl S e2,wI35 0,

(5.43)

The conditions on el c 0 and el 2 0 cannot obviously be satisfied simultaneously by any choice of 81. In fact any pair of patterns within a Hamming distance of 1 cannot be stored in a 3-unit network.

Stochastic Networks and Simulated Annealing

165

Pattern storage problems which cannot be represented by a feedback network of a given size, can be called hard problems. This is analogous to the hard problems in the pattern classification task for a single layer perceptron network. Hard problems in the pattern storage task are handled by introducing additional units in the feedback network. These units are called hidden units. But with hidden units it is difficult to write a set of inequalities as before to make the given patterns correspond to stable states in the feedback network. Thus the design of a network with hidden units becomes difficult due to lack of a straightforward approach for determining the weights of the network. In other words, this may be viewed as hard learning problems. We will see in Section 5.5 how this problem is addressed in Boltzmann learning law. To store a given number of patterns, a network with sufliciently large number of units may have to be considered. But in general it is difficult to know the required number of units exactly for a given number of patterns to be stored.

5.4 Stochastic Networks and Simulated Annealing

5.4.1

Stochastic Update

Error in pattern recall due to false minima can be reduced significantly if initially the desired patterns are stored (by careful training) at the lowest energy minima of a network. The error can be reduced further by using suitable activation dynamics. Let us assume that by training we have achieved a set of weights which will enable the desired patterns to be stored at the lowest energy minima. The activation dynamics is modified so that the network can also move to a state of higher energy value initially, and then to the nearest deep energy minimum. This way errors in recall due to false minima can be reduced. It is possible to realize a transition to a higher energy state from a lower energy state by using a stochastic update in each unit instead of the deterministic update of the output function as in the Hopfield model. In a stochastic update the activation value of a unit does n4t decide the next output state of the unit by directly using the output function f(x) as shown in Figure 5.8a. Instead, the update is expressed in probabilistic terms, like the probability of firing by the unit being greater than 0.5 if the activation value exceeds a threshold, and less than 0.5 if the activation value is less than the threshold. Note that the output function f i ) is still a nonlinear function, either a hard-limiting threshold logic function or a semilinear sigmoidal function, but the function itself is applied in a stochastic manner. Figure 5.8b shows a typical probability function that can be used for stochastic update of units. The output function itself is the binary logic function f(x) shown in Figure 5.8a.

166

Feedback Neural Networks

Figure 5.8 Stochastic update of a unit using the probability law P (s = 1 1 ~= ll(1+ e - ( z - e Y T ). (a) Binary output function and (b) Pro) bability function for stochastic update for different values of T.

The probability of firing for an activation value of x can be expressed as

The probability function is defined in terms of a parameter called temperature T. At T = 0, the probability function is sharp with a discontinuity at x = 8. In this case the stochastic update reduces to the deterministic update used in the Hopfield analysis. As the temperature is increased, the uncertainty in making the update according to A x ) increases, giving thus a chance for the network to go to a higher energy state. Therefore the result of the Hopfield

Stochastic Networks and Simulated Annealing

167

energy analysis, namely A V I 0, will be no longer true for nonzero temperatures. Finally, when T = m, then the update of the unit does not depend on the activation value (x) any more. The state of a unit changes randomly from 1 to 0 or vice versa. It is impotant to note that the stochastic update for different T does not change the energy landscape itself, since the shape of the landscape depends on the network, its weights and the output function, which are fixed. Only the traversal in the landscape will be changing. In contrast, in the continuous Hopfield model, the output function is different for different values of the gain parameter h, and hence the energy landscape itself is different for different h (See Sec. 5.3.4).
5.4.2

Equilibrium of Stochastic Networks

A feedback neural network with N binary units and stochastic update of the units is described by the following set of equations: Assuming the threshold value ei = 0,
xi =
j

wGsj, i = 1 , 2,...,N

(5.45)

Axi) = 0, for xi 5 0
= 1,

for xi > 0

(5.46)

A unit i is selected at random for updating. The output is updated according to the stochastic update law, specified by the probability that the output si = 1 given the activation xi. It is given by
P(si= 1I xi) =
1

1 + exp (-xilT)

A network with the above dynamics is called a stochastic network. A stochastic network will evolve differently each time it is run, in the sense that the trajectory, of the state of the network becomes a sample function of a random process. In the case of deterministic update the trajectories will eventually reach an equilibrium corresponding to a stable state. The equilibrium is a static equilibrium. In contrast, there will never be a static stable state for a stochastic network, as the state of the network is always changing due to stochastic update for each unit. However, one could talk of a dynamic equilibrium for stochastic networks, if the ensemble average state of the network does not change with time Papoulis, 19911. By ensemble average we mean that for several (infinitely large) runs of the network the average value of the state ((s)) of the network is computed. The average value of the state is described in terms of the average value ((si)) of the output of each unit (i) of the network. That is

168

Feedback Neural Networks

where p(s) = p(sl, s2, ..., si, ..., sN) is the joint probability density function of the components of the state vector s. First of all, the probability distribution of states should be stationary or independent of time for a network state to be in a stochastic equilibrium. If stationarity of the probability distribution of states is achieved at a given temperature, then the network is said to be in thermal equilibrium [Muller and Reinhardt, 1990, p. 1471. At thermal equilibrium the average value of the output of the ith unit is given by

where p(si) the probability density function for the ith unit. For binary units (si) = 1 x P(si = 1I xi)+ 0 X P(si = 0 (xi)
= q s i = 1I xi)

1 + exp (-xln

Thus for a given temperature, the average value of the output unit is a continuous function of the activation value of the unit. Figure 5.9

I
(a) Discrete output (b) Continuous output Figure 5.9 Instantaneous (discrete) and average (continuous) outputs of a unit in a stochastic network. shows the discrete output and the average continuous output of a unit. At stochastic equilibrium the average value of the output state of a unit does not change due to stationarity of probability distribution of the state of the network. For the average value to remain constant, the flow of activity of a d t i between the active (si = 1) to the inactive (si = 0) state should be balanced by the corresponding flow of activity from the inactive (si = 0) to the active (si = 1) state. This will ensure that the average value of the state due to state transitions over a period of time remains constant. In other words, for a binary

Stochastic Networks and Simulated Annealing

169

unit, the probability of a unit that is currently active (si= 1)to become inactive (sC= 0) muat be equal to the probability of the unit when it is inactive (si = 0) to become active (si = 1). That is

Since the stochastic update rule for each unit is assumed to be independent of the state of the unit, we have from Eq. (5.47) P(si 4 l I s i = o ) = P (si= 1 l X i ) = and P ( s i 4 0 ( s i = 1 ) P ( s i = 0 I x i ) = 1= 1 1+ e - JT) m (5.53) 1 1+ exp(-x Jr) (5.52)

1 1+ exp(xJT)

Therefore from Eqs. (5.51), (5.52) and (5.53), we get

From the Hopfield analysis we have the global energy for the state s as

Difference in the energy for change of state in the kth unit from sk = 0 to sk = 1 is given by AEk = E(sk= 1)- E(sk= 0) = -

x
j

wkj sj = -xk

(5.56)

Note that this is true only if the weights are symmetric, i.e., wu = wji. The ratio of probabilities of the states of the network before and after an update in the ith unit is then given by (see Eq. (5.54))

Let

Mi = Ep-E, where Ep is the energy for the state sp = (sl, s2, ..., si= 1, ...,sN), and E, is the energy for the state s, = (sl, s2, ..., si = 0, ...,sN).Therefore we get

Feedback Neural Networks

From Eq. (5.58) we find that the probability of a state at thermal equilibrium is inversely proportional to the exponential of the energy of the state. That is P(s,) = e-EdT (5.59) where Ea is the energy of the network in any state s,, and is given by the Hopfield energy equation (5.55). Since C P(sJ = 1, we get
a

where 1 2 is the proportionality constant. Therefore, 1

Therefore the probability of a state at thermal equilibrium is given by

This is called the Boltzmann-Gibb's probability distribution. The normalization factor Z is called the partition function in statistical mechanics [Hertz et al, 1991; Muller and Reinhardt, 19901. The partition function plays a central role in statistical mechanics, as it can be used to compute averages at thermal equilibrium. At high temperature (T + m), the stationary probabilities of the states are nearly equal and are independent of the energies of the states. On the other hand, at low temperatures ( T + 0), the stationary probabilities are dictated by the energies of the states, and the states with lower energy will have higher probabilities.
5.4.3

Thermal Averages

From the stationary probabilities P(sa) of the states at thermal equilibrium at a given temperature, the average (A) of any quantity A pertaining to the states can be computed as follows: (A) =

C AaP(sJ
a

(5.64)

where A, is the value of the quantity for the state s,. This is called thermal average of the quantity A.

Stochastic Networks and Simulated Annealing

171

In many cases the thermal averages can be computed from the partition function itself, instead of using the stationary probabilities. But, in practice, obtaining the partition function becomes the main issue. Assuming that the partition function Z is known, the averages of some relevant quantities are computed as follows: In order to compute the averages, it is convenient to define a term, called free energy of the system, given by [Hertz et al, 1991, Appendix]. F = - T log Z = - T log e-Ea'T (5.65)

( a

where log stands for the natural logarithm. Then

The average energy (E) of the states is given by (E) =

C P(sJEa = -2'a

aF la az = -aT Z aT

To compute the averages (s,) and (si si), let us consider the expression for the Hopfield energy with the bias term as in Eq. (5.25) [Muller and Reinhardt, 1990, p. 1491.

Taking the derivative with respect to Oi, we get

We can show using Eqs. (5.65) and (5.69) that

If we take

- aF/awij, then we get

172

Feedback Nqural Networks

Thus.

Equations (5.67), (5.70) and (5.72) are three thermal average expressions in terms of the free energy F and partition function Z. The free energy F can be interpreted as follows: , Since e-F'T = Z = C e-EdT we have
a

e- FIT --

C P(sa>
a

The sum of probabilities over all possible states is 1, and hence the left hand side of Eq. (5.73)above is equal to 1. But the above equation applies even if the summation is taken over a subset of the states. Then the lef't hand side gives the probability of finding the system in that subset.
5.4.4

Stability in Stochastic Networks

In stochastic networks, equilibrium refers to the thermal equilibrium at which the averages over all possible realizations of the states are independent of time. This is because the probability distribution of the states does not change with time. It can be proved that networks with symmetric weights do indeed reach thermal equilibrium at a given temperature. Since the state of the network changes due to stochastic update, it is not possible to talk about absolutely stable states in the sense that, once such a state is reached, it should remain there. On the other hand, one can still study stability of states at thermal equilibrium in which the average values do not change in time. Like in the deterministic case, for a stable state in the stochastic t case we invoke the condition that the average value of the o u t ~ uis proportional to one of the stored patterns, say the kth one (ak). That is, for each component of the vector,

(si)= maki, i = 1, 2, ..., N

(5.74)

where m is the proportionally constant. In the deterministic ( T = 0) case, these stable states exist for m = 1 as seen in Section 5.3.2. In the stochastic case we have from Eq. (5.50)

where AEi = -xi = -Z wii(sj). Here the activation value is I determined using the average of the fluctuations of the outputs from the other units. This is called the mean-field approximation by which

Stochastic Networks and Simulated Annealing

173

the actual variables are replaced by their averaged quantities ISoukoulis et al, 1983; Bilbro et al, 19921. We can obtain an approximate solution of Eq. (5.74) by substituting for (si) in Eq. (5.74) and simplifying. In doing this outputs. analysis it is convenient to assume units with bipolar {-I, +1} Then the average value (si) is given by (s,) = ~ x P ( s ~ = ~ I x ~ ) - ~ x P ( s ~ = - ~ ~ x ~ ) (5.76) Assuming for convenience the probability of update in this case as

we get

1 ('i) = 1+ exp(- 2 xi/n = tanh

- 1+ exH-

2 x,/T)

):[

where xi is given by

xi =

C wij(sj)
L

using the mean-field approximation. From the Hebb's law given in Eq. (5.181, we have
1 wij = a, a,! N 1=1

Therefore from Eqs. (5.74), (5.78) and (5.79), we have

Ignoring the cross terms, which is valid if the number of patterns is stored (L) much less than N, we get

Since aki = f1, and tanh(-x) = -tan&), we get

Solutions of this equation are shown in Figure 5.10. It shows that the solutions for m are the points of intersection of the straight line y = Tx and the sigmoid curve y = tanh(x). If T 2 1, there is only one solution at y = 0. For T < 1, there are three solutions. From Figure 5.10 we can obtain the values of y for different

Feedback Neural Networks

Figure 5 1 Solution of the equation y = tanh (m/T)as points of intersection .0 of y =Tx and y = tanh (x).

temperatures. Figure 5.11 shows the positive value of (s) of Eq. (5.78) as a function of the temperature T . It shows that nonzero solutions to (s) exist only when T < Tc.As T -+ 0,( s ) approaches 1. The critical temperature Tc = 1 for stochastic networks with L << N, since &he crossterms in Eq. (5.80) are negligible under this condition.

Figure 5 1 The positive solution .1

(s)

as a function of temperature.

The above analysis shows that a stochastic network with symmetric weights will have stable equilibrium states, i.e., will satisfy Eq. (5.81), only at temperatures below a critical temperature, provided L<<N. The number of such states is very small compared to N, and the actual number depends on the temperature. But the maximum value of L will be less than 0.138 N, which is the limit for the deterministic case, i.e., for T = 0 [Amit et al, 19871.

Stochastic Networks and Simulated Annealing

175

The maximum number of stable states for a stochastic network is referred to as the capacity of the network. The capacity will be different for different temperatures. Above a critical temperature for any given LIN (See Figure 5.121, the network will not have any stable

0.138

Figure 5.12 The region (shaded) for the existence of stable states for a stochastic network.

equilibrium state and hence cannot be used as memory. The critical temperature is lower for higher values of LIN. For LIN > 0.138, however, there are no stable states for any temperature, including T = 0 [Amit et al, 1987; Hertz et al, 1991, p. 391.
5.4.5

Operatlon of a Stochastic Network

Having seen that a stochastic network exhibits stable states for t e m p eratures below a critical temperature, we shall discuss the operation of a stochastic network for memorizing a given set of patterns. Throughout we assume that L cc N, and that we are operating at temperatures lower than the critical temperature, so that the network has stable states at thermal equilibrium at a given temperature. Given a feedback network with symmetric connections, there exists an energy landscape with a unique value of energy for each state of the network. There are two aspects of the network when used as memory: Designing a network to store a given set of patterns (training) and recalling a pattern stored in the network (recall). To understand these aspects, let us f i s t discuss the operation of a stochastic network in detail. The operation involves monitoring the trajectory of the states of the feedback network and studying the characteristics of the resulting random process in terms of probability distributions of states and the relation of these distributions with the energy.

176

Feedback Neural Networks

Note that the energy landscape is fixed for a given network, as the energy depends only on the output state siof each unit i and on the weights wij on the connecting link between units j and i. The activation dynamics including the asynchronous or synchronous operation and the stochastic update decide the trajectory of the states and hence the traversal along the energy landscape. Since provision for stochastic update is available, the trajectory may move along a path which may include movement to states with higher energies in the energy landscape. Figure 5.13 illustrates the regions for trajectories of states at different temperatures. Note that at T = 0, the trajectory can only

Figure 5.13 Regions of traversal in the energy landscape. The shaded area
indicates region of traversal for a temperature of T,.

slide along the downward slope of the energy and reach a fixed point equilibrium state. Thus at T = 0, there are as many stable states as there are energy minima in the landscape. At higher temperatures there is greater mobility, thus resulting sometimes in a movement towards higher energy states. In such a case all the energy minima regions covered in the region of movement cease to be stable regions. Only regions with deep energy minima are likely to be stable. Thus the number of stable regions decreases with increase in temperature. At a given temperature several trajectories are possible depending on the update at each unit. These trajectories may be viewed as sample functions of a random process. When the temperature is changed, the trajectories correspond to the transient phenomenon during which the random process is nonstationary. Consequently the probability distribution of states changes with time as shown in Figure 5.14 for three time instants (to,t,, t2), where to is the instant at which the temperature parameter is changed, t, is an instant in the transient region and t, is an instant in the steady region after the random process became stationary. Note that the probability distributions may not be related to the energy landscape during the transient phenomenon. But once the thermal equilibrium is reached,

Stochastic Networks and Simulated Annealing

state

state

Figure 5.14 Probability distribution

of states at a given new temperature during transient phenomenon at three instants of time (t2 > tl > to) (a) Energy landscape. (b), (c) and (d) are probability distributions at times to, tl and t2, respectively.

Figure 5.15 Stationary probability

distribution at three different temperatures for a stochastic network (To< Tl <Tz). (a) Energy landscape. (b), (c) and (d) are stationary probability distributions at temperatures T2, Tl and To, respectively, with To = 0.

the stationary probability distribution shows some relation to the energy landscape. In particular, the peaks in the probability distribution correspond typically to deeper valleys of the energy landscape. Figure 5.15 shows the stationary probability distributions a t

178

Feedback Neural Networks

different temperatures. At higher temperatures the probability distribution is more flat, indicating that several higher energy states are also likely with high probability. At T = 0, the probability distribution shows impulses at the states which are fixed stable points and at which the energy is minimum. Probabilities of nonminimum energy states are zero. Moreover, the probability of a state is inversely proportional to the energy at that state. Hence the average energy h at T = 0 is minimum. T e average energy at thermal equilibrium at T + 0 is higher for higher temperatures. This is because the energy landscape is fixed, but the probability distribution of states is flatter at.higher temperatures than at lower temperatures.
5.4.6 Simulated Annealing

From the above analysis we can see that the matching probability distribution of states for a given network gives the lowest average energy at T = 0. When the network is used as a memory to store a given set of patterns, the average error in the recall will be minimum if the probability distribution of t h e given patterns matches the optimal probability distribution of the stable states of the network at T = 0. This can happen only by determining an optimal size of the network and the connection weights. Determination of a suitable architecture and adjustment of the weights are discussed in Section 5.5. But the adjustment of weights or learning involves determining the probability distribution at T = 0 for each presentation of a pattern input, by going through a sequence of temperature values starting from a high temperature to finally T = 0. Thus for each application of a training pattern the network is said to be annealed to obtain the probability distribution matching the energy landscape. To reinforce the given pattern, the weights are adjusted in accordance with the statistics of the outputs of the units collected at the end of the annealing process. The objective is to ultimately shape the energy landscape for the given distribution of the input patterns so as to obtain a low probability of error in the recall. But if the number of patterns to be stored is smaller than the number of energy minima, then during recall the network may settle in a state corresponding to an energy minimum not used for storage. This is called the local minima problem. The existence of local minima may result in an error in the recall, even though the training attempts to match the given distribution of patterns with the energy landscape of tihe network. For recall, when an approximate input is given, the network is allowed to reach an equilibrium state near T = 0, following an annealing process starting from a high temperature. Thia will reduce the effects of local minima and thus reducea the probability of error in the recall. Using the given approximate input as a constraint, we want to arrive at a state

Stochastic Networks and Simulated Annealing

179

that corresponds to a minimum energy of the given network. The information corresponding to the state gives the desired pattern to be recalled. Both training and recall of patterns in a stochastic network use the process of annealing controlled by the temperature parameter. The rate of change of temperature, called annealing schedule, becomes critical in realizing the desired probability distribution of states near T = 0. This process is called simulated annealing CKirkpatrick et al, 19831.
5.4.7 Example of Simulated Annealing

In this section we consider an example to illustrate the ideas of stochastic update, thermal equilibrium and simulated annealing. The example is adapted from [Aleksander and Morton, 19901. For this we take the three unit binary network with symmetric weights shown in Figure 5.7. For each unit, the probability of firing for an activation x is assumed to be

Foreach temperature T a separate state transition diagram can be derived, which indicates the transition from each state to other states. Let us illustrate the calculation of the transition probabilities for one state, say s 1 s s 3= 011. Assuming only one unit is allowed to change at a time, for each unit we can compute the activation value (x - 8 ) using w y sj - 8 . For a temperature T = 0.25, the values of P(l 1 x) , for units 1, 2 and 3 are 0.6, 0.92 and 0.23, respectively. The corresponding probabilities for not firing P(O I x) = 1 - P(llx) are 0.4, 0.08 and 0.77, respectively for the units 1, 2 and 3. A change of state from 011 to 1 1 occurs if the first unit fires. Since each unit can be chosen 1 with a probability of 113, and the probability of unit 1 firing is 0.6, the transition probability from 011 to 1 1 is 0.613. Likewise the 1 transition probability from 011 to 001 is 0.0813 and from 011 to 010 is 0.7713. Since only these transitions are possible from 011, besides self-transition, the probability of self-transition is given by 1 - 0.613 - 0.0813 - 0.7713. The transition probabilities for the state 011 for three different temperatures (T = 0.0, 0.25 and 0.5) are shown in Figure 5.16. It can be seen that in the deterministic case (T = 0) the transitions to the state 001 are not possible because it is at a higher energy level. For nonzero temperature there is a nonzero probability of transition to all possible states including to a state with higher energy value. These transition probabilities get distributed more evenly at higher temperatures. The complete state transition diagram for T = 0.25 shows a transition with nonzero probability from every state to its neighbouring (Hamming distance = 1) states. The transition probabilities for all

Feedback Neural Networks

(a) T = 0.0

(b) T = 0.25

(c) T =1.0

Figure 5.16 State transition probabilitiea for the state 011 at different temperatures. (a) T = 0, (b) T = 0.25 and (c) T = 1.0.

the eight states for T = 0.25 case are shown in the form of a matrix in Table 5.5. Note there are four nonzero entries in each row, indicating the four possible transitions for each state, and these entries in each row add up to 1. Table 5.5 State Transition Probabilities P iIJ) at T = 0.25 for the 3-unit (
Network in Figure 5.7(a)

For a given state transition probability matrix, it is possible to determine the probability distribution of the states (Pi(t)) a t each instant of time t, starting with some assumed distribution at time t = 0. Let us assume equal probability for each state as the initial state probability distribution. That is Pi(0) = l/8 = 0.125, as there are eight states. ( Let P i Ij) be the probability of transition from the state j to the state i. Since each state j occurs with probability Pj(t), the probability of reaching state i in the next i n s t a d from the state j at the current

Stochastic Networks and Simulated Annealing

181

instant is Pj(t) P(i (J). Summing this over all states will give the probability of the state i at the next instant and is given by Pi(t+l)=
j

P,(t)P(iIj),

f o r i = 0,1, ..., 7

(5.84)

In matrix notation the probability distribution of states at time t + 1 is given by ~ (+ t = P P@), 1) where p(t) = [pi(t)lTis a column matrix with the state probabilities as elements, and P = [P(i 1 j]lT, is the transition probability matrix with P(i IJ) as elements. Therefore, (5.85) P(t) = P ~ ( 0 1 , where P i denotes matrix multiplication t times. From Eq. (5.85) the steady probability distribution can be obtained when t + m. Note that the time to reach the steady state depends on the initial state probabilities and the state transition probability matrix. The state transition probability matrix P depends on the temperature T. As the temperature is varied, these transition probabilities also will change. Therefore the steady state probability distribution depends on the temperature, and hence the corresponding steady state is called thermal equilibrium. When the temperature is changed say from T2 to T,, then the network moves from one thermal equilibrium condition to another thermal equilibrium condition after going through a transient phase during which the state probability distribution will be changing. This is illustrated in Table 5.6 for the three unit network example in Fig. 5.7(a). In the table, the notation Pi(t) indicates the probability of the state i (the integer value of the corresponding binary state) at time t. Starting with equal initial probabilities for all the states at T = 1, the probabilities during transient phase are calculated until thermal equilibrium is reached. Thermal equilibrium is indicated when there is no change in the state probabilities for subsequent updating instants. At this stage the temperature is changed to T = 0.25, and the state probabilities are again calculated until thermal equilibrium is reached again. Finally the temperature is set to zero, i.e., T = 0, and the state probabilities are updated until thermal equilibrium is reached. At this stage, we notice that there are only two states with nonzero probabilities, and these probabilities are inversely related to their state energies. These states correspond to the stable states of the network. In general the rate of change of the temperature parameter is critical to arrive at the final stable states after passing through several stages of thermal equilibrium. This rate of change of temperature is called annealing schedule.

'

182
Table 5.6

Feedback Neural Networks

Illustration of State Probabilities during Simulated Annealing for the 3-unit Network in Figure 5.7(a). (Adapted from [Aleksander and Morton, 19901) P,(t)

State Probability P,,(t) Temp. Time t

Boltzmann Machine

5.5 Boltzmann Machine

5.5.1

Problem of Pattern Environment Storage

The relation between probabilities and energies of the stable states suggests that the probability of error in the recall of stored patterns in a feedback neural network can be reduced if the weights are chosen appropriately. If the probability distribution of the given (desired) patterns, called pattern environment, is known, then this knowledge can be used for determining the weights of the network while storing the patterns. The training procedure should try to capture the pattern environment in the network in an optimal way. Boltzmann learning law to be discussed in Section 5.5.3 gives a procedure to accomplish this pattern environment storage in an optimal way for a given feedback network. But first we shall discuss considerations in the choice of a suitable feedback network for the pattern environment storage problem.
5.5.2

Architecture of a Boltzmann Machine

Given a set of L patterns, each pattern described by a point in an N-dimensional space, it is not clear how many processing units would be needed for a feedback network. It may not be possible to store them in a network consisting of N units, if the resulting number of stable states (for a given set of weights) is less than the number of patterns L. That is, the capacity of the network is less than L. Such problems are called hard problems. In general it is difficult to say whether a given pattern storage problem is a hard problem or not for a given network. To be on the safe side, one can add extra units to the feedback network. These extra units are called hidden units, whereas the remaining N units, to which the input patterns are applied during training, are called visible units. A fully connected network consisting of both hidden and visible units (Figure 5.17) and operating asynchronously with stochastic update for each unit is called a Boltzmann machine. Since the steady state probabilities at thermal equilibrium follow the Boltzmann-Gibb's distribution, the network architecture is called a Boltzmann machine [Ackley et al, 19851. Since the network architecture is so chosen that the number of stable states is more than the desired number of patterns, the additional stable states become spurious stable states. Existence of the spurious stable states results in a nonzero probability of error in the recall, even though the network is trained to capture the pattern environment in an optimal way. Pattern recall from a Boltzmann machine uses simulated annealing to reduce the effects of these additional stable states, which correspond to local minima in the energy landscape of the network.

Feedback Neural Networks

0 0

Visible units: 1, 2,3 are input units 6, 7 are output units Hidden units: 4 , 5

Figure 5.17 Illustration of a Boltzmann machine.

A Boltzmann machine can also be used for a pattern association task. This is accomplished by identifying a subset of the visible units with the inputs and the remaining visible units with the outputs of the given pattern pairs. In other words, each input-output pair is considered as a pattern, and these patterns are stored as in the pattern environment storage problem. For recall, the input is presented only to the input subset of the visible units. The output is read out fiom the output subset of the visible units, after the network reached thermal equilibrium at T = 0 using a simulated annealing schedule to reduce the local minima effects. In general a Boltzmann machine architecture can be used for any pattern completion task, in which the stored (input-output) pattern can be recalled by providing a partial information about the pattern.
5.5.3

Boltzmann Learning Law

The Boltzmann learning law gives a procedure to represent a given pattern environment by a Boltzmann machine. The law uses an information theoretic measure to evaluate how well the environment is represented by the network. If a perfect representation is obtained, then there will be as many energy minima as there are desired patterns in the environment. Moreover, these energy minima are inversely related to the probabilities of occurrence of the corresponding patterns in the environment. Normally since only an approximate representation of the environment is accomplished after training, there will be a residual mismatch of the probabilities of the patterns in the environment with the probabilities of the stable states of the resulting network. This mismatch, together with the inevitable existence of spurious stable states, results in some nonzero probability

Boltzrnann Machine

185

of error in recalling the stored patterns. In this section we will derive the Boltzmann learning law based on an information theoretic measure [Gray, 19901. We will discuss the implementation issues in the next section. , Let P +(Va) a = 1,2, ...,L be the probability distribution of the set of given L patterns {Val,where V ais a point in the N-dimensional space. The superscript '+' denotes the desired states and their probabilities for the visible units of the network. Note that Z P+(Va)= 1. During recall it is desirable to have the network settle at one of the Gaining patterns only. Let P-(V,) be the actual probability distribution of the desired patterns at the visible units at equilibrium for a given network. The objective of training is to adjust the weights of the network so that the differencelin the network behaviour for these two probability distributions is negligible. Ideally = one would like to have P +(Va) P -(Va), a = 1,2, ...,L. The distribution P+(Va)corresponds to the desired situation of the states at the visible units and the distribution P-(V,) corresponds to the probability of occurrence of these states when the network is running freely. The difference between these conditions is represented by an error criterion derived based on information theoretic measure [Gray, 19901. The error function is given by

It is easy to show that G 2 0, using the relation log x 2 1 - (Ux). The error function G = 0, only when P+(Va)= P-(VJ. In other words, when G = 0 the given pattern environment is represented by the network exactly. Using the gradient descent along the error surface G in the weight space to adjust the weights, we have

To compute the gradient aGlawij,we will use the following relations for the probabilities and energies of the states:

where Hb is a vector of states of the hidden units, V a is a vector of states of the visible units and (V, A Hb)represents the state of the entire network. P-(.) represents the probabilities of the states when the network is free running. Likewise (5.89) P '(V,) = P+(VaA Hb)

C
b

186

Feedback Neural Networks

where Hb is a vector of states of the hidden units. P+(.)represent the probabilities of the states when the network is forced or clamped with the given patterns as states of the visible units. The energy of the network in the state VaA Hb is given by

where sqb is the output of the unit i when the network is in the state V, A Hh. Since P-(V, A Hb) represents the probability distribution of states a t thermal equilibrium at some temperature T, the probability of the state (V, A Hb) at equilibrium is related to the energy Eab through Boltzmann-Gibbs law as follows:

Therefore,

P-(VJ = 1

Z eb

The gradient &lawY is given by

is since P+(Va) constant for a given pattern environment. We have

From Eq. (5.90) we have

Therefore we get

az

Boltzmann Machine Therefore,

and

P7Vm
mn

Hn)

ST ST

(5.98)

We have the following relations:

Also we know that the probability that the state Hb will occur on the hidden units should not depend on whether the state Va on the visible units got there by being forced by environment or by free running. That is (HbI Va) = -(HbI (5.100) Hence from Eq. (5.991, we get
+

Therefore,

where is the average of the product of the outputs of the units i and j, when the network is clamped and pij = P-(Vm A H,) s" syn

188

Feedback Neural Networks

is the average value of the product of the outputs of the units i and j when the network is free running. The change in the weight is given from Eqs. (5.87) and (5.102) as

where q is a learning rate parameter and T is the temperature at which the equilibrium statistics are computed. This is called Boltzmann learning.
5.5.4

Issues In Implementation of Boltzmann Learning

Discussion on Boltzmann learning: The Boltzmann learning law in Eq. (5.103) is a result of using three principles: (a) Hopfield model with symmetric weights, no self-feedback and asynchronous update, (b) Boltzmann-Gibb's distribution for probability of states at thermal equilibrium under stochastic update of the neurons, and (c) an information theoretic measure for error criterion for matching the probability distribution of the states a t thermal equilibrium with the ' distribution specified for the pattern environment. In the derivation of the law we have implicitly used the features of the Boltzmann machine, namely, the concept of hidden and visible units, stochastic update of the units, thermal equilibrium of the network at each temperature and simulated annealing with a specified schedule for annealing. The final objective is to adjust the weights in a systematic way so that the feedback network will have stable states at the desired input patterns. These states will have energies related to the probabilities of the input patterns through the Gibb's law. Table 5.7 gives a summary of Boltzmann learning law. Table 5.8 lists some of the issues in Boltzmann learning which will be discussed in some detail in this section. The expression in Eq. (5.103) for Boltzmann learning shows that the learning has the local property, namely, the change in the weight connecting the units i and j depends on the values of the variables associated with those units only. It is interesting that the gradient descent along the information-theoretic based error surface leads to this desirable property of a learning law. The terms p; and p i correspond to the terms in a Hebb's learning law. The term p; is the average of the product of the output state values for the units i and j, averaged over all possible states of the network when the visible units of the network are clamped with the patterns to be stored. Thus p+. can be interpreted as correlation between the output values of the itk and jth units. Likewise p j is the correlation between the units when the network is in free running condition. The contribution to the weight change due to p+. can be viewed as Hebbian learning and that due to p i can be viewei as Hebbian unlearning. The second term

Boltzmann Machine
Table 5.7 Summary of Boltzmann Learning Law

189

The objective is to adjust the weights of a Boltzmann machine so as to store a pattern environment described by the set of vectors (Valand their s probabilities of occurrence. These vectors should appear a outputs of the visible units. Let (H,) be the set of vectors appearing on the hidden units. Let P+(Va)be the probability that the outputs o the visible units will f be clamped (indicated by '+' superscript) to the vector Va. Then, P+(Va)= C P+(VaA Hb),where P+(Va Hb)is the probability of the state A
b

of the network when the outputs of the visible units are clamped to the vector Va, and the outputs of the hidden units are H& Likewise the probability that V will appear on the visible units when none , of the visible units are clamped (indicated by '-' superscript) is given by

Note that P+(Va)is given by the pattern environment description, and P-(V,) depends on the network dynamics and is given by

p-(va)= z ~ x P ( - E ~ ~ /.x~(-~,m, z
b
mn

where the total energy of the system in the state Va A Hb is given by

sb refers to the output of the ith unit in the state Va A Hb. : The Boltzmann learning law is derived using the negative gradient descent of the functional

G=
w

Z P'(Va) log [P'(Va)I(P-(Va)l

a

It can be shown that where p i = ZP'(Va AH^) s : ~ s ~p i , = xP-(Va A H ~ ) s ~ ~ s ; ~ ~

ab
ab

The weight updates are calculated according to

The Boltzmann learning law is implemented using an annealing schedule for the network during clamped and unclamped phases of the visible units of the network to determine p and pi, respectively. :

can also be interpreted as a forgetting term. When the two correlations are equal, then we can interpret that the resulting network with the learned weights has absorbed the given pattern environment.

190

Feedback Neural Networks

Table 5.8 Issues in Boltzmann Learning

"l Expression for Boltzmann learning: Aw, = - [ p ; - p i

Significance of p; and p i Learning and unlearning Local property Choice of q and initial weights Implementation.of Boltzmann learning Algorithm for learning a pattern environment Algorithm for recall of a pattern Implementation of simulated annealing Annealing schedule Pattern recognition tasks by Boltzmann machine Pattern completion Pattern association Recall from noisy or partial input Interpretation of Boltzmann learning Markw property of simulated annealing Clamped-free energy and full-free energy Variations of Boltzmann learning Deterministic Boltzmann machine Mean-field approximation In the implementation of the Boltzmann learning law, there are two distinct phases, one for determining pt. by clamping the input pattern to the visible units and the o d e r for determining p i corresponding to the free running condition. In each phase the network is subjected to an annealing process, starting with some high temperature and using an annealing schedule. At each temperature in the schedule the network is allowed to reach thermal equilibrium. The Metropolis algorithm [Metropolis et al, 19531 may be used to arrive at the thermal equilibrium of states at each temperature. The algorithm uses the probability law given in Eq. (5.47) for updating the state of a unit based on the activation value (net input to the unit). The probability law is implemented using a random number uniformly distributed in the interval 0 to 1, and comparing the number with the probability [Binder and Heerman, 19881. If the difference between the generated random number and the computed probability is positive, then the state of the unit is updated to the new value. Otherwise the state is unaltered. This is repeated for each unit selected at random, and for several cycles. Each cycle consists of N iterations, where N is the number of units in the network. After a certain number of cycles the network reaches thermal equilibrium at that temperature. At that stage the temperature is lowered to the next value in the schedule.

Boltzmann Machine

191

At the thermal equilibrium, achieved at the lowest value of the temperature in the annealing schedule, the products sisjare computed for all i and j. This process is repeated for each presentation of an input pattern in the clamped phase. The input patterns are presented one by one several times according to their frequency of occurrence in the pattern environment. find the average of the sis. from all these The same trials. The resulting average value is an estimate operations are repeated on the network in the free running condition for the same number of trials with the same number of cycles at each stage in each trial. The resulting average of sisj gives pi. To start with, the weights are set to some random initial values 1 in the range - to +1, assuming that the state of each unit in the network is either 0 or 1 (binary units). The value of the learning rate parameter q is chosen in the range of 0 to 1, preferably a small value of 0.1. The range of temperatures for annealing also could be from T = 1 to T = 0.1. The weights are adjusted according to Eq. (5.103). The algorithm for implementing the Boltzmann learning law is given in Table 5.9.

04~;.

Table 6 9 Boltzmann Machine Learning Algorithm for Binary Units

Clamp one training vector to the visible units. Anneal until equilibrium is reached at desired minimum temperature. Continue to run the network for several processing cycles. ARer each cycle determine the connected units whose states are '1' simultaneously. Average the cooccurrence results from Step 3. Repeat Steps 1 to 4 for all training vectors to get p;. Unclamp the visible units, and anneal until equilibrium at the desired minimum temperature Continue to run the network for several processing cycles. ARer each cycle determine the connected units whose states are '1' simultaneously. Average the cooccurrence results from Step 7. Repeat Steps 6 to 8 for the same number of times as in Step 5 to get Pw Calculate and apply the appropriate weight changes. Repeat Steps 1 to 10 until p: - p i is sufficiently small. To recall a stored pattern, the given partial input is clamped to the appropriate visible units, and the network is subjected to an annealing process according to a schedule to reach thermal equilibrium at the minimum temperature. The output state of the visible units at this stage corresponds to the pattern to be recalled. Table 5.10 gives an algorithm for recalling a stored pattern. The Boltzmann learning is a very slow process, since a large number of cycles are needed to obtain suflticient amount of data to estimate the desired averages p; and p i reasonably well. The learning

192

Feedback Neural Networks

Table 5.10 Boltzmann Machine: Recall from Partial Input

1.
2.

3.
4. 5.

6.

7. 8. 9.

Force outputs of visible units to specified initial input binary vector. Assign unknown visible units and hidden units to random value (0, 1). Select a unit k at random and calculate the activation value xk. Assign the output sk = 1 with probability V(l + e - * h R ) . Repeat Steps 3 and 4 until all units have a chance to update (one processing cycle). Repeat Step 5 for several processing cycles until thermal equilibrium is reached at the temperature T. Lower T and repeat Steps 3 to 6 . Once the temperature has been reduced to a small value, the network will stabilize. The final result will be the outputs of the visible units.

rate parameter 7 should be small in order to take care of the inaccuracies in the estimates of these averages. If 7 is large, then there is a possibility of taking a large step along a wrong direction due to a p proximation in the computation of the gradient of the error measure. But a small value of 7 further slows down the learning process. Success of annealing in the learning process critically depends on the annealing schedule. The probability distribution of the states converges asymptotically to the distribution corresponding to the the minimum average energy value, pro~ided temperature at the kth step in the annealing schedule satisfies the followi~ig inequality [Geman and Geman, 1984; Aarts and Korst, 1989; Salamon et al, 19881:
T ''

where T , is the initial high temperature. This annealing schedule is too slow for implementation in practice. Several ad hoc schedules were suggested to speed up the process of annealing. One such method uses Tk= T J 1 + k),\which is known as fast annealing schedule or a Cauchy machine [Szu, 19861. But there is no proof of convergence towards the minimum average energy value in these ad hoc methods. Boltzmann machine can be used for recalling a stored pattern from partial input, by clamping the known input at the corresponding visible units. This is called pattern completion task. Boltzmann machine can also be used for pattern association task. In this case the visible units are split into two parts, one part corresponding to the input pattern and the other to the output pattern. During training both the input and output patterns are given as a pair to the visible units. Thus all the given pattern pairs are used in the training. While recalling, the input part of the visible units are clamped and the recall is implemented as in the pattern completion task. The state at the output part of the visible units gives the associated pattern.

Boltzmann Machine

193

It is also possible to recall a pattern from a noisy version of it. In this case the noisy input pattern is presented initially to the visible units and subsequently the network is allowed to anneal as in a free running condition. The initial presentation of the noisy input pattern will bias the state of the network towards the true state and the annealing process will be helpful to overcome the local minima states to reach the deep minimum corresponding to the stored pattern. In the operation of the Boltzmann machine the state of the network due to a transition depends on the previous state only and not on the states prior to the previous state (See Eq. (5.84)). This is called Markov property of the simulated annealing [van Laarhoven and Aarts, 1988; Haykin, 1994, p. 3161. Note that the transition probabilities are derived assuming a probability distribution for the update of the state of a unit and using an asynchronous update in which only one unit is considered at a time for updating. The probability distribution of the states of the network at a given instant together with the transition probabilities will enable us to determine the probability distribution of the states at the next instant in the simulated annealing process (See Eq. (5.84)). This Markov property will eventually lead to a stationary probability distribution of the states at thermal equilibrium. Moreover, the stationary probability distribution in turn is related to the energy distribution of the states through the Boltzmann-Gibb's law. The Boltzmann learning law can be interpreted in terms of the energy and probability distribution of the states as follows: Let the partition function Z be expressed as

where F is the free energy of the system. Then we have from Eqs. (5.65) and (5.72)

F
and

- T log2

Let

Zadamped =

Z eb

and Zunclamped2 e=
ab

Then

194

Feedback Neural Networks

where F a is the clamped free energy, i.e., the free energy when the visible units are clamped with the state Va. The error function G of Eq. (5.86) can be written as G = Go-

C P +(Va)log P -(Va)
a

where Go = C P+(Va)logP+(Va) is independent of the network parameters su%has weights. Therefore, from Eqs. (5.108) and (5.109) we get

where F a is the average clamped free energy and F is the full free energy [Hertz et al, 1991, Appendix]. We can show that (See Problem 5 in Ch. 5)

Therefore.

where p i and p i are given by Eqs. (5.111) and (5.107), respectively. Thus we can view the error function (G - Go) as the difference between the average clamped free energy and the full free energy. The full free energy will be lower since under free running condition the energy landscape is perfectly matched to the probability distribution of states at thermal equilibrium through the Gibb's law. In the clamped condition the stationary probabilities do not match the energy landscape perfectly due to the constraint of the clamping. Note that the energy landscape depends on the connection weights and states of the network. Computation of the average values of the correlations requires a very large number of iterations in the Boltzmann learning law. The implementation of the Metropolis algorithm by Monte Carlo method [Binder et al, 19881 for state update, together with the simulated annealing according to an annealing schedule, results in an extremely slow learning of the Boltzmann machine. A fast learning procedure is to simply run the machine only at zero temperature. This is called deterministic Boltzmann machine [LeCun, 19861. This has the

Boltzmann Machine

195

disadvantage of getting stuck in shallow minima. Consequently, the pattern environment cannot be exactly matched with the network. A better approach for learning which retains some of the advantages of the stochastic nature of the network is called mean-field annealing [Peterson and Anderson, 19871. In the mean-field annealing the stochastic nature of the neurons is replaced by mean values of the outputs of the units. That is, according to the Eq. (5.78) for bipolar units we have

(si)= tanh (ZIT)

=

tanh

-c rii

u ,( s j ) i

We get one such nonlinear equation for each unit i. These equations are solved using iterative methods. This, combined with the annealing process, can be used to obtain the average correlation values at thermal equilibrium at the minimum temperature. The average correlation values become the product of the individual average values. That is,

The mean-field approximation minimizes the mean-field free energy, given by [Hinton, 19891

where F t f is the mean-field energy when the visible units are clamped and Fmf is the mean-field free energy under unclamped conditions. Using gradient descent, the weight update using the mean-field approximation is given by

which is the Boltzmann learning law with the average correlations replaced by the average values for each unit. Table 5.11 gives an algorithm for implementing the mean-field approximation to Boltzmann learning. The mean-field approximation results in 10-30 times speed up of the Boltzmann learning, besides providing somewhat better results [Peterson and Apderson, 19871.

196

Feedback Neural Networks

Table 5.11 Algorithm for Mean-field Approximation fbr Boltzmann Learning

1. Initialize the weights to some random values uniformly distributed in the range f1. 2. Clamp the units with a given pattern. Starting at some high temperature, the network is subjected to an annealing process using each time the mean-field values (s,). The mean-field value is computed using the recursive formula

3. At the final minimum temperature compute the correlations

4. Likewise compute the correlations p i in the free running case

5. Compute the weight update using the Boltzmann learning law:

where q is learning rate parameter. 6. Repeat Steps 2 to 5 until convergence of weights.

5.6 Summary
Feedback neural networks are used mainly for pattern storage tasks. In this chapter we have given a detailed analysis of simple feedback networks for storing a set of patterns. Associated with each state of the network is an energy value. The key idea in pattern storage by feedback networks is the formation of basins of attraction in the energy landscape in the activation or output state space. The Hopfield conditions for formation of suitable energy landscape are discussed. In order to store a set of patterns in a feedback network with hard-limiting threshold units, a set of inequalities have to be satisfied by the weights connecting the units. Thus there may be several solutions for the weights satisfying the inequalities. The resulting energy landscape may have additional false minima corresponding to patterns not designed for storage. This happens if the storage capacity of the network is higher than the number of patterns required to be stored. The presence of false minima will increase the probability of error in recall of the stored pattern. The effect of false minima is reduced using stochastic units instead of deterministic units. Analysis of stochastic neural network is based on the concepts of thermal equilibrium and simulated annealing. These concepts are used for traversal along an energy

Review Questions

197

landscape to reduce the effects of false minima during recall of stored patterns. To reduce the probability of error in recall, the weights of a feedback network are adjusted using the knowledge of the patterns as well the probability distribution of these patterns. Loading of the pattern environment is accomplished in a feedback network with stochastic units using Boltzmann learning law. The learning law, derived based on an information theoretic criterion, involves only local computations, and is implemented using simulated annealing according to a temperature schedule. Boltzmann learning law is too slow for implementation in any practical situations involving pattern environment storage. For practical implementation, an approximation in the form of mean-field annealing is used. While there is no guarantee for solution, mean-field annealing has been applied in several applications, especially in optimization problems. Some of these applications will be discussed in Chapter 8.

Review Questions
1 Distinguish between autoassociation, pattern storage and pattern . environment storage tasks. Give examples for each task. 2 What is the significance of the nonlinear output function of the . units in feedback neural networks? 3 Explain the meaning of activation state and energy landscape of . a feedback network. 4 What is meant by capacity of a feedback network? . 5. What is the Hopfield model of a neural network? 6. Explain the differences between discrete and continuous Hopfield models in terms of energy landscape and stable states. 7. What is a state transition diagram for a feedback network? Explain how to derive it for a given network. 8. What are hard problems in pattern storage task? 9. How to solve the hard pattern storage problems? 1 . Explain with the help of a state transition diagram the meaning 0 of stable states and false minima. 11. Eow to overcome the effects of false minima? 1 . What is the significance of hidden units in a feedback network? 2 1 . What is meant by stochastic update of a neuron? 3 14. Explain the concept of equilibrium in stochastic neural networks. 15. Explain the meaning of stationary probability distribution at thermal equilibrium. 16. What is the significance of Gibb's distribution?

198

Feedback Neural Networks

17. What is meant by stability in the case of stochastic neural networks? 1 . Show the probability function for update of a neuron for different 8 temperatures. Explain the significance of the temperature parameter. 1 . Discuss the behaviour of trajectories of the states during the 9 transient portion when temperature is changed. 2 . Discuss the behaviour of stationary probability distributions of the 0 states at different temperatures in relation to the energy landscape. 21. Explain the behaviour of a stochastic neural network at thermal equilibrium with reference to Brownian particle motion. 2 . Explain how to derive the state transition diagram for a 2 stochastic neural network. 2 . What differences will you observe in the state transition 3 diagrams at two different temperatures? 2 . Describe a bouncing ball analogy for the dynamics of a stochastic 4 neural network. 2 . What is meant by capacity of a stochastic neural network? How 5 does it vary for different temperatures? 26. What is meant by simulated annealing? What is annealing schedule? 2 . Describe the Boltzmann machine. 7 2 . What is the basis for Boltzmann learning law? 8 2 . What is the significance of the Boltzmann learning law given by 9 Eq. (5.103)? 30. Distinguish between clamped and free running conditions in a Boltzmann machine during learning. 3 . Explain the implementation details of the Boltzmann learning law. 1 3 . Explain the implementation details of recall of patterns in a 2 Boltzmann machine. 33. How to perform the following tasks by a Boltzmann machine? (a) Pattern completion (b) Pattern association (c) Pattern recall from noisy input. 34. What are the limitations of the Boltzmann learning? 3 . What is a Cauchy machine? 5 3 . What is the Markov property of the simulated annealing process? 6 3 . What is meant by full free energy and clamped free energy in a 7 Boltzmann machine?

Problems

199

38. How do you interpret the Boltzmann learning in terms of full free energy and clamped free energy? 39. What is mean-field approximation to Boltzmann learning? 40. What is meant by deterministic Boltzmann machine?

Problems
1 .
2.

3 .
4. 5.

Derive the Murakami result in Eq. (5.12) for autoassociation task. Show the result of Hopfield analysis, i.e., AV I 0, for a feedback network with binary (0, 1) units. Draw a state transition diagram for a 3-unit model with bipolar (-1, +1) units. Using the Eqs. (5.65) and (5.69), derive the result in Eq. (5.70). Show that (See Eqs. (5.72), (5.107), (5.108) and (5.111))

are the full free energy and the clamped free where F and energy of the Boltzmann machine. 6. Derive the expression for hi. for the mean-field approximation of the Boltzmann learning. (dee Bertz et al, 1991, p. 1721.) 7. Show that the information theoretic measure G 2 0. (See Eq. (5.86)) 8 Derive the complete state transition diagram for the 3-unit . network given in the Figure 5.7(a) for a temperature of T = 1.0. 9. For a 5-unit feedback network the weight matrix is given by
'

Fa

Assuming that the bias and input of each of the units to be zero, compute the energy at the following states.
10. A 3-unit feedback network has the weight vector given by

Compute the gradient vector VV and the Hessian matrix V2v for the energy function of the network.

200

Feedback Neural Networks

1 . Consider the representation of each of the ten digits (0, 1, ..., 9) 1 by a matrix of 10 x 10 elements, where each element is either 1 or -1. Design a Hopfield network of 100 units to store these digits. Study the performance of the network for recall of digits if 10% of the elements are randomly switched. (See [Haykin, 1994, p. 2971.) 12. Comment on the capacities of the following networks:
(a) Feedforward neural network
(i)linear units C 5 M (dimensionality of the input)

(ii) nonlinear units C = 2M for large M (See p e r t z et al, 1991, pp. 111-1141). (b) Feedback neural network with N units (See Hertz et al, 1991, p. 39) C = 0.138N for large N
(c) Hamming network (See Hint for Problem 3 in Chapter 8 and [:F(ung,1993, p. 611)

c=

2pM,

p51.

Chapter 6

Competitive Learning Neural Networks.

6.1 Introduction
In this chapter we consider pattern recognition tasks that a network of the type shown in Figure 6.1 can perform. The network consists of an input layer of linear units. The output of each of these units is l given to a l the units in the second layer (output layer) with adaptive (adjustable) feedforward weights. The output functions of the units in the second layer are either linear or nonlinear depending on the task for which the network is to be designed. The output of each unit in the second layer is fed back to itself in a self-excitatory manner and to the other units in the layer in an excitatory or inhibitory manner depending on the task. Generally the weights on the connections in the feedback layer are nonadaptive or fixed. Such a combination of both feedforward and feedback connection layers results in some kind of competition among the activations of the units in the output layer, and hence such networks are called competitive learning neural networks. Different choices of the output functions

Output layer with on-centre and off-surround connections

Input layer
Figure 61 . A feedforward and feedback structure. The feedforward weights are adaptive and the weights in the feedback layer are fixed.
201

202

Competitive Learning Neural Networks

and interconnections in the feedback layer of the network can be used to perform different pattern recognition tasks. For example, if the output functions are linear, and the feedback connections are made in an on-centre off-surround fashion, the network performs the task of storing an input pattern temporarily. In an on-centre off-surround connection there is an excitatory connection to the same unit and inhibitory connections to the other units in the layer. But such a network is of theoretical interest only, as there are few occasions where one needs to store a pattern temporarily in this manner. On the other hand, if the output functions of the units in the feedback layer are made nonlinear, with fixed weight on-centre off-surround connections, the network can be used for pattern clustering. The objective in pattern clustering is to group the given input patterns in an unsupervised manner, and the group for a pattern is indicated by the output unit that has a nonzero output at equilibrium. The network is called a pattern clustering network, and the feedback layer is called a competitive layer. The unit that gives the nonzero output at equilibrium is said to be the winner. Learning in a pattern clustering network involves adjustment of weights in the feedforward path so as to orient the weights (leading to the winning unit) towards the input pattern. If the output functions of the units in the feedback layer are nonlinear and the units are connected in such a way that connections to the neighbouring units are all made excitatoly and to the farther units inhibitory, the network then can perform the task of feature mapping. The resulting network is called a self-organization network. In the self-organization, at equilibrium the output signals from the nearby units in the feedback layer indicate the proximity of the corresponding input patterns in the feature space. A self-organization network can be used to obtain mapping of features in the input patterns onto a one-dimensional or a two-dimensional feature space. Table 6.1 shows the organization of the topics to be discussed in this chapter. First a detailed discussion on the components of a competitive learning network is given in Section 6.2. In particular, we will discuss the input layer, a single instar network and a group of instars. We will also discuss the learning laws for an instar and the activation dynamics of the feedback network. We will show that, with some variation of the learning for the instar networks, one can obtain the principal component analysis learning networks. In Section 6.3 an analysis of the combination network with linear units in the feedback layer is presented to show the short time memory nature of the pattern recognition task performed by such a network. In this section the significance of different nonlinear output functions of the units in the feedback layer is also discussed. An analysis of the competitive learning network for pattern clustering is given in Section 6.4. Some applications of the pattern clustering networks are

Components of a Competitive Learning Network

203

Table 6.1 Pattern Recognition Tasks by Feedforward (FF) and Feedback (FB) ANN (Competitive Learning Neural Networks)

Pattern storage (STM) Architecture: Two layers (input and competitive), linear processing units Learning: No learning in FF stage, fixed weights in FB layer Recall: Not relevant Limitation: STM, no application, theoretical interest To overcome: Nonlinear output function in FB stage, learning in FF stage Pattern clustering (grouping) Architecture: Two layers (input and competitive), nonlinear processing anits in the competitive layer Learning: Only in FF stage, Competitive learning Recall: Direct in FF stage, activation dynamics until stable state is reached in FB layer Limitation: Fixed (rigid) grouping of patterns To overcome: Train neighbourhood units in competition layer
Feature map Architecture: Self-organization network, two layers, nonlinear processing units, excitatory neighbourhood units Learning:Weights leading to the neighbourhood units in the competitive layer Recall: Apply input, determine winner Limitation: Only visual features, not quantitative To overcome: More complex architecture

also discussed briefly in this section. A detailed analysis of the self-organization network is given in Section 6.5. Several examples of feature mapping are given in this section to illustrate the significance of the concept of self-organization.
6.2 Components of a Competitive Learning Network

A competitive learning network consists of an input layer with linear units, a group of instars forming a feedforward portion of the network and a feedback layer with linear or nonlinear units. In this section we discuss each of these components in some detail.
6.2.1

The Input Layer

The purpose of this layer is to distribute the given external input pattern vector to the feedforward portion of the network. But in general the input vectors may be of varying magnitude, even though they may contain the same pattern information. Moreover, for any processing by a unit, it is necessary to have the inputs bounded to

204

Competitive Learning Neural Networks

some limits. In an on-line situation, the input layer should not feed background noise to the feedforward portion of the competitive learning network. The so called noise-saturation dilemma (discussed in Chapter 2) for input vectors can be handled by feeding the actual inputs from the environment to a layer of input processing units as shown in Figure 6.2. A shunting activation model with on-centre

Input layer

External input

Figure 6.2 Input layer with M processing units, showing a few connections with external inputs.

off-surround configuration takes care of the noise-saturation. problem of the input layer, and is given by (see Eq. 2.18)

As shown in Chapter 2, the steady s';ate activation value of the ith unit is given by

where
M

and all the inputs (Ii) are nonnegative. The above equations show that in the steady state the activation value of the ith unit is confined to the range [-C, Bl. The output function of these units is assumed to be linear for x > 0. That is

The output of the units will be zero as long as the inputs Ii c CII(B + C). That is, the input should be greater than some minimum

Components of a Competitive Learning Network

205

value before it can make the activation of the unit positive. Thus the units in the input layers do not respond to noise input, if the noise amplitude is below some threshold value. Therefore the input to the feedforward portion is always positive and is limited to a maximum value of B. Thus this input layer not only normalizes the input data valdes, but also takes care of the noise-saturation problem with an on-line input data.
6.2.2 The lnstar

Each unit in the feedback layer receives inputs from all the input units. A configuration where a unit receives weighted inputs from several units of another layer i s . called an instar, as shown in and w = (wl, w2, ..., wM)~ the be Figure 6.3. Let x = (xl,x2, ...,xM)~

Figure 6.3 An instar configuration.

input and weight vectors, respectively. The net input to the instar processing unit is given by wTx. The activation dynamics of the instar processing unit is given by the following additive model with a passive decay term and the net input term:

where we have assumed the decay constant to be 1. The solution of this equation is y(t) = y(0) e-' + s x (1-e-t) (6.5) The steady state activation value is given by which will be zero when the external input x is removed.
6.2.3 Basic Competitive Learning

The steady activation value with an external input depends on the angle between the input and weight vectors as shown in Figure 6.4. For the instar to respond maximally for a given input vector x, the weight vector is moved towards the input vector. The adjustment of

Competitive Learning Neural Networks

Figure 6.4 Illustration of adjustments of weights in instar

the weight vedor is governed by the following synaptic dynamics equation (see Eq. 2.40) where fly) is the output of the instar processing unit. In discrete implementation the change in the weight Aw(t) is given by where 7 is a learning rate parameter. For binary output function,

f i ) 1 or 0. Therefore the weights in the instar are adjusted only =

when the output of the instar processing unit is 1. The increment in the weight is given by Aw(t) = 7 [X- w(t)I The updated weight is given by (6.9)

This shows that the weight vector is adjusted in such a way that it is moved towards the input vector to reduce the angle between them as shown in Figure 6.4. This adjustment is repeated several times for a given set of input patterns. When the weight vector reaches an average position, the weight adjustment will be such that the average movement around the weight vedor will be zero. That is

Therefore the weight vector w will be equal to the average of the set of input vectors. An individual instar responds to a set of input vectors, if it is trained to capture the average behaviour .of the set. Generally the input patterns may fall into different categories. More than one instar, i.e., a group of instars (Figure 6.5), can be used to capture the average behaviour of each of the different categories of the input patterns. One instar may 'be trained to each category of the input patterns, so that the corresponding processing unit responds maxi-

Components of a Competitive Learning Network

Figure 6.5 A group of N instars.

mally when an input vector belonging to that category is given to the common input layer of the group of instars. Typically, the number ( N ) of instars corresponds to the number of different categories of the input patterns. The category of an input vector can be identified by obselving the instar processing unit with maximum response.
Plain Hebbian learning: With linear output function for the instar processing unit, i.e., f i ) y, one possibility is to make the output y = to be a scalar measure of similarity. That is, for the given input vector x, the weights should be adjusted to give a large output y, on the average. For this, if we use the plain Hebbian learning, we get (6.12) Awi = 11 y xi

where 1 is the learning rate parameter. In this case the weights keep 1 growing without bound. That is, the weights never converge, which is equivalent to saying that on the average the weight change will not be zero. This can be proved as follows: Taking the expectation to compute the average, we get

where it is assumed that the weight vector is statistically independent of the input vector. Therefore the average change in the weight vector is given by
&[Awl = 11 R w (6.14)

where Aw = (Awl,Aw2,..., AwMIT, and R = &[xxT] is the autocorrelation matrix of the input vectors. R is positive semidefinite, since for any vector a, we have

Therefore R will have only positive eigenvalues. The weight vector converges if &(Aw) = 0. Then Eq. (6.14) states that for convergence R w = 0. This means that the resulting weight vector is an eigenvector

208

Competitive Learning Neural Networks

with zero eigenvalue, which is not a stable situation, since R has positive eigenvalues. Any fluctuation of the weight vector with a component along an eigenvector of R will result in a weight vector which would grow eventually, and the component along the eigenvector with the largest eigenvalue will dominate. This can be shown as follows: Taking the projection of the average change of the weight vector onto one of the eigenvectors qi of R, we get
~ ; & [ A W ]= q

~TRW

(6.16)

This will be nonzero if w is the eigenvector q , since Rq, = hiq, and , the eigenvedors (q,)are orthonormal. Therefore we have

This projection in turn is maximum when qi is the eigenvedor wo corresponding to the maximum eigenvalue La,. Therefore we have
&[Awl = q R w , = q & wo , (6.17)

According to Eq. (6.17) the average change of the weight will be dominated by the component along the eigenvector with maximum eigenvalue. The norm of w will increase without bound, because

Starting with an initial value of the weight w ( 0 )= 0, and determining the value of the weight at each time instant, we get from Eq. (6.18) (6.19) w ( m ) = m rl Lax w0 Thus, with plain Hebbian learning, there will be only unstable weight values.
Oja's rule: The divergence of the plain Hebbian learning can be

prevented by constraining the growth of the weight vector w. One way of doing this is by normalizing the weight 1) w (1 = 1 at every stage after adjustment. Another method, called Oja's rule, uses a decay term proportional to y2 in the synaptii dynamics equation. Then the weight update in Eq. (6.12)is modified as

In this case the change in the weight depends on the difference between the actual input and the back propagated output (ywi).The weight vector will eventually align with the eigenvector of R corresponding to the largest eigenvalue [Oja, 19821. If R is a covariance matrix, i.e., R = E[(x - p)(x - p)?, u = &[XI, then the final weight vedor will be along the largest

Components of a Competitive Learning Network

209

principal component passing through the origin (Figure 6.6a) [Hertz et al, 1991; Haykin, 19941. See Appendix E for details of principal component analysis. If R is only an autocorrelation matrix, the final weight vector will still be along the largest principal eigenvector, passing through the origin (Figure 6.6b). But in the later case the choice will not be optimal in the sense that the projection of the set of input vectors on the weight vector will not be the least as in the case of the covariance matrix. In both cases the weight vector will settle to the normalized value II w 11 = 1.

w(-)%

.. . . . . . . . . . w(0) . . .... .o.... . . . XI .

2

(a) 03) Figure 6.6 Illustration of @a's rule for training instar. The training data consists of vectors in 2-D space, represented as dots. The line from w(-) to w(-) is the trajectory of the weight values. The final weight represents direction of maximum variance of the input data as shown in (a). But in (b) the direction of maximum variance is the average of the input data vectors [Adapted from Hertz et al, 1991, p. 2011.

Oja's rule finds a unit weight vector which maximizes the mean squared output E[y21. For zero-mean input data, this becomes the first principal component. In order to obtain the first p principal components, one can have a network with p instars. Two learning laws for this feedforward network are given by [Sanger, 1989; Oja, 19891
Sanger's rule:
i

, i
Oja's p-unit rule:

1 , 2,..., p

(6.21)

In both the cases the weight vectors wi converge to orthogonal unit vectors. With Sanger's rule, the weight vectors become exactly the

210

Competitive Learning Neural Networks

first p-principal component directions in order, whereas with Oja's p-unit rule, the p weight vectors converge to span the same subspace as the first p eigenvectors, but the weight vectors do not correspond to the eigenvectors themselves. Table 6.2 gives a summary of the learning algorithms for the principal component analysis.
Table 6.2
Summary of Learning Algorithms for Principal Component Analysis Networks

Consider a group ofp instara, with all the units having linear output function. Let R be the covariance matrix of the input vectors. That is R = &[(x p)(x - p)T, p = &[XI. Output of each unit M

y , ( m ) - x zuo(rn)xj(m), i = l , 2,..., p
i=l
a

Plain Hebbian learning for ith instar

AWiJ@)

= rl u,(m)nJ@)

Weight vector wi converges to the direction of the first principal component but is unbounded. Oja's rule for ith instar
AW,(m) = rl Yi(m)[n,(m)-yi(m) ~$41

Weight vector wi converges to the direction of the first principal component of R. Oja's p-unit rule for p instars

Weight vectors converge to p orthogonal vectors which span the same space as the fvst p principal components of R. Sanger's rule or Generalized Hebbian rule for p instara

Weight vectors converge to the first p principal component directions of R.

6.2.4

Feedback Layer

As mentioned earlier, in the arrangement of a group of instars, the category of an input vector can be identified by observing the instar processing unit with maximum response. The maximum response unit can be determined by the system itself if the outputs of the instar processing units are fed back to each other.

Analysis of Feedback Layer for Different Output Functions

211

If the processing units of a group of instars are connected as an on-centre off-surround feedback network, as shown in Figure 6.7, then

Feedback layer

Input layer

Figure 6.7 Arrangement of group of instara with output u i s connected in nt

an on-centre off-surround manner.

the feedback layer is called a competitive layer. In this layer there is an excitatory self-feedback to each unit, and an inhibitory feedback from a given unit to all other units. The excitatory feedback is indicated by a positive (+) weight, and the inhibitory feedback is indicated by a negative (-1 weight. Generally these weights are fixed a priori. The nature of the output function of the instar processing units will determine the behaviour expected from such a competitive layer. The pattern recognition tasks for different output functions will be discussed in the next section. Figure 6.8 shows the complete competitive learning network we have discussed so far in this section.

Feedback layer

Input layer

Input vector

Figure 6.8 The complete competitive learning network structure.

6.3 Analysis of Feedback Layer for Different Output Functions

6.3.1 Pattern Storage (STM) Networks

Earlier in Chapter 5 we have discussed the pattern storage networks

212

Competitive Learning Neural Networks

which are fully connected feedback networks with symmetric weights. The pattern information is captured in the weights of the network, and the pattern storage is due to the existence of stable activation states in the feedback network. The pattern storage in such cases is permanent, in the sense that the patterns are available, and they can be recalled from the network as long as the weights are fixed. This type of storage can be viewed as long-term memory (LTM). In contrast, we have seen in Section 6.2.1 that in an on-centre off-surround feedforward network connection (Figure 6.2), the output disappears when the input is removed. The pattern is present in the activation values of the units, and the pattern disappears once the input is removed. Thus the availability of the pattern is purely temporary in such a case. In this section we will study a pattern storage network where the pattern is present even if the input pattern is removed, as long as the network is not disturbed by another external input. Note that in this case the pattern is stored in the activation valuesef a feedback layer, and the activation values remain stable due to feedback. This type of storage is called short-term memory (STM). The existing pattern information disappears if there is an external input due to another pattern, since the new input changes the stable activation values to the ones corresponding to the new pattern. The three types of pattern storage networks are illustrated in Figure 6.9.

Figure 6.9 Different pattern storage networks: (a) Temporary storage, (b) Shortterm memory and (c) Long-term memory.

6.3.2

Analysis with Linear Output Functions

To analyze the pattern storage network corresponding to the shortterm memory, we will use the notation shown in Figure 6.10 for the feedback network. The input is fed in an on-centre off-surround type

Analysis of Feedback4 Layer for Difirent Output Functions

213

1,

1,

ZY

Figure 6.10 Pattern storage network with linear units in the feedback layer.

connection to provide normalized input to the units in the feedback layer. The units in the feedback layers are all linear. That is the output functions of the feedback units are given by f (x) = x . The analysis presented in this section is adapted fmm [Freeman and Skapura, 19911. The activation dynamics is described by the following shunting model within an operating range [O, Bl (See E . (2.20)): q

The passive decay term is given by - Axi and the quantity Hzi)+ Iil is the total excitatory input to the ith unit, and the quantity Z .fixk) + JZ 1.I,] is the total inhibitory inputMto the ith unit. Summing [,#I + the expression for xi over i and using x =iXlxi, we get

Let xi = x Xi. Then

xi = % X i + % X i
Using the Eq. (6.23) to (6.25) we get

x x i = xi-%Xi

214 Therefore,

Competitive Learning Neural Networks

flXxi)-x,xfixk)B +
k

I ~ - B ~ ~ G (6.26)
j

Let f(y) = y g(y). Substituting this for f(y) in

Eq. (6.26), we get

= B x & x X k [ g ( x X i ) - g ( x X k ) ] + B I i - B X i x, 1
k
j

(6.27)

since

Xkg(x Xi) = g(x Xi) Xk = g(x Xi). For a linear output function, i,e., fCy) = y, we get g(y) = 1. The first term in the expression for xXi will become zero. Therefore xxi = B1,-Bq In the steady state xi = 0, and hence

x I,
j

Thus the steady normalized activation values of the units in the feedback layer correspond to the normalized input patterns. Figure 6.11 shows the performance of the feedback layer with linear processing units. Figure 6.11a shows the linear output function and Figure 6.11b shows the steady normalized activation values. If the inp.ut is removed, i.e., Ii = 0 for all i, then from Eq. (6.28) we get xXi = 0. This shows that for nonzero x, Xi = 0. That is Xi = xjx = constant, and the activation values are determined by x alone. When Ii = 0, for all i, we also get from Eq.(6.24),

In the steady state and for nonzero x, since x = 0, we get x = B- A = constant (6.31)

Thus both x and Xi are constant. That means xis are constant. That is, the steady state activation values will remain at some fixed, nonzero values even after removal of the input. The steady state values remain until they are disturbed by another set of input values. Thus the pattern stored can be viewed as short-term memory. Figure 6 . 1 1 ~ illustrates the performance of the feedback layer with linear processing units, when the input values are set to zero.

Analysis of Feedback Layer fir Difirent Output Functions

215

(a) Linear output function f i ) z =

21
XI

32

Output

11
input Ex"rnd

Zi

ZU

11= 0

Z =0 i

ZU = 0

(b) Steady state pattern with external input

(c)Steady state pattern after setting the external input to zero

Figure 6.11 Performance of feedback layer with linear processing units

[Adapted from Freeman and Skapura, 19911.

6.3.3

Anaiysls with Quadratic Output Functlons

The analysis presented in this section is adapted from [Freeman and Skapura, 19911. In this section we will discuss the behaviour of the competitive learning network of the type .in Figure 6.10 with nonlinear processing units in the feedback layer. In particular, let us consider the quadratic output function f i ) = y2. Then substituting . l for g(y) = f i ) y = y in the expression for xXi in Eq. (6.27), we get

B X X ~ ~ X X ~ C Y , - X ~ ) + B4 ~ - B X (6.32) I ,~
k
j

If Xi > Xk for k

+ i, then the h

t term is always positive, and hence

216

Competitive Learning Neuml Networks

'

it becomes an excitatory term. In this case the network tries to enhance the activity Xi. If Xi cXk, for k + i, then the first term is negative and hence it becomes an inhibitory term. In this case the network tries to suppress the activity Xi. Thus the largest Xi, say when i = j, will get enhanced in the steady state as shown in Figure 6.12b. For the intermediate cases, where (Xi - Xk) is greater than zero in some cases and less than zero & some other cases, the steady state values will be in between the maximum and zero values. When the input is removed, i.e., Ii = 0 for all i, the steady state value of Xi is given by setting xXi = 0 in Eq. (6.32) and x = 0 in Eq. (6.24). That is (6.33) x xk -xk) 0 (xi =

C
k

and - ~ + ( B - x ) ~ ( x x ~ ) ~ = 0
k

(6.34)

Eq. (6.33) gives Xi =

CX; = q 2 +kXi x f k
#

(6.35)

since $Xk = 1. From Eq. (6.35) the only nonzero solution for Xi is Xi = 1, and Xk = 0, for k + i. Likewise from Eq. (6.34) above, we get

This shows that the total activation x is bounded by B, since A and B are positive. The above analysis shows that when the input is zero, in the steady state only one of the units is activated to the maximum value of xi, which is equal to the total activation value x, as shown in The maximum value is bounded by B. Thus we may Figure 6.12~. say that only one unit in the feedback layer wins the competition for a given input pattern, even after the pattern is removed. Therefore the feedback layer is called a competitive layer in this case. Note that the result is valid for any function of the type fix) = xn , n > 1. In all of these cases only one of the units will have maximum activation and all others will have zero activation values. This may be viewed as noise suppression, in the sense that a l l activation values lower than the maximum will be reduced to zero in the competition.

Analysis of Feedback Layer for Different Output Functions

217

(a) Quadratic output function fix) = f

output

(b)Steady state pattern

withexternal input

(c) Steady state pattern after

setting the external input to zero

Figure 6.12 Performance of feedback layer with units having quadratic output functions [Adapted from Freeman and Skapura, 19911.

From the analysis in the previous section, we notice that pattern storage is achieved by using feedback units with linear output functions. Analysis in this section shows that noise suppression can be achieved by using quadratic output functions. Thus by using a quadratic output function for low activation and linear output function for high activation, both noise suppression and pattern storage (STM) tasks can be accomplished. In addition, if the output function increases at a rate less than linear for large activation, then the output is bounded all the time. The resulting output function is like a semilinear function as shown in Figure 6.13a. In such a case, in the steady state more than one of the units may have large activation values when the input is present (Figure 6.13b). Likewise, when the input is removed, in the steady state more than one unit

218

Competitive Learning Neural Networks

may reach maximum activation and all other units will have zero activation. This is illustrated in Figure 6.13~.

(a) Semilinear output function

XI

0
I

Output

I,
External input

Ii
I

Il= 0

Ii= 0

I-= 0

(b) Steady state pattern with external input

(c) Steady state pattern after setting the external input to zero

Figure 6.13 Performance of feedback layer with units having semilinear output functions.

6.4 Analysis of Pattern Clustering Networks

In the previous section we have seen that a competitive learning network with nonlinear output functions for units in the feedback layer can produce at equilibrium larger activation on a single unit and small activations on other units. This behaviour leads to a winner-take all situation, where, when the input pattern is removed, only one unit in the feedback layer will have nonzero activation. That unit may be designated as the winner for the input pattern. If the feedforward weights are suitably adjusted, each of the units in the feedback layer can be made to win for a group of similar input patterns. The corresponding learning is called competitive learning. The

Analysis of Pattern Clustering Networks

219

units in the feedback layer have nonlinear Ax) = xn, n > 1 output functions. Other nonlinear output functions such as hard-limiting threshold function or semilinear sigmoid function can also be used. These units are connected among themselves with fked weights in an on-centre off-surround manner. Such networks are called competitive learning networks. Since they are used for clustering or grouping of input patterns, they can also be called pattern clustering networks. In the pattern clustering task, the pattern classes are formed on unlabelled input data, and hence the corresponding learning is unsupervised. In the competitive learning the weights in the feedforward path are adjusted only aRer the winner unit in the feedback layer is identified for a given input pattern. There are three different methods of implementing the competitive learning as illustrated in Figure 6.14. In the figure, it is assumed that the input
Output

Input

Figure 6.14 Illustration of basic competitive learning laws: (1) Minimal nly connections of type A (solid lines) are trained. learning(2) Malsburg learningnly connections of type A and B (dashed lines) are trained. (3) Leaky learning4onnections of all the three types A, B and C (dotted lines) are trained [Adapted from Kung, 19931.

is a binary (0, vector. The activation of the ith unit in the feedback . 1) layer for an input vector x = (x,, x,,

...,xM)T given by yi =,I;,wu is

xj,

where wy is the (i, j)th element of the weight matrix W, connecting the jth input to the ith unit. Let i = k be the unit in the feedback layer such that Yk = max bi ') (6.38)
1

then
T wkx 2

WTE,

for a l i l

Assume that the weight vectors to all the units are normalized, i.e.,

220

Competitive Learning Neural Networks

( 1 wi)1 = 1, for all i. Geometrically, the above result means that the input vector x is closest to the weight vector wk among all wi.That is (6.40) 11 x- wk11 5 11 x - wi 1, for all i 1
Start with some initial random values for the weights. The given set of input vectors are applied one by one in a random order. For each input the winner unit in the feedback layer is identified, and the weights leading to the unit are adjusted in such a way that the weight vector wk moves towards the input vector x by a small amount, determined by a learning rate parameter q. Note that by doing this we are making that unit to respond more for that input. A straight forward implementation of the weight adjustment is to make
hkj

= q

(xj-

w ~ ) ,

so that

w k ( m+ 1) = w k ( m ) Awk(m) +

This looks more like Hebb's learning with a decay term if the output of the winning unit is assumed to be 1. It works best for prenormalized input vectors. This is called the standard competitive learning. Figure 6.15 shows the performance of the competitive

(a)

(b)

Figure 6.15 Illustration of competitive learning. The circles ('0') represent input vectors and crosses ('x') represent weight vectors: (a)
before learning, and (b) after leaming.

learning law for normalized input and weight vettors for a set of 3 dimensional input vector clusters. If the input vectors are not normalized, then they are normalized i n the weight . adjustment formula as follows:
Awkj = q

[+$

- w k j ] ,only for those j

for which xj = 1.

(6.43)

Analysis of Pattern Clustering Networks

221

This can be called minimal learning Bung, 19931. I the case of n binary input vectors, for the winner unit, only the weights which have nonzero input would be adjusted. That is

= 0, for xj = 0

(6.44)

Thus in this case only the connections which have both 1 at either
end will be adjusted as shown in Figure 6.14 for the minimal learning case. In the minimal learning there is no automatic normalization of weights after each adjustment. That is I.Zpy 1. In order to # = overcome this problem, Malsburg suggest& the following learning law, in which all the weights leading to the winner unit will be adjusted [von der Malsburg, 19731:
M

In this law if a unit wins the competition, then each of its input lines gives up some portion of its weights, and that weight is distributed equally among the active connections for which xj = 1. The unit i with an initial weight vector wi far from any input vector, may never win the competition. Since a unit will never learn unless it wins the competition, another method called leaky learning law is proposed [Rumelhart and Zipser, 19851. In this case, the weights leading to the units which do not w n also are adjusted for i each update as follows:

if i wins the competition, i.e., i = k

(6.46) if i loses the competition, i.e., i # k where qw and ql are the learning rate parameters for the winning and losing units, respectively (qw>> Q). In this case the weights of the losing units ape also slightly moved for each presentation of an input.

222

Competitive Learning Neural Networks

Basic competitive learning and its variations are used for adaptive vector quantization [Nasrabadi and King, 19881, in which the input vectors are grouped based on the Euclidean distance between vectors. Both unsupervised vector quantization (VQ) and supervised or learning vector quantization (LVQ) algorithms are available [Kohonen, 1988; Kohonen, 19891. The basic learning laws for competitive learning and vector quantization are summarized in Table 6.3.
Table 6.3 Summary of Competitive Learning Methods Basic competitive learning
Assume prenormalized input vectors and weight vectors normalization. Let x be the input vector and wi be the weight vector for ith unit in the competitive layer. Thus if 2 for all i, then k is the winning unit.

W% WTX,

Minimal learning (for binary input vectors)

hM =

C xi

- w ~, only for those j for which x, = 1. ]

Malsburg learning (for 'binary input vectors)

L i J Leaky learning (for binary input vectors)

if i wins the competition, i.e., i = k

L m

_I

if i loses the competition, i.e., i

Vector Quantization (unsupervised)

For i n p u t vector x and weight vector for t h e ith u n i t wi, if I x - w, 1 s I x - wi 1 , for all i, then k is the winning unit. The vector quantization learning law is given by

Analysis of Feature Mapping Network

Table 6.3 (Cont.)

Learning Vector Quantization (LVQ1) (supervised)

If the clam of the input vector x is given, then

A , = 1 (X - w,), if the winning class k is correct w 1

=

- q (x - w,),

if the winning clam K is incorrect

Learning Vector Quantization (LVQ2) (supervised) If the input vector x is misclassified by the winning u i k, and if the nt nearestcneighbour unit i has the correct class, then A , = - q (x - w,), for incorrect winning unit w

Awi = q (x- wi), for correct neighbouring unit If the units in the feedback layer are arranged in a geometrical fashion, like a 1-D or a 2-D array, then the update of weights could be confined to the neighbouring losing units only. This is called Kohonen's learning or feature mapping which will be discussed in the next section.

6.5 Analysis of Feature Mapping Network

In the pattern clustering network using competitive learning, only one unit in the feedback layer is made to win by appropriate choice of the connections of the units in the feedback layer. The number of units corresponds to the number of possible clusters into which the set of input pattern vectors are likely to form. Each unit is identified with one cluster or a group. The units otherwise have nothing in common among themselves. Even the physical location of a unit relative to the other units in the output layer has no significance. On the other hand, there are many situations where it is difficult to group the input patterns into distinct groups. The patterns may form a continuum in some feature space, and it is this kind of information that may be needed in some applications. For example, it may be of interest to know how close a given input is to some of the other patterns for which the feedforward path has already been trained. In other words, it is of interest to have some order in the activation of a unit in the feedback layer in relation to the activations of its neighbouring units. This is called feature mapping. The network that achieves this is called feature mapping network. A feature mapping network is also a competitive learning network with nonlinear output functions for units in the feedback layer, as in the networks used for pattern clustering. But the main distinction is in the geometrical arrangement of the output units, and the significance attached to the n e i g h b o u ~ g units during training.

224

Competitive Learning Neural Networks

D r n recall of information the activations of the neighbouring uig units in the output feedback layer suggest that the input patterns corresponding to these units are similar. Thus feature mapping could also be viewed as topology preserving map kom the space of possible input values to a line or a plane of the output units [Kohonen, 198213; Kohonen, 19891. The inputs to a feature mapping network could be N-dimensional patterns (See Figure 6.16a for a 3-D input), applied one at a time, and the network is to be trained to map the similarities in the set of input patterns. Another type of input is shown in Figure 6.16b, where

(b) 2-D input space to 2-D output space Figure6.16 Feature mapping networks where the layers are fully connected although only a few connections are shown.
(a) 3-D input apace to 2-D output space

the inputs are arranged in a 2-D array so that the array represents the input pattern space as in the case of a textured image. At any given time only a few of the input units may be turned on. That is, only the corresponding links are activated. The objective is to capture the features in the space of input patterns, and the connections are like s o M g dictated by the unsupervised learning mode in which the network is expected to work. This second type is more common in topological mappings in the brain [Hertz et al, 1991, p. 2331. There are several ways of implementing the feature mapping process. In one method the output layer is organized into predefined receptive fields, and the unsupervised learning should perform the feature mapping by activating appropriate connections. This can also be viewed as orientational selectivity [Hubel and Weisel, 1962; Linsker, 1986; Linsker, 19881. Another method is to modify the feedback connections in the output layer of Figure 6.16a. Instead of connecting them in an oncentre off-surround manner, the connections can be made as indicated by a Mexican hat type function, a 1-D version of which is shown in Figure 6.17. The function gives the

Analysis of Feature Mapping Network

Figure 6.17 A Mexican hat function in ldimension.

lateral connection weight value for a neighbouring unit k a t a distance 1 i - k 1 from the current unit i. The unit i and its immediate neighbours are connected in an excitatory (+ve weights) manner. The unit i is connected in an inhibitory (-ve weights) manner to far off units. A third method of implementing the feature mapping process is to use an architecture of a competitive learning network with oncentre off-sul'round type of connections among units, but at each stage the weights are updated not only for the winning unit, but also for the units in its neighbourhood. The neighbourhood region may be progressively reduced during learning. This is called self-organization network with Kohonen's learning [Kohonen, 1982al. Figure 6.18 shows an example of a feature mapping using a self-organization network. It shows a 2-D input vector and a feedback layer with units arranged as a 2-D grid. The input and the output layers are fully connected.
Output layer

Input layer

(a)Network Structure

(b) Neighbourhood regions at different times in the output layer

Figure6.18 Illustration of a self-organizing network. In the network structure in (a) the input units are connected to all the units in the output layer, although only a few connections are shown. In the output layer all the units are connected to each other, although the connections are not shown in the figure.

226

Competitive Learning Neural Networks

The self-organization network is trained as follows: The weights are set to random initial values. When an input vector x is applied, the winning unit k in the output layer is identified such that IIx-wkIII)Ix-wi)I,for d i l (6.47) The weights associated with the winning unit k and its neighbouring units m, identified by a neighbourhood function h(k, m), are updated using the expression (6.48) Aw, = q h(k, m) (X - w , ) The neighbourhood function h(k, m) is maximum for m = k . A suitable choice for h(k, m) is a Gaussian function of the type

where rk refers to the position of the kth unit in the 2-D plane of the output units. The width of the Gaussian function, described by o, is gradually decreased to reduce the neighbourhood region in successive iterations of the training process. Even the learning rate parameter q can be changed as a function of time during the training phase. The weights are renormalized each time aRer the update. Table 6.4 gives an algorithm for implementingthe self-organizing feature map learning.
Table 6.4 An Algorithm for Self-organizing Feature Map Learning

1. Initialize the weights from M inputs to the N output units to small

random values. Initialize the size of the neighbourhood region q(0). 2. Present a new input a.

3. Compute the distance di between the input and the weight on each output unit i :
M

di =

[aj(t) wiAt)12, for i j=1

1,2, ..., N

where a.(t) is the input to the j t h input unit a t time t and w,(t) is the weight horn the jth input unit to the ith output unit. 4. Select the output unit k with minimum distance

5. Update weight to node k and its neighbours w,(t

+ 1) = wii(t) + q(t)(aj@) w,$t)) -

for i E q ( t ) and j = 1, 2, ...,M, where ~ ( tis the learning rate parameter ) (0<q(t).<1) that decreases with time. q(t) gives the neighbourhood region around the node k a t time t. 6. Repeat Steps 2 through 5 for all inputs several times.

Analysis of Feature Mapping Network

227

Figure 6.19 illustrates the result of Kohonen's learning for feature mapping. In the figure the mapping is from a 2-D input to a 2-D

+1 0 ,
(a) initial weights

+lo1

(b) after 25 cycles

+W I
(c) after 50 cycles

+W l
(d) aftor 1000 cycles

Figure 6.19 An illustration of Kohonen's learning for self-organizing networks.

feature space. The input consists of a point chosen at random from the input space defined by the region of interest, a square in this case. The feature map is displayed by the weight values of the connections leading to each unit in the output layer aRer training. The weights for each unit is a point in the (w,, w2) space, and the points corresponding to adjacent units in the output layer are joined in the figure. Initially the weights are set to some random values around the mean. As training proceeds, the weights are m o ~ e to d span the space in the (w,, w2) plane. The shape of the spanned space is dictated by the shape of the region (a unit square in this case) from which the input values are selected at random. Figure 6.20 illustrates the feature mapping from a 2-D input space to a 1-D layer of output units. The space filling characteristic of the feature mapping can be seen from the figure. Finally, Figure 6.21 illustrates the feature mapping from a 1-D input space to a 1-D layer of output units. Here the input data is uniformly distributed random numbers in the interval [O, 1 . The 1 initial weights for all the units in the 1-D output layer are shown in Figure 6.21a. The feature mapping in Figure 6 . 2 1 ~ shows that the weights are organized along a line. The line could have a positive or a negative slope depending on how the feature mapping evolves.

Competitive Learning Neural Networks

+Wl
(a) initial weights

+Wl
(b) after 25 cycles

+W l
(c) after 75 cycles

+Wl
(d) after 100 cycles

Figure 6 2 An illustration of Kohonen's learning for feature mapping from .0 2-D input to 1-D feature mapping.

(b) after 50 cycles (c) aRer 500 cycles (a) initial weights Figure 6 2 An illustration of Kohonen's feature mapping h m 1-D input .1 to 1-D feature mapping.

6.6 Summary
In this chapter simple networks to perform the task of pattern clustering have been analyzed in detail. The components of a competitive learning network were discussed individually. In particular, the principal component analysis feature of the instar layer with linear output units is useful for feature extraction and data compression.

Review Questions

229

A competitive learning network consists of a feedforward part and a feedback part. Use of nonlinear units in the feedback layer of the competitive learning network leads to the concept of pattern clustering. Different choices of competitive learning are available for adjusting the weights of the feedforward part of the network. Basic competitive learning and its variations are useful for adaptive vector quantization. Supervised form of vector quantization, called Learning Vector Quantization, was also described briefly. The competitive learning networks can be modified to perform the task of feature mapping. Kohonen's self-organization learning law enables us to interpret the outputs of the units in the second layer as features in the input data. Illustrations of feature mapping from 2-D data to 2-D space, 2-D data to l-D space and l-D data to l-D space were given. These illustrations demonstrate the significance of SOM .feature of the competitive learning networks. Combination of SOM and classification networks have been used effectively for pattern classification applications in speech and images [:Huanget al, 1992; Raghu et al, 19951.

Review Questions
1 What are the components of a competitive learning network? . 2 Describe the operation of an input layer when it is directly . connected to the environment. 3 What is an instar network? . 4. Describe the basic learning feature of an instar and discuss its application. 5. What is the main difference between a n instar network with competitive learning and an instar network with Hebbian learning? 6. Explain how pattern clustering can be achieved by a group of instars with binary output functions. 7. What are principal components of an autocorrelation matrix? 8. Explain the distinction between eigenvectors of autocorrelation and covariance matrices. 9. What is the Oja's learning law for a single instar? How is it different from plain Hebbian learning? 10. Explain the difference between Sabger's rule and Oja's p-unit rule. 11. What is meant by on-centre off-smound feedback network? 12. Give a diagram of the complete competitive learning network. 13. Distinguish among temporary storage, short-time memory and long-term memory. 14. Explain how a competitive learning network with linear units performs a short-term memory task.

230

Competitive Learning Neural Networks

function in the feedback layer of a competitive learning network. Discuss the performance of a competitive learning network for semilinear output function in the feedback layer. What is a pattern clustering network? What are the three basic competitive learning laws? What is adaptive vector quantization? What is learning vector quantization? Explain the difference between pattern clustering and feature mapping. Explain the three different methods of implementing the feature mapping process. What is a self-organization network? What are the salient features of the Kohonen's self-organizing learning algorithm? Illustrate the concept of feature mapping with the help of an example of mapping 2-D input onto a 2-D feature space. Explain the feature mapping of 2-D input onto 1-D feature space. Explain the build up of the 1-D feature map of 1-D input values selected at random from an interval 0 to 1.

15. Explain the noise suppression property of the quadratic output 16. 17.

18. 19.
20.

21.
22. 23. 24. 25. 26.

Problems
1. Show how a single unit instar with Hebbian learning results in a weight vector that will increase without bound. (See [Hertz et al, 1991, p. 200; Hassoun, 1995, p. 901) Show that for the competitive network of Figure 6.12, in the steady state when the inputs are removed, only one of the units will have maximum output value for any output function f i )= I f , n 2 1.Also show that the activation value is bounded. (See [Freeman and Skapura, 19911) Show that the weight vector in the Oja's rule aligns with the eigenvector of the autocorrelation matrix corresponding to the largest eigenvalue. (See [Hertz et al, 1991, pp. 202-204; Haykin, 1994, p. 3741) Find the eigenvedor corresponding to the first principal component of the following correlation matrix of a stochastic process (See Appendix E and [Kung, 1993, p. 3051):

2.

3.

4.

Summary

231

5. The following is the cross-correlation matrix of two stochastic processes (See [Kung, 1993, p. 3061):

Find the leR and the right eigenvedors corresponding to the k t asymmetric principal component. 6. For feature extraction Linsker used a modified Hebbian rule for a single unit given by (See [Hertz et al, 1991, p. 211; Hassoun, 1995, pp. 95-97]] Awi = q(ap+aai+ppC+y) where

and a , p and y are the parameters that can be tuned to produce the desired behaviour. Assuming that all the input components a, have the same mean 5, so that ai = ? Show that + ci, i

7.

where h and p are some combination of the constants 8, a , p, y and a, and CU= (E~E,). Show that the Linsker's rule can be defined by computing average of the gradient descent learning hi= - qaEt"wi on the cost function
( J )

8.

where C = [C"]. Linsker's rule t i e s to maximize the output , variance subjected to the constraint that 3; w = p. Show that Linsker rule is unstable, i.e., (AW,)does not tend to zero unless the weights are subjected to the boundary constraint w- 5 wi 5 w,. Note that in contrast, the Oja's rule maximizes the ; output variance subjected to w = 1 and hence does not need a boundary constraint on the 'weights. (See [Hertz et al, 1991, p.213; Hassoun, 1995, p. 97; Haykin, 1994, pp.357-3621) Substituting yi = f lwi, a, in the Sanger's rule ,
i

9.

and taking the average, show'that

232

Competitive Learning Neural Networks

where wi = [wil,wi2,..., wNIT, and R = [(aiai)l. Also show by induction that it leads to ith eigenvalue of R (see [Hertz et al, 1991, p. 2081). 10. Nonlinear PCA neural networks can capture higher order statistics of the input data. One way of introducing nonlinearity into a PCANN is by using higher order units whose output is given by [Hassoun, 1995, p.1011

Show that this can be interpreted as the output of a linear unit with the input vector as

and the weight vector as

That is,

y =

&z

Also show that the principal component resulting from this network corresponds to the principal eigenvector of the matrix
(22'3.

1 . Show that the Malsburg learning Eq. (6.45) for competition layer 1

results in.Z wii = 1, if initially the weights are normalized.

~ = 1

12. Generate a set of random points in 2-dimensional space using four Gaussian distributions with the following means and variances. Mean: [-5 -5IT [-5 5IT [5 -2IT [5 5IT
Variance:
4

Starting with four random initial weight vectors, determine the cluster centres formed by using the competitive learning law given in Eq. (6.42). Study the effect of different values of the learning rate parameter. 13. Determine the cluster centres for the data in the Problem 12 above using the LVQ1 algorithm given in Table 6.3. 14. Determine the self-organizing map generated by points selected at random from an annular ring formed by two concentric circles. Consider the following two cases: (a) The units in the SOM are arranged in a 2-dimensional plane. (b) The units in the SOM are arranged'in a 1-D layer.

Chapter 7

Architectures for Complex Pattern Recognition Tasks

7.1 Introduction
In the previous chapters the principles of artificial neural networks and some basic hctional units were presented. These hctional units are basic structures of neural networks capable of performing simple pattern recognition tasks. In practice the pattern recognition tasks are much more complex, and each task may require evolving a new structure based on the principles discussed in the previous chapters. In fact, designing an architecture for a given task involves developing a suitable structure of the neural network and defining appropriate activation and synaptic dynamics. The pattern recognition tasks perfmed by human beings are several orders of magnitude more complex than the simple tasks like pattern association, classification, storage and clustering discussed earlier. For example, the associative memory function of the biological neural network is highly sophisticated in terms of its ability to perform the learning, storing and recall operations. Likewise, the abilities of the biological network in dealing with pattern variability as in the handwritten characters, or with temporal pattern recognition as in speech and image sequence are at present impossible to realize by an &cial system. However, these features of the biological system motivate people to develop new architectures of artificial neural networks. While the urge is to develop an architecture to solve a real world problem, such as involving pattern variability, the structure of the network is still based on the well understood principles (which are very few) of models of neurons, connections and the network dynamics. In all these cases the real world problems are simplified or tailored to satisfy the constraints of the architecture, rather than developing suitable phitectures for the problems. Thus an architecture is restricted to a class of simplified problems or to a specific problem, but not universal. One way to organize the networks at architectural level is as proposed by Simpson [19901.They are organized along the broad

234

Architectures for Complex Pattern Recognition Tasks

categories of learning (supervised and unsupervised) and along the broad categories of s t r u c t m (feedforward and feedback). In supervised learning the weight adjustment at each step is based on the given input and the desired output. The adjustment may be of correlation type, perceptron learning, delta learning, reinforcement learning, etc. In supervised learning, the weights of the network are determined either by learning or by computation from the given input patterns. In feedforward structures the pattern recall is a straightforward application of the computations involved for each unit once. But in feedback structures the pattern recall involves several cycles of computations, each cycle consisting of computations by all the processing units on the average. The cycles are repeated until an equilibrium state is reached. The architectures in each category are described in a common format consisting of description of the task, description of the topology of the network, the encoding scheme (i.e., determination of weights), the decoding scheme (i.e., recall of pattern information), stability, performance of the network in terms of capacity and some applications of the architecture [Simpson, 19901. We adopt a different approach in this chapter. We consider a few issues in pattern recognition tasks and discuss evolution of architectures for addressing these issues. This chapter presents five different classes of architecture, to address five different classes of complex pattern recognition tasks. While these architectures may not solve the real world problems completely, their descriptions do help in understanding the issues better and also in developing new architectures, once the issues for new classes of problems are clear. Table 7.1 gives the organization of topics for this chapter. We consider associative memories in Section 7.2, where we discuss bidirectional associative memory in some detail. Pattern mapping architectures are considered in Section 7.3. In particular, we discuss the radial basis function networks for pattern classification and function approximation problems. We also consider the counterpropagation network which can capture both forward mapping as well as inverse mapping (if it exists) between a pair of patterns. In Section 7.4 the issue of stability-plasticity dilemma is addressed using the class of Adaptive Resonance Theory (ART) models. Architectures for temporal pattern recognition and generation are described in Section 7.5.In particular, we discuss the Avalanche architecture and Time Delay Neural Networks (TDNN) for recognition of sequences of patterns. The issue of pattern variability is discussed in Section 7.5 through the neocognitron architecture. While the pattern recognition issues of memory, mapping, stability-plasticity, temporal patterns and pattern variability are easily handled by human beings, the developments of architectures in this chapter clearly bring out the advantages and limitations of ANN models to deal with these issues.

Associative Memory

235

Table 7.1 Organization of Neural Network Architectures based on Pattern Recognition Tasks Associative memories Linear associative memories (Hetero and Autoassociative) Autoassociative memories (Hopfield network and Boltzmann machine) Bidirectional associative memories Multidirectional associative memoriea Temporal associative memories Pattern mapping networks Multilayer feedforward networks Radial basis function networks for (a) Classification (b) Mapping or function approximation Generalized regression neural networks Probabilistic neural networks Counterpropagation network Pattern classification: Stability-plasticity dilemma Adaptive Resonance Theory (ART) ART1, ART2 and ART3 ARTMAP . Fuzzy ARTMAP Temporal patterns Avalanche Kohonen's phonetic typewriter Associative memory based network Partially recurrent network Fully recurrent network Backpropagation through time Real-time recurrent learning network Pattern variability Neocognitron

7.2 Associative Memory Pattern storage is an obvious pattern recognition task that one would like to realize using an artificial neural network. This is a memory function, where the network is expected to store the pattern information (not data) for later recall. The patterns to be stored may be of spatial type or spatio-temporal (pattern sequence) type. Typically, an artificial neural network behaves like an associative memory, in which a pattern is associated with another pattern, or with itself. This is in contrast with the random access memory which maps an

236

Architectures for Complex Pattern Recognition Tasks

address to a data. An artificial neural network can also function as a content addressable memory where data is mapped onto an address. The pattern information is stored in the weight matrix of a feedback neural network. The stable states of the network represent the stored patterns, which can be recalled by providing an external stimulus in the form of partial input. If the weight matrix stores the given patterns, then the network becomes an autoassociative memory. If the weight matrix stores the association between a pair of patterns, the network becomes a bidirectional associative memory. This is called heteroassociation between the two patterns. If the weight matrix stores multiple associations among several (> 2) patterns, then the network becomes a multidirectional associative memory. If the weights store the associations between adjacent pairs of patterns in a sequence of patterns, then the network is called a temporal associative memory. Some desirable characteristics of associative memories are: (a) The network should have a large capacity, i.e., ability to store a large number of patterns or pattern associations. (b) The network should be fault tolerant in the sense that damage to a few units or connections should not affect the performance in recall significantly. (c) The network should be able to recall the stored pattern or the desired associated pattern even if the input pattern is distorted or noisy. (d) The network performance as an associative memory should degrade only gracefully due to damage to some units or connections, or due to noise or distortion in the input. (e) Finally, the network should be flexible to accommodate new patterns or associations (within the limits of its capacity) and to be able to eliminate unnecessary patterns or associations. Linear associative memory and autoassociative memory were discussed in detail in Chapter 5. In this section the discrete Bidirectional Associative Memory (BAM) is discussed in some detail. Extensions of the BAM concepts to multidirectional and temporal associative memories are discussed briefly.
7.2.1

Bidirectional Associative Memory (BAM)

The objective is to store a set of pattern pairs in such a way that any stored pattern pair can be recalled by giving either of the patterns as input. The network is a two-layer heteroassociative neural network (Figure 7.1) that encod9 binary or bipolar pattern pairs (al, bl) using the Hebbian learning. It can learn on-line and it operates in discrete time steps. The BAM weight matrix from the first layer to the second layer is given by

Associative Memory

Figure 7.1 Bidirectional associative memory.

where 04 E I - 1, + llM and bl E I - 1, + llN for bipolar patterns, and L is the number of training patterns. For binary patterns pl E (0, llM and q E (0, llN, the bipolar values ali = 2pli - 1 and bli = 2 qzi- 1 corresponding to the binary elements pziand qk,respectively, are used in the computation of the weight matrix. The weight matrix from the second layer to the first layer is given by

The activation equations for the bipolar case are as foHows: 1, ify, > 0

where yj = C w .. a.(m), and

,

g = l

Ji

where xi = , C wii bj(m). In the above equations a(m) = [al(m), a2(m),

J=

..., aM(m)lT the output of the first layer at the mth iteration, and is b(m) = [bl(m), b2(m), ..., bN(m)lT the output of the second layer at is
the mth iteration. For recall, the given input ai(0), i = 1,2, ...,M, is applied to the first layer and the activation equations are used in the forward and backward passes several times until equilibrium is reached. The stable values b,(=), j = 1,2, ...,N are read out as the pattern associated with the given input. Likewise the pattern at the first layer can be recalled given the pattern at the second layer. The updates in the BAM are synchronous in the sense that the units in each layer are updated simultaneously. BAM can be shown

238

Architectures for Complex Pattern Recognition Tasks

to be unconditionally stable using the Lyapunov energy function given by [Kosko, 19921

Therefore,

The change in energy due to change Aai in ai is given by

Avai=

-[i
j=1

wpj]bi,

i = 1.2, ,M

(7.7)

Likewise the change in energy due to change Abj in bj is given by

For bipolar units,

hi=
N
,

2 or 0, ifxi > 0 0, if xi = 0 - 2 or 0, ifxi<O

where xi =

~ = 1

Z;

wiibj. Similarly,

where yj = ,X wj,ai. From these relations, it is obvious that

r=l

AV4 5 0, for i = 1 , 2 ,..., M,

and

AVbj 5 0, for j = 1,2, ...,N,

which means that the energy either decreases or remains the same in each iteration. Therefore the BAM reaches a stable state for any weight matrix derived from the given pattern pairs. The BAM is limited to binary or bipolar valued pattern pairs. of The upper limit on the number (L) pattern pairs that can be stored N) is min (M, [Kosko, 19881. The performance of BAM depends on the nature of the pattern pairs and their number. As the number of pattern pairs increases, the probability of error in recall will also

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239

increase. The error in the recall will be large if the memory is filled t o its capacity. Improved methods of encoding (determination of weights) were proposed through the use of matrix transformations [Wang et al, 1990a; 1990b; 19911. Extensions of the discrete BAM have been proposed to deal with analog pattern pairs in continuous time. The resulting network is called Adaptive BAM (ABAM) [Kosko, 19871. In this case the pattern pairs are encoded using Hebbian learning with a passive decay term in learning. For recall of the patterns, the additive model of the activation dynamics is used for units in each layer separately. According to the ABAM theorem the memory is globally stable.
7.2.2

Multidirectional Assoclatlve Memory

The bidirectional associative memory concept can be generalized to store associations among more than two patterns. The multiple association memory is also called multidirectional associative memory (MAM) [Hagiwara,19901. As an illustration, the architecture of MAM is shown in Figure 7.2 for the case of associations among three

Figure 7 2 Illustration of multidirectional associative memory for three layers . of units.

patterns (al, bl, cl).The three layers of units are denoted as A, B, C in the figure. The dimensions of the three vectors al, bl and q are Nl, N2 and N3, respectively. The weight matrices for the pairs of layers are given by

and For recall, the activation equations for the bipolar case are computed as shown below for the layer B

Architectures for Complex Pattern Recognition Tasks

for j = 1, 2,

..., N2, where

where wuji is the jith element of the weight matrix WAB,and wcBji is the jith element of the weight matrix WCB. The outputs c,(m + 1) and a,(m + 1) are likewise computed. Each unit in a layer is updated independently and syn&ronously based on the net input from units in the other two layers. The updating is performed u t l a multidirectionally stable state is reached. ni The BAM is only a special case of MAM.Due to associations among several layers to be satisfied simultaneously, the information recovery for the partial input is better in MAM than in BAM [Hagiwara,19901.
7.2.3 Temporal Associative Memory (TAM)

The BAM can be used to store a sequence of temporal pattern vectors, and recall the sequence of patterns [Zurada,1992, Sec. 6.61. The basic idea is that the adjacent overlapping pattern pairs are to be stored in a BAM. Let al, a2, ..., aLbe a sequence of L patterns, each with a dimensionality of M. Then (al, a2),(&, a3) ,..., (ai,a, + 1), ..., (aL 1, aL) and (aL,a,) form the pattern pairs to be stored in the BAM. Note that the last pattern in the sequence is paired with the first pattern. The weight matrix in the forward direction is given by

The weight matrix for the reverse direction is given by the transpose of the forward weight matrix, i.e., by w*. The recall steps are exactly the same as for BAM. When stable conditions are reached, then it is possible to recall the entire sequence of patterns from any one pattern in the sequence. The TAM has the same kind of limitations as those of BAM in its error performance in of recall and also in its capacity for storing a given length (L) a sequence of patterns.

7.3 Pattern Mapping

7.3.1 Background for Pattern Mapping Networks

The multilayer feedforward neural network with error backpropaga-

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241

tion learning was primarily developed to overcome the limitation of a single layer perceptron for classification of hard problems (nonlinearly separable classes) and to overcome the problem of training a multilayer perceptron (due to hard-limiting output function) for these hard problems. In this so called backpropagation network the objective is to capture (in the weights) the complex nonlinear hypersurfaces separating the classes. The complexity of the surface is determined by the number of hidden units in the network. Strictly speaking, any classification problem specified by the training set of examples can be solved using a network with sufficient number of hidden units. In such a case, the problem is more of a pattern association type than of a classification type, with no restrictions on the associated patterns as in the case of a linear associative network. the In a classification pr~blem input patterns belonging to a class are expected to have some common features which are different for patterns belonging to another class. The idea is that, for a pattern belonging to any of the trained classes, the network is supposed to give the correct classification. In other words, for a classification problem, the trained neural network is expected to perform some kind of generalization, which is possible only if there are some features common among the input patterns belonging to each class, and these features are captured by the network during training. Generalization has no meaning for arbitrary association of one pattern to another as in the case of arbitrary Boolean functions. Generalization also has no meaning if the training set consists of all possible input patterns as in the XOR problem. Some special association tasks may have common features hidden too deep in the input, like in the parity problem [Minsb and Papert, 19901. In this case the feature characterizing the similarity of patterns belonging to the same class is not reflected directly in the bit pattern of the input vector. For example, 00110000 and 00001111 both belong to the same class of even parity, and 01110000 and 00000111 both belong to the class of odd parity, although the odd parity pattern 01110000 is closer to the even parity pattern 00110000 in the Hamming distance sense. In these cases the representation of the input patterns is crucial to achieve generalization by a network. Preprocessing of the input vectors is to be performed separately to extract the desired features for feeding the features to a neural network. A neural network by itself may not be able to extract automatically the desired features due to limitations of operations it can perform on the input data, and more importantly, due to masking of the desired features by the other undesirable, but dominating features in the input. Therefore a trained neural network is expected to exhibit the generalization property for the classification problems in which groups of the input patterns belonging to a class possess some

242

Architectures for Complex Pattern Recognition Tasks

common features within each group. Another way of looking at this problem is that there should be some redundancy among the patterns in each group in order to develop a system for classification. Note that the class label that is assigned to a group or a collection of groups could be quite arbitrary. In other words, the mapping of a group of input patterns to an output or a class label need not have any restrictions. Another class of problems deals with capturing the mapping function implied in the given training set of input-output pattern pairs. Here the mapping function represents the system that produced the output for a given input for each pair of patterns. A trained neural network is expected to capture the system characteristics in their weights. The network is supposed to have generalized from the training data, if for a new input the network produces the same output which the system would have produced. The generalization of this mapping function in the network can be tested by a set of test input-output pattern pairs. Note that in this case the mapping function must exhibit some smoothness or redundancy, as the given training data is usually not adequate to sample the function a t all points. Note also that the set of input patterns themselves could be quite arbitrary. So generalization in these cases is possible only if the mapping function satisfies certain constraints. Otherwise, the problem of capturing the mapping function from the training data set will be an ill-posed problem [Tikhonov and Arsenin, 19771. Assuming that the constraints are satisfied by the mapping function, they are forced on the approximating function using regularization methods, so that the ill-posed problem becomes well-posed [Poggio et al, 19851. Finally, generalization by a network is also possible in situations where both the input patterns in a group and the mapping function have redundancies displayed in the form of common features among the patterns in a group and smoothness in the function, respectively. A multilayer perceptron (MLP) architecture is suggested to address arbitrary pattern association tasks which could not be solved by either a linear associative network due to restriction on the type and number of input patterns or by a single layer perceptron due to linear separability constraint on the classification task specified by the input-output mapping. A multilayer feedfolward neural network (MLFFNN) can be used to realize a n approximation to a multilayer perceptron (MLP) for complex (arbitrary) pattern association tasks. It is not intended specifically to solve a pattern classification or pattern mapping problem, as both require generalization based on 'closeness' property in classification and 'smoothness' property in mapping, respectively. In other words, a MLFFNN trained with backpropagation learning is neither designed to exploit the property of 'closeness' for generalizing a classification task, nor is it designed to exploit the

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243

property of 'smoothness' to generalize a function approximation task. It is designed mainly to provide discrimination between patterns belonging to different classes. The distinction between what is being achieved by a MLFFNN and what is needed to be achieved for classification and function approximation tasks is illustrated in Figure 7.3 [Lowe, 1995l.&lere
Data space

Classification Data closeness (MLP result) (Desired result)

(a) Classification problem Function approximation (MLFFNNresult) Function smoothness (Desired result)

(b) Function approximation problem

Figure 7.3 Distinction between two pattern recognition tasks as realized by

a trained MLFFNN and the desired results: (a) Classification problem and (b) Function approximation problem.

manipulation of the structure of a neural network and learning of a MLFFNN are not likely to achieve the generalization required for a given problem. Even if the generalization behaviour of a trained MLFFNN is confirmed by cross-validation, it is only an ad hoc solution. There is no guarantee of obtaining the desired result. This is because, the network is not designed specifically to address the generalization problem. Moreover, it is not generally possible to analyze a MLFFNN to understand the task each layer is performing. In fact, if the given problem is known to be a classification problem based on the closeness of data in the input vectors, then specific architectures can be evolved to achieve generalization. Such architectures tend to be much simpler than a general MLFFNN, ~d

244

Architectures for Complex Pattern Recognition Tasks

training also is likely to be simpler than the backpropagation learning. It is also possible to improve the genezalization capability by incorporating a priori knowledge about the patterns in the classification task. However, developing architectures will be much more difficult if the classification is based on deep features present in the data, and if preprocessing needed to extract these features is not explicitly included as part of the network. Likewise, if the given problem is a function approximation based on the smoothness of the mapping function of the given input-output data, then specific architectures can be evolved to achieve generalization in such cases. Here again these architectures tend to be much simpler than the MLFFNN, and the training involved also will be trivial in most cases. It is possible to improve the generalization capability using regularization which involves imposing some smoothness constraints explicitly on the mapping function. The smoothness constraint is intended to reflect the a priori knowledge of the function. However, developing architectures for proper generalization is much more difficult if the mapping function is not smooth at the given data level. Even if smoothness of the mapping function is present at some deep feature level, it is not possible for the network to generalize, unless preprocessing of the data to obtain the features is explicitly known and implemented in the network. For discussion, we assume that the training set data consists of pairs of input-output vectors represented by (al,bl), I = 1,2, ...,L. For a classification task, bl is an N-dimensional.vector of zeros and ones, with a 1 in the jth position if the input vector al belongs to the jth class. This is called 'hard' classification. There may be several input vectors, which are close to each other, and hence may have the same bl associated with them. In many situations, it may be desirable to have the N-dimensional output vector to represent an estimate of the probability distribution of the classes for the given input. That is, the jth component of bl corresponds to the probability that the input vector belongs to the class j. In this case the sum of all the components in bl will add upto 1. The input vector al could be an M-dimensional vector of ones and zeros or a vector of real numbers. In the function estimation or pattern mapping the output vector bl is an N-dimensional vector of real values. The function estimation can also be viewed as a nonpararnetric regression problem, as we are trying to determine a network that realizes the best fit function for the given input-output pairs of data. In this section we will consider the tasks of pattern classification and multivariate function approximation (or pattern mapping). In both cases the learned network should generalize well, which means that the network should give the correct classification for a new (test) data input in the case of a classification task and a reasonable approximation to the true function value for a new (test) data input

Pattern Mapping

245

in the case of a function approximation task. We will discuss

architectures of the Radial Basis Function (RBF) network suitable for these tasks. We assume that the 'closeness' property for the classification tasks and the 'smoothness' property for the function approximation tasks are satisfied in the given training set data.
7.3.2

Architecture of Radial Basis Function (RBF) Networks

The architecture of a radial basis function network is shown in Figure 7.4. It consists of a single hidden layer with nonlinear units, followed by an output layer with linear units.

7.4 General form of a radial basis function network. The nonlinear basis function of the jth hidden unit is a function of the normalized radial distance (11 a - pjlilq) between the input vector a = 1a1, a2, ..., a d T and the weight vector pj = [ Pj,, pj2,..., associated with the unit. Normalization factor o decides j the range of influence of the jth unit around its centre pj.

The output of the kth unit in the output layer of the network is given by

where hj = +,[ a - b IVq), j = 1,2, ...,J and ho (= - 1) is the output ,(I k of the bias unit, so that w o corresponds to the bias on the kth output ,. unit. The nonlinear basis function $() of the jth hidden unit is a function of the normalized radial distance between the input vector a = (al, a2, ..., aMIT and the weight vector & = (pjl, ..., &M)T b2,

246

Architectures for Complex Pattern Recognition Tasks

associated with the unit. The normalizing factor oj decides the range of influence of the jth unit. If the basis function is a Gaussian function of the type $(x) = exp( - x2/2), then the weight vector CI, corresponds to the mean value of the function and oj corresponds to the standard deviation. For a multidimensional vector x with zero mean, the Gaussian function is given by $(x) = exp( - X~R-'x), where R is the covariance matrix of the input vectors, namely, expectation of xxT. The significance of the radial basis function is that the output of the unit is a function of the radial distance, i.e., hj = $,(I] a - Lj(I/oj). On the other hand, in a multilayer feedforward neural network, hj = $j(aTwj), i.e., the output is a nonlinear function of the scalar product of the input vedor and the weight vedor.
7.3.3

Theorems for Functlon Approxlmation

Before we discuss RBF networks for function approximation, it is worthwhile noting the following two theorems for function approximation, one based on the linear basis function and the other based on the radial basis function [Kung, 19931.
Theorem 1: Functlon approximation by llnear basis function. [Cybenko, 1989; Funahashi, 19891. Let A be a compact subset of R~ and F(x) be a continuous function on A. Then for any E > 0, there e e s t an integer N and real constants ci, wii and 8, such that IF(x) - F(z)1 < E for all x E A, where

and fl.) is any nonconstant, bounded and monotonically increasing continuous function. The argument of the function fl.) is a linear weighted sum of the component values, i.e., $, woxj + ei. Therefore
I

fl.) is called linear basis function. In this approximation the function fl.) could be like the semilinear output function of a MLFFNN. Thus
this function approximation, in principle, can be realized by a MLFFNN with a single layer of hidden units and an output layer of linear units.
Theorem 2: Function approximation by radiai basis function. Let A be a compact subset of and F(x) be a continuous function on A. Then for any E.> 0, there exist an integer N and parameters wi and ci such that (F(x)- F(x) I < E for all x E A, where wis are M-dimensional parameter vectors corresponding to the centroids of clusters, so that

Pattern Mapping

247

where g(.)is a nonlinear function with unique maximum centered at wi [Powell, 1988; Broomhead and Lowe, 1988; Moody and Darken, 19891. The argument of the function g(.) forms the basis of the function. Since the argument is the radial distance between the variable vector x from the centroid vector wi, the function g(.)is called the radial basis function. The function approximation itself is called the radial basis function approximation. Gaussian function is one of the commonly used nonlinear functions for g(.). The above theorems are called universal approximation theorems. They show the existence of the parameters to approximate a given function. In the context of neural networks, both the theorems suggest that a feedforward network with a single hidden layer with nonlinear units can approximate any arbitrary function. But the theorems do not suggest any method of determining the parameters, such as the number of hidden units and weights in order to achieve a given accuracy for the approximation of the function.
7.3.4

RBF Networks for Function Approximation

In the RBF networks the weights (b,aj) the hidden layer units are of determined directly from the data. No learning is involved. The weights wb of the output layer are determined by supervised learning [Broomhead and Lowe, 1988;Moody and Darken, 19891. For function approximation task the error to be minimized in the supervised learning is given by where ED is the error due to the given data in the form of inputi output pair (al, bl), ER is the contribution due to regularization, and h is the regularization parameter. The error term ED is given by

Note that bik is a function of the input data and the parameters of The the network, i.e., bfk = F(al, wk). regularization term ER depends on the prior knowledge of the function or some global knowledge derived from the given data. This knowledge is normally represented in the form of a smoothness constraint on the mapping function between the input and the output. In one form of smoothing, the weights of the network are constrained using the following expression for the regularization term [Hergert et al, 19921.

Inclusion of this term favours small values of the weights. It can also

248

Architectures for Compbz Pattern Recognition Tasks

be viewed as a 'weight decay' term, since the weight change is proportional to the negative gradient of the error (See Eq. (4.77)), and the negative gradient of ER(F) gives a decay term in the learning equation (See Eq. (2.22)). Smoothing constraint is also expressed in the form of the square of the derivatives of the mapping function, namely,

where P is a linear differential operator, and 11 .I1 is the L2norm. For example, P could be a simple second derivative of F with respect to w. Then minimization of the square of the derivative restricts the discontinuous jumps in the function [Poggio and Girosi, 19901. In the expression for E(F ) in (7.21), if h = 0, then the error is dictated by the given training data. For a sufliciently large (in terms of number of hidden units) network, it is possible to determine the weights of the network so that we can get an approximate interpolating function as shown by the solid line in Figure 7.5a for a 1-D case, whereas what is desired is the function shown by the dashed line [Wahba, 19951. Thus the network fails to generalize from the data due to overfitting of the data. This is not desirable, as the given training data can be usually noisy. In order to improve the generalization capability, the h parameter is made nonzero. For a , suitable choice of A we get a reasonable estimation of the function as shown by the solid line in Figure 7.5b, where the dashed line shows the desired function. For large h, if the smoothing function is restricted to small value E, i.e., 11 PF 112 < E, then the resulting function is a poor estimate of the desired function as shown in Figure 7.5c, because the error term due to data does not play a significant role. Thus the parameter h controls the performance of the pattern mapping network. The value of the parameter h can be inferred from the given data using probability theory and Bayes theorem for conditional probability [Mackay, 19951.

Figure 7.5

Function approximation for different values of regularization parameter h: (a) h too small, (b) h near optimal and (c) h too large. 'x' indicates actual points. Dashed line is the desired function. Solid line is the realized function.

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249

The regularization problem is to find the function F(.) that minimizes the error given by Eq. (7.21), where the second term due to regularization is a constraint on the desired level of smoothness of the function. The smoothness constraint is usually in the form of a differential operator, as noted before. Let us consider one dimensional case, i.e., the function F(.)is a scalar function and hence there is only one output unit for the network. Then

1 1, We have En(F) = 11 PF 1 2where P is a linear differential operator. The minimization problem reduces to solving the following differential equation [Poggio and Girosi, 19901:

where P* is the adjoint of the differential operator P [Haykin, 19941 and &.) is a delta function. Let G denote the Green's function for the operator P*P, so that P*PG(a: al) = 6(a - al) (7.27) Then the solution of the regularization problem is given by [Haykin, 19941

where

G is the Green's function for the lth input pattern. The Green's function is a result of the smoothness constraint expressed in the form of a differential operator. If the differential operator P*P is invariant to rotation and translation, then the Green's function is a function of the magnitude of the difference of its arguments, i.e., G(a : al) = G (11 a - al 11). In such a case G is called a radial basis function. For some special cases of the differential operator P, the radial basis function becomes a multivariate Gaussian function [Haykin, 19941. Thus the solution of the regularization problem leads to a radial basis function as shown in Figure 7.6 for the l-D case, where the Green's function is shown by $ (.). The weights are determined by minimizing the error E in Eq. (7.21) which consists of the squared error between the desired and actual output values, and the regularization term, the extent of which is determined by the

250

Architectures for Complex Pattern Recognition Tasks

Figure 7.6

Radial basis function network for function approximation, with one output unit and L hidden units.

parameter h. In the above formulation the number of hidden units is equal to the number of training samples (L) and the centres of the basis function are located at the sample values al. A suboptimal solution to the function approximation is obtained using fewer basis functions. That is, using the radial basis functions, the function F is given by

are the centres of the basis functions to be where H < L, and determined from the given data. The weights of the output units and the centres of the radial basis function can be determined by computation using all the training set data [Haykin, 19941. For a 1-D output function, the desired output dl is a scalar for the given input vector al. That is, Minimizing the error in Eq. (7.21) without regularization ( h = O), the optimum weight vector w = [wl, w2, ...,wHIT is given by where d = [dl, 4,..., dLIT,and @+ is the pseudoinverse of the matrix

Pattern Mapping The elements of the matrix are given by

251

The pseudoinverse of

a+ given by is a+= (aT - aT a)

If regularization (h + 0) is used in the error function, then the corresponding expression for the optimal weight vector is given by [Haykin, 19941 w = (aT@a 0 ) - b T d +h (7.36) where Qo is a p H x H matrix whose jith element is (11 pj- CI, I) . The weights can also be determined by using supervised learning methods like LMS algorithm, in which the weight adjustment a t each stage is given by (See Chapter 1)

where 11 is the learning rate parameter.

7.3.5

RBF Networks tor Pattern Classification

Given a set of training samples in the form of input pattern vectors al, 1 = 1, 2, ..., L and the associated class labels, the objective in pattern classification is to design a system which can classify any new input vector a correctly by assigning the correct class label to it. Note that in a classification problem there will be fewer classes than the number of training patterns, and hence all the class labels are not distinct. In the training set there may be many pattern vectors associated with each of the distinct classes in the problem. The pattern classification problem can be posed as follows [Lowe, 19951: Given an input pattern a , determine the class label Ci such that the a posteriori probability P(Ci (a)of the class Ci is maximum among all classes. This probability can be computed using the probabilities p(a I Ci) and p(a), since

where p(a ( Ci) gives the probability distribution of the data generated for the class Ci and p(a) is the probability distribution of the data vector irrespective of the class. These probability distributions can be expressed in terms of a linear combination of some standard distribution Ma), say Gaussian, in order to reflect the possible multimodal nature of the distribution of the data a belonging to any class. These mixture distributions can be written as Lowe, 19951

Architectures for Complex Pattern Recognition Tasks

and

p(a 1 ci)=
where akand Therefore,

C flj %(a).
j

flj are coefficients of the standard distribution functions.

where $,(a) is the normalized basis function and wii = P(Ci) is the contribution of the output of the basis function to the output unit corresponding to the ith class Ci. Thus the expression for P(Ci I a ) can be viewed as a basis function formulation of the classification problem, and the corresponding radial basis function network is shown in Figure 7.7.
Basis function

fli/aj

Class labels

C,

CN

Figure 7.7 Radial basis function network for pattern classification. The number of input nodes depends on the dimensionality of the input vector. The number of output nodes is equal to the number of distinct classes. The number of hidden nodes is equal to the number of basis functions used in the network The number and shapes of the basis functions depend on the closeness of the input data in riig the t a n n set.

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The basis functions for classification tasks are determined from the input data in the training set. The number and shapes of the basis functions depend on the 'closeness' property of the input data in the training set. This can be determined using an unsupervised clustering of the input data. The representation of the clusters is somewhat simplified if the basis functions are assumed to be of Gaussian type, so that the parameters of each cluster can be determined by computing the first (mean) and second (covariance matrix) order statistics of the input data for each cluster. In other words, the probability distribution of each cluster is assumed to be elliptical. Note that in the classification task the basis fundions are solely determined by the distribution of points in the training set in the input space. It involves determination of clusters first and then fitting a distribution to each cluster. The number of clusters and the parameters of the basis functions can be either computed using the entire training set data or can be learned using learning techniques [Haykin, 1 9 1 94. Once the basis functions are determined, then the weights in the output layer can be obtained from the training data either by computation using matrix inversion or by supervised learning using gradient descent methods. To illustrate the steps involved in a pattern classification task, let us consider the 2-D cluster points given in Figure 7.8, where each 'O', class is indicated by a separate symbol like '2, etc. The first step is to determine the clusters using any standard clustering algorithm [Haykin, 1 9 1 or by any of the unsupervised learning methods 94

Figure 7.8 2-D data points belonging to three classes.

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Architectures for CompLex Pattern Recognition Tasks

described in Chapter 6. The umber of clusters can be fixed a priori, or a criterion may be used to determine the optimum number of clusters [Dubes, 19871. Thm a basis function is derived for each cluster. If a 2-D Gaussian function is assumed, then the mean and covariance matrix are deriv;?d for each cluster to represent the corresponding Gaussian bmls function $(a). That is

where p is the mean vector of the cluster points and R is the covariance matrix of the cluster. The i$h element of the matrix R is given by (7.42) i, j = 1 , 2 Ro. = (ali- CL,)(aU k,), -

x
1

where I is the index for the sample pattern in the cluster, and = SEi and k = G are the mean values of the ith andjth components , , of the input vectors. They are given by 6 = Fa,i, for all i . For the kth cluster, $ = qk and the mean vector and covariance matrix can be indicated by p = pk and R = Rk, respectively. The basis functions specified by the mean vector and the covariance matrix for each cluster determine the computations to be of performed at the hidden units. The number (H) hidden units is equal to the total number of clusters: The number (N)of the output units is equal to the number of distinct classes. The desired response for the classification task is represented by an N-dimensional vector, with a 1 at the output of the unit corresponding to the correct class, and a 0 at the output of all other units. That is, the desired output vector is given by d = [O 0 1 0, ..., OIT for an input pattern a belonging to the class 3. Using the training set data, which consists of a set of input vectors and the desired class labels, the output weights wo. can be determined by any of the following methods: 1. Determination of weights by matrix inversion: For the Ith pattern pair, the error between the desired and actual outputs is given by

The total error E = ?El is minimized to determine the optimum weight matrix. This requires computation of pseudoinverse of a matrix and uses all the training data in the computation of the matrix.

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2. Determination of weights by learning using LMS algorithm: Since the output units are assumed linear, the instantaneous error can be used to adjust the weights as in the LMS algorithm. That is,

Aw, = - q dlij= 1

where q is the learning rate parameter.

w, $j(al)

For the optimum weight matrix, the network output Fi(a)from the ith unit is an approximation to the conditional expectation E[di ( a] in the mean squared error minimizing sense. The conditional expectation &IdiI a1 in turn is equal to the probability P(Ci 1 a) [White, 1989; Richard and Lippmann, 19911. Thus a trained radial basis function for classification gives as output the a posteriori probabilities P(Ci 1 a), i = 1,2, ..., N, for a given input vector. The class Ck for which P(Ci 1 a) is maximum for all i, is the class to which the input vector a belongs. We have noted that the basis function networks provide several advantages over the multilayer feedforward neural networks. The main advantage is that the training of the basis function networks is much faster than the MLFFNN. This is because the basis function networks are developed specifically for the tasks such as function approximation or pattern classification, instead of arbitrary mapping that is sought to be achieved by the MLFFNN. The first layer of the basis function network involves computation of the nonlinear basis function values for each new input vector in order to determine the outputs of the hidden units. These computations generally take much more time than for the linear basis function (inner product) computations in a MLFFNN. Thus the pattern recall takes more time for the basis function networks. There are other types of networks where the training is completely avoided. They are called Generalized Regression Neural Networks (GRNN) for function approximation tasks and Probabilistic Neural Network (PNN) for pattern classification tasks [Specht, 1991; Specht, 1988; Specht, 1990; Wasserman, 19931. Both of them typically use as many hidden units as there are training input patterns. These networks are similar to the basis function networks, except that there is no training<nvolved.GRNN is based on nonlinear regression theory and can be designed to approximate any continuous function [Specht, 19911. On the other hand, PNN is based on Bayesian classification theory and uses Parzen windows to approximate the probability distribution of the input pattern [Parzen, 19621. GRNN finds the regression estimate, i.e., the expected value of the output of the network given the input vector. This can be shown to be an optimal estimate in the mean squared sense. Any estimate that is optimal in

256

Architectures for Complex Pattern Recognition Tasks

the mean squared sense also approximates a Bayesian classifier [Geman et al, 1992;Richard and Lippmann, 19911.Thus GRNN and the PNN can be related. The effectiveness of a l the basis function networks depends on l the choice of suitable windows or basis functions with appropriate values for the spreads. This is because of the dependence of the networks on the local nature of the input space. In contrast, the MLFFNN captures the global information. Any attempt to make the choices of the windows optimal increases the training time due to the optimization process involved in determining the number of clusters, cluster centres and their spreads.
7.3.6

Counterpropagatlon Network

In a multilayer feedforward neural network the training process is slow, and its ability to generalize a pattern mapping task depends on the learning rate and the number of units in the hidden layer. In the use of radial basis functions the unsupervised part of the learning involves determination of the local receptive field centres and the spread in the input data corresponding to each hidden unit. The centres are determined using a vector quantization approach. This could be done either by computation or by learning from the input data. On the other hand, a different pattern mapping strategy, namely counterpropagation, uses winner-take-all instar learning for the weights from the units in the input layer to the units in the hidden layer. The counterpropagation network (CPN) provides a practical approach for implementing a pattern mapping task, since learning is fast in this network [Hecht-Nielsen, 1987;HechbNielsen, 19881.The network (Figure 7.9)consists of two feedforward networks with a common hidden layer. The feedforward network formed by

Layers

w 3

Figure 7.9 Counterpropagation network.

Pattern Mapping

257

layers 1,3 and 2 is used for forward mapping and the network formed by layers 5, 3 and 4 is used for inverse mapping (if it exists) between the given input-output pattern pairs. Each feedforward netwrok uses a combination of instar and outstar topologies. The first and second (hidden) layers of a feedforward network form a competitive learning system and the second (hidden) and third layers form an outstar structure. Learning takes place in the instar structure of the competitive learning system to code the input patterns a, and in the outstar structure to represent the output patterns bl. The training of the instar and outstar structures are as follows:
Tralning instars of CPN: 1. Select an input vector a, from the given training set (al, bl), Z = 1, 2, ...,L. 2. Normalize the input vector and apply it to the CPN competitive layer. 3. Determine the unit that wins the competition by determining the unit k whose vector w kis closest to the given input. 4. Update the winning unit's weight vector as

5. Repeat Steps 1 through 4 until all input vectors are grouped properly by applying the training vectors several times.
After successful training the weight vector lea* to each hidden unit represents the average of the input vectors corresponding to the group represented by the unit.
Tralnlng outstars of CPN: 1. After training the instars apply a normalized input vector a, to the input layer and the corresponding desired output vector b, to the output layer. 2. Determine the winning unit k in the competitive layer. 3. Update the weights on the connections from the winning competitive unit to the output units

4. Repeat Steps 1 through 3 until all the vector pairs in the training data are mapped satisfactorily. After successful training the outstar weight vector for each unit in the hidden competitive layer represents the average of the subset of the output vectors corresponding to the input vectors belonging to that unit. Depending on the number of units i n , the hidden layer, the

258

Architectures for Complex Pattern Recognition Tasks

network can perform any desired &apping function. In the extreme case, if a unit is provided in the hidden layer for each input pattern, then any arbitrary mapping (al, bl) can be realized. But in such a case the network fails to generalize. It merely stores the pattern pair. By using a small number of units in the hidden layer, the network can accomplish data compression. Note also that the network can be trained to capture the inverse mapping as well, i.e., al = +-'(bl), provided such a mapping exists and it is unique. The name counterpropagation is given to this architecture due to the network's ability to learn both forward and inverse mapping functions.

7.4 Stability-Plasticity Dilemma: ART

Many pattern mapping networks can be transformed to perform pattern classification or category learning tasks. However these networks have the disadvantage that during learning the weight vectors tend to encode the presently active pattern, thus weakening the traces of patterns it had already learnt. Moreover, any new pattern that does not belong to the categories already learnt is still forced into one of them using the best match strategy, without taking into account how good even the best match is. The lack of stability of weights as well the inability to accommodate patterns belonging to new categories, led to the proposal of new architectures for pattern classification. These architectures are based on adaptive resonance theory (ART) and dre specially designed to take care of the so called stability-plasticity dilemma in pattern classification [Carpenter and Grossberg, 19881. ART also uses a combination of instar-outstar networks as in the CPN, but with the output layer merged with the input layer, thus forming a two-layer network with feedback as shown in Figure 7.10. The minimal ART network includes a bottom-up competitive learning F, Layer
I

[, wJ
[U$

F, Layer

.. .
a

...

"1

a;

a,

Figure 7 1 ART network. .0

Stability-Plasticity Dilemma: ART

259

system (F1to F,) combined with a top-down (F, to F,) outstar pattern learning system. The number of units in the F2 layer determines the number of possible categories of the input patterns. When an input pattern a*is presented to the Fl layer, the system dynamics initially follows the course of competitive learning, leading to a winning unit in the competitive F2layer depending on the past learning of the adaptive weights of the bottom-up connections from F, to F,. The signals sent back h m the winning unit in the F, layer down to F, via a topdown outstar network correspond to a prototype vector. This prototype vector is compared to the input pattern vector at the F, layer. If the two vectors match well, then the winning unit ip the F2layer determines the category of the input pattern. If the match is poor, as determined by a vigilance parameter, then the winning unit in the F, layer does not represent the proper class for the input pattern a. That unit is removed from the set of allowable winners in the F2layer. The other units in the F, layer are likewise skipped until a suitable match is obtained at the F, layer between the top-down prototype vector and the input vector. When a match is obtained, then both the bottom-up and top-down network weights are adjusted to reinforce the input pattern. If no match is obtained, then an uncommitted unit (whose category is not identified during training) in the F2layer is committed to this input pattern, and the corresponding weights are adjusted to reinforce the input. The above sequence of events conducts a search through the encoded patterns associated with each category, trying to find a s 6 c i e n t l y close match with the input pattern. If no category exists, a new category is made. The search process is controlled by two subsystems, namely the orienting subsystem and the attentional subsystem. The orienting subsystem uses the dimensionless vigilance parameter that establishes the criterion for deciding whether the match is good enough to accept the input pattern as an exemplar of the chosen category. The gain control process in the attentional subsystem allows the units in the F, layer to be engaged only when an input pattern is present, and it also actively regulates the learning Freeman and Skapura, 19911. Stability is achieved in the ART network due to dynamic matching and control in learning. Plasticity is achieved in the ART due to its ability to commit an uncommitted unit in the F2 layer for an input pattern belonging to a category different h m the categories already learnt. In ART information from units reverberates back and forth between two layers. Once the proper patterns develop, the neural network can be said to be in resonance. During this resonance period the adaptive weights are adjusted. No learning takes place before the network reaches a resonant state. ARTl network was proposed to deal with binary input patterns [Carpenter and Grossberg, 19881. The algorithm for binary valued ARTl is as follows [Bose and Liang, 19961:

260

Architectures for Complex Pattern Recognition Tasks

wji is the weight from the ith unit in the F1 layer to the j t h unit in the F2 layer. wj is the weight vector leading to the jth unit in the F2 layer from all units in the F1 layer. uG is the weight from the jth unit in the F2 layer to the ith unit in the F1 layer. vj is the weight vector (prototype vector) emanating from the jth unit in the F2 layer to all the units in the F, layer. Initially set all the components of all the prototype vectors to 1. That is uG = 1, for all i and j. This will enable the uncommitted units in the F2 layer also to compete in the same way as the learned units. Initialize all wUsto random values in the range 0 to 1. 1. Enable all the units in the F2 layer. 2. For an input binary pattern a to the F1 layer, determine the winner unit k in the F2 layer by computing T1 k = arg [ max wj a .
j

3. A similarity measure between the winning prototype vk and the input a is computed and compared with a vigilance parameter (0 < p c 1). The similarity measure gives the fi-action of bits of a that are also present in vk. That is

i=l

Once the prototype associated with the winner unit k passes the vigilance test, then go to Step 4 to adjust the weight vectors associated with the kth unit both in the forward and backward directions. If the vigilance test fails, then the output unit k is disabled and another winner is selected by repeating Steps 2 and 3. If none of the committed units in the F2 layer passes the vigilance test, then an uncommitted unit is committed to the input pattern and the corresponding prototype vector vk is set equal to the input pattern a. That is vk = a. 4. The weights are adjusted as follows: where
A

is the logical AND operation and

wk(m+ 1) can be viewed as normalized version of vk(m+ I),

i=l

Stability-Plasticity Dilemma: ART

261

normalized with the number of 1's in the vector. The factor 0.5 in the denominator is used to avoid division by zero. With this choice of wk the inner product wTa computed in Step 2 can be interpreted as the fraction of bits of the prototype vector v.that are in the input vector a also. Thus the winner-take-all decision selects the winner unit that corresponds to a prototype vector that has maximum number of bits matching with the bits in the input vector a. In implementation the ART1 network operates automatically through the use of the gain parameter (G) and the reset parameter (R). The gain control unit operates as follows: If all the units in the F2 layer are OFF, then G = 1. If one of the units in the F2 layer is ON, then G = 0. The gain parameter G is generated using the function

where fix) = 1, if x > 0, and fix) = 0, if x I 0. The quantity y, is the output of the jth unit in the F2layer and is either 1 or 0 depending on whether the unit j is a winner or not. If all units in the F2layer are OFF, then y, = 0, for j = 1,2, ...,N. Assuming that there is at most one nonzero component in the input vector a, the argument of fl.) is greater than 0. Hence G = 1. For any winning unit in the F2 layer, one of the y,5 will be 1. Then the argument of fl.) is less than 0. Hence G = 0. The output of the ith unit in the Fllayer is given by

This computes the output of the ith unit in the Fl layer as xi = ai A v& if the unit k is the winner, since yk = 1 and y, = 0, for j ;t k, and also G = 0. If none of the units in the F2layer are ON, then y, = 0, for all j and G = 1, and hence xi = ai, for all i. Thus equation (7.46) represents a 213 rule since xi = 1 if any two out of the three variables in the argument are 1. The reset value R is computed as follows: R =f pCai-Cxi
i
i=1

If the vigilance test

Architectures for Complex Pattern Recognition Tasks succeeds, then the argument of f(.) will be negative, and hence R = 0. That is there is no reset. On the other hand, if the vigilance test fails, then the argument off (.) is positive and hence R = 1. Then the current winning unit is disabled and all the units in the F2layer are reset to OFF. Hence G = 1. Therefore another winning unit will be selected. Figure 7.11 illustrates the clustering performance of ART1 for 24 binary patterns each having 4 x 4 pixels. It can be seen that lower vigilance p = 0.5 case produces fewer clusters than the larger vigilance p = 0.7 case. ART2 network was developed to self-organize recognition categories for analog as well as binary input patterns [Carpenter and Grossberg, 1987; Carpenter et al, 1991bl. Figure 7.12 illustrates the clustering of analog signals by an ART2 network. Here 50 patterns, each of 25-dimensional vector of analog values are clustered for two values of the vigilance parameter p. As expected smaller vigilance value produces fewer clusters. A minimal ART network can be embedded in a larger system to realize an associate memory. A system like CPN or multilayer bl) feedforward network directly maps pairs of patterns (al, during learning. If an ART system replaces the CPN, the resulting system becomes self-stabilizing. Two ART systems can be used to pair sequences of the categories self-organized by the input sequences. The pattern recall can occur in either direction during performance as in BAM. This scheme brings to the associate memory paradigm the code compression capabilities, as well as the stability properties of ART [Carpenter, 19891. ART3 network was developed for parallel search of distributed recognition codes in a multilevel network hierarchy [Carpenter and Grossberg, 19901. All these three ART models are based on unsupervised learning for adaptive clustering. On the other hand, ARTMAP architecture performs supervised learning by mapping categories of one input space onto categories of another input space, and both the sets of categories are determined by two separate ART systems [Carpenter et al, 1991al. Fuzzy ARTMAP extends the ideas of ARTMAP to include additional knowledge in the form of production rules and fuzzy logic [Carpenter et al, 1991c; Carpenter and Grossberg, 19961. Note that ART models belong to the class of match-based learning as opposed to error-based learning of the backpropagation networks. In match-based lealiiing the weights are adjusted only when the external input matches one of the stored prototypes, whereas in error-based learning the weights are adjusted only if there is an error between the actual output and the desired output. Thus match-based learning tends to group similar patterns whereas error-based learning tends to discriminate dissimilar patterns.

Figure 7.11 Clustering of random binary pattens by ARTl network for two different values of the vigilance parameter. (a) p = 0.5 and (b)p = 0.7. The top row in each case shows the prototype patterns extracted by the ARTl network [Adapted from Hassoun, 19951.

Architectures for Complen Pattern Recognition Tasks

Temporal Patterns

265

7.5 Temporal Patterns

The ANN architectures described so far are applicable for recognition of patterns on the basis of information contained within the pattern itself. Even if a sequence of patterns with temporal correlations is presented, the previous or subsequent patterns have no effect on the classification of the current input pattern. But there are many applications (for example, speech recognition) where it is necessary to encode the information relating to the time correlation of spatial patterns, as well as the spatial pattern information itself. In a temporal pattern the ordering among the components in the sequence is important. The components themselvea may be fixedtrigid like printed text symbols, or they may be varying naturally due to production and context as in the case of sound units in speech or symbols in a cursive script. Temporal patterns could be very complex depending on the extent of influence of the context and the inherent variability of each component. In this section we consider simple temfioral pattern sequences in which each component is of fixed duration, and it depends only on the components adjacent to it. There are three types of problems involving temporal sequences [Hertz et al, 19911: (a) Sequence recognition in which the objective is to determine the class label of a given temporal pattern. This is like the standard pattern classification task performed by a multilayer feedforward neural network. (b) Sequence reproduction in which the desired temporal pattern is generated from a partial input of the pattern. This is like an autoassociation task in the feedback neural networks. This can also be viewed as a pattern completion task. One can also interpret prediction of time-series data as a sequence reproduction task. (c) Temporal association in which the desired sequence is generated as an output in response to a given input sequence. This can be viewed as generalization of the hetmassociation task for temporal sequences. Architectures for temporal pattern recognition tasks have evolved from the well-understood principles of multilayer feedforward and feedback neural networks. In order to use models based on these known architectures, it is necessary to represent the temporal pattern as a static spatial pattern. For this representation, delay units are used to store a fixed number of components belonging to the preceding instants. Thus a temporal pattern is represented using a tapped delay line as shown in the input layer in Figure 7.13.The figure illustrates an architecture for temporal pattern recognition using a multilayer feedforward neural network. The disadvantage of this approach is that the length of the sequence has to be fixed a priori. Also, a large number of training sample sequences are required for learning and

Architectures for Complex Pattern Recognition Tasks

Figure 7.13 A tapped delay neural network with one input and M delays
in the input layer, one hidden layer and a single unit output layer.

generalization. Moreover, the input signal must have precise time registration. Many natural signals like speech do not conform to these restrictions. One of the early architectures proposed for classification of spatiotemporal patterns (STP) is based on the Grossberg formal avalanche structure [Grossberg, 19691. The structure of the network shown in Figure 7.14 resembles the top two layers of the CPN, and both use multiple outstars [Freeman and Skapura, 19911. The avalanche architecture shows how a complex spatio-temporal pattern can be learned and recalled. Let a(t) = (a,(t), a2(t),...,aM(t))be the spatial pattern required at time t. The sequence of a(t) at time intervals of At in the range to I t I t, correspond to the desired spatio-temporal pattern. The unit labelled to is activated and a(to) is applied, which

Figure 7.14 Avalanche architecture.

Temporal Patterns

267

is to be learned by the outstar's output units. The second pattern a(to+At) is applied while activating the second outstar, labelled to+ At. This process is continued by activating successive outstam until all the patterns in the sequence have been learned. Replay of the learned sequence can be initialized by stimulating the to unit, while a zero vector is applied to the a inputs. The output sequence b(t)= a(t), for to I t It,, is the learned sequence. More sophisticated time delay neural network architectures were proposed for recognition of speech patterns [Waibel, 19891. These will be discussed in Chapter 8. Once the temporal pattern is represented as a static pattern, a recognition system can be developed by template matching using principles of competitive learning or self-organization. Kohonen's phonetic typewriter is an example of such an architecture, which will be described in Chapter 8 [Kohonen, 19881. Tank and Hopfield [1987a; 1987131 proposed an associative memory based approach for temporal pattern recognition using the exponential kernels representation of temporal patterns. This representation replaces the h e d delays with filters that broaden the signal duration in time as well as delaying it. Figure 7.15 shows four

Figure 7.15 Four time reversed exponential kernel functions which are used to window the time signal x(t). The network input at time t for a four delay network are averages of the past signal weighted by these functions.

typical exponential kernels for four delays. The network inputs at time t for a four delay network are averages of the past signal weighted by these functions. This representation is more robust and can handle speech-like signals. Recurrent network models are more natural models to deal with temporal patterns. But training will be a problem with these models. Several partially recurrent models were proposed in the literature [Elman, 1990; Jordan, 1986; Stornetta et al, 1988; Mozer, 19891. The connections are mostly feedforward with a few selected fixed feedback

268

Architectures for Complex Pattern R e c o g m t m d h &

connections so as to keep the training within manageable complexity. Thus the recurrent part is realized with context units in different configurations. The context units receive the feedback signals as shown in Figure 7.16 for the configuration proposed by Jordan [19861.

Figure 7.16 Architecture with context unita to receive feedback signals. Only two unita are considered for each of the input, feedback, hidden and output layers for illustration.

The input layer consists of two parts. One part (input units) receives external inputs and the other part (context units) receives feedback from output units with unit gain. There is also a self-feedback with gain a < 1 on the context units so that the inputs to the hidden layer units from the context units have exponentially decaying memory of the past. Therefore the output of the ith context unit Ci(t) is given by

where oi(t) is the output of the ith unit in the output layer a t time t. Thus the context units accumulate the weighted average of the past o u t ~ u values. With a fixed input pattern the network can be trained t using backpropagation learning to generate a desired output sequence. Thus different fixed input patterns can be associated with different output sequences [Jordan, 1986; Jordan, 19891. By applying a sequence of patterns at the input, one at a time, and a fixed output for each sequence of the inputs, the network can be trained to distinguish different input sequences. Thus temporal pattern

Temporal Patterns

269

recognition can be achieved. Anderson et al, [I9891 have studied the problem of recognizing a class of English syllables using this network. Partially recurrent networks have been proposed for time-series prediction which involves prediction of the future patterns based on the patterns learnt fiom the past data. In these cases the network is designed to capture the pattern behaviour embedded in the past data. These ideas have been applied in several forecasting situations such as in the case of financial markets [Weigend and Gershenfeld, 1993; Lapedes and Farber, 1988; Weigend et al, 19911. Ideas based on time-series prediction have also been exploited for identification of nonlinear dynamical systems using partially recurrent networks [Narendra and Parthasarathy, 19901. The nonlinear plant dynamics is given by x(t + 1) = g[x(t),x(t - I),...,x(t - n); u(t), u(t - I),..., u(t - m)] where m I n, and u(t) and x(t) are the input and output signals of the plant at t, respectively. The function g(.)is a nonlinear function representing the dynamics of the plant. The network shown in Figure 7.17 is trained with backpropagation learning using the actual
Actual output Desired output

rn
Feedforward neural network
I

Lf'
plant
I

.(t)

Figure 7.17 Partially recurrent neural network for identification of

nonlinear dynamical system.

output from the plant. During training the same input is given to the plant as well as to the network. If the network has generalized from the training data, then for an input u(t) it produces an output 4(t + 1) which is almost close to the actual output, thus predicting the plant's output. Fully recurrent networks are more efficient in terms of number

270

Architectures for Complex Pattern Recognition Tasks

of units, in order to realize temporal association tasks. Here the individual units may represent input units, output units or both. The desired outputs are specified on some units at some predetermined time instants. A two-unit fully recurrent network is shown in Figure 7.18 with the unit 1 as input unit and the unit 2 as the oMput unit. The desired output is specified on the unit 2.

Figure 7 1 A two unit recurrent network. .8 If sequences of small lengths (P) (measured in time units) are involved, then the recurrent network p a y be unfolded into a feedforward network with P layers as shown in Figure 7.19 for

Figure 7 1 Feedforward network generated by unfolding a recurrent .9

network in time by four time u i s nt.

P = 4. In this case the desired outputs are specified for units in the hidden layers also. Moreover, the errors are propagated not only from the outputs of the final layer but also from the outputs of the hidden layers as well. It should also be noted that the weights are copied for different layers. The average increment of all the corresponding weights is used for updating. This is called backpropagationthrough-time learning method [Rumelhart et al, 19861. This is not a very efficient method for long sequences. One interesting application of backpropagation-through-time is the truck backer-upper problem

Pattern Variability: Neocognitron

271

deshbed in [Rumelhart et al, 19861, in which the goal is to design a controller that successfully backs up a truck so that the back of the trailor designated by the (x, y ) coordinates ends at (0, 0) with the trailer perpendicular to the dock, when only backward movements of the truck are allowed. Williams and Zipser [I9891 proposed a real time recurrent learning method for on-line learning of the time sequences. It can thus deal with sequences of arbitrary length. It was shown that the real time recurrent network can be imined to be a flip-flop or even a finite state machine. F'inally, Pearlmutter [I9891 developed an algorithm for training a continuous time recurrent network. It can be viewed as a continuous time extension of backpropagation-through-time learning.

7.6 Pattern Variability: Neocognitron

Visual pattern recognition, such as recognition of handwritten characters or hand-drawn figures, is done effortlessly by human beings despite variability of features in different realizations of the pattern of the same character or figure. The patterns considered in the architectures described so far assume that the objects in the training and test patterns are identical in size, shape and position, except that in some cases there may be some noise added or some portions of the pattern missing. Models of associative memory can recover complete patterns from such imperfections, but normally cannot work if there is variability or deformation in the patterns of the test input. Neural network models based on our understanding of human visual pattern recognition tend to perform well even for shifted and deformed patterns. In the visual area of the cerebrum, neurons respond selectively to local features of a visual pattern such as lines and edges. In areas higher than the visual context, cells exist that respond selectively to certain figures like circles, triangles, squares, human faces, etc [Fukushima, 19751. Thus the human visual system seems to have a hierarchical structure in which simple features are first extracted from the stimulus pattern, then integrated into more complicated ones. A cell at a higher stage generally receives signals from a wider area of the retina and is less sensitive to the position of the stimulus. Within the hierarchical structure of the visual system are forward (afferent or bottom-up) and backward (efferent or top-down) propagation of signals. This kind of physiological evidence suggests a neural network structure for modelling the phenomenon of visual pattern recognition. The objective is to synthesize a 'neural network model for pattern recognition for shifted and deformed patterns. The network model learns with a teacher (supervised learning) for reinforcement of the adaptive weights. The network model is called neocognitron. It is a hierarchical network (Figure 7.20) consisting of many layers of cells,

Architectures for Complex Pattern Recognition Tasks

Figure 7.20 Neocognitron architecture. A hierarchical structure of neocognitron for recognition of alphanumeric characters. The first stage of the network consists of a 2-dimensional array of receptor cells. Each succeeding stage has layers consisting of S cells and C cells alternatively. Each layer is organized into groups of these cells, each group responding to a particular geometrical position. The numbers show the total numbers of S and C cells in individual layers of the network S cells are feature extracting cells. The C cells are inserted to allow for positional errors in the feature. [Adapted fmm Fukushima et al, 19911.

and has variable connections between cells in adjoining layers. It can be trained to recognize any set of patterns. ARer training, pattern recognition is performed on the basis of similarity in shape between patterns, and the recognition is not affected by deformation, or changes in size, or shifts in the positions of the input patterns [Fukushima, 19881. In the hierarchical network of the neocognitron, local features of the input pattern are extracted by the cells of the lower stage, and they are gradually integrated into more global features. Finally, each cell of the highest stage integrates all the information of the input pattern, and responds only to one specific pattern. During the process of extracting and integrating features, errors in the relative positions of the local features are gradually tolerated. The operation of tolerating positional error a little at a time at each stage, rather than all in one step, plays an important role in endowing the network with the ability to recognize even distorted patterns [Fukushima et al, 19911. Neocognitron also provides backward connections which will enable it to realize the selective attention feature of the visual pattern recognition system. The selective attention feature relates to two or more patterns simultaneously present in the data, and our ability to focus on the desired one. Neocognitron was developed for recognition of handwritten characters, although the ideas used in the architecture may be extended to other situations of pattern variability [Fukushima et al, 19911.

Summary

7.7 Summary
The objective of this chapter is to highlight the need for evolving architectures specific to particular tasks. In this context we have discussed neural network architectures for five classes of pattern recognition tasks, namely, associative memory, pattern mapping, stability-plasticity dilemma, temporal patterns and pattern variability. These architectures use the well understood principles of models of neurons, their interconnections and network dynamics. The bidirectional associative memory is similar in principle to the Hopfield model. The extension of these principles to multidirectional and temporal associative memories is straightforward. Pattern mapping task is one of the well studied pattern recognition tasks in neural network studies.. We have also highlighted the fact that all pattern mapping problems are not generalizable by a neural network architecture. The specific characteristics of generalizable problems are exploited for developing suitable architectures as in the radial basis function networks. It is interesting to note that pattern classification and function approximation tasks automatically lead to radial basis function network architectures. The adaptive resonance theory networks for stability-plasticity dilemma have evolved over a long period of nearly 20 years, with different networks addressing different situations, such as discrete, analog and fuzzy data situations. It is one of the most sophisticated architectures developed for a variety of problems [Carpenter and Grossberg, 1996; Grossberg, 19961. We have considered a few simple neural network architectures for temporal pattern recognition as well as generation. More sophisticated architectures are needed to exploit the temporal pattern behaviour directly without processing individual frames of data. Finally, the neocognitron architecture for pattern variability task has been discussed briefly. Development of neocognitron structure clearly demonstrates how issues specific to a given task need to be addressed.

Review Questions
1 Explain the following with reference to memory in artificial . neural networks: (a) Transient memory, (b) Temporary memory, (c) Short-time memory, and (d) Long-term memory. 2. Distinguish between content-addressable and address-addressable memories. 3. What is an associative memory? 4. What are the requirements of an associate memory? 5. Distinguish between static and dynamic memories.

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Architectures for Complex Pattern Recognition Tasks

6. Distinguish between heteroassociative and

7.

8. 9.

1. 0 1. 1

1. 2 1. 3 1. 4 1. 5 1. 6

17.

1. 8
19. 2. 0

21. 2. 2 2. 3 24.

autoassociative memories. What is a linear association? What are its limitations as an associative memory? What is a recurrent autoassociative memory? How is noise suppression achieved in a recurrent autoassociative memory? What is a Bidirectional Associative Memory? What is meant by 'BAM is unconditionally stable'? Explain the following terms with reference to an autoassociative memory: (a) Storage, (b) Encoding, (c) Retrieval, (d) Stability, and (e) Performance What is meant by synchronous and asynchronous update in BAM? What is an adaptive BAM? What is a MAM? Explain why MAM will have superior performance over BAII for pattern retrieval. What is a temporal associative memory ? What are its limitations in recalling a sequence of temporal patterns? Explain the distinction between (a) pattern association and pattern classification tasks. (b) pattern classification and function approximation tasks. What is meant by generalization in the context of (a) pattern classification and (b) function approximation tasks? Illustrate with examples. Why is it that any arbitrary pattern association task does not fall under the category of generalizable problems? What is meant by (a) surface features and (b) deep features? Why a general MLFFNN is not likely to generalize a problem always? Explain the concept of 'closeness' of data and 'smoothness' of a mapping function. Explain why is it that an MLFFNN does not take closeness of data into account. Give the architecture of a basis function network. What is the significance of the regularization term in the cost function for a function approximation problem?

Review Questions

275

25. Explain the significance of regularization using constraints on 26. 27. 28. 29. 30. 31.

32. 33. 34. 36. 36.

37. 38.

39. 40. 41. 42.

43. 44.
45.

the weights. Explain how the constraint of smoothness is realized by the square integrable derivatives of the mapping function. What is the significance of Green's function? Explain the behaviour of a radial basis function method for function approximation for different values of the regularization parameter. Explain how a pattern classification problem leads to a radial basis function network. What decides the basis functions in a pattern classification problem? Explain the basis for the statement: A trained radial basis function for classification gives as output the a posteriori probabilities P(Cil x) of each class for a given input vector x. How do you determine the basis fUndions for a given pattern classification task? How do you determine the weights of the output layer of a radial basis fundion network for a given pattern classification problem? Discuss the significance of the number and distribution of clusters on the performance of a pattern classification task. What is a probabilistic neural network? In what way it is different from a basis fundion network? What is a generalized regression neural network? In what way it is different from a basis function network for function approximation? What is a counterpropagation network? Explain the differences in the performance of multilayer feedforward neural network and counterpropagation network for a pattern mapping task. What is the significance of 'resonance' in ART network? Explain briefly the operation of an ART for binary patterns? Explain the 'gain control' mechanism in ART. Explain how the orienting subsystem works in ART network. What are some extensions of the ART concept? What is a temporal pattern, and in what way it is different from a static pattern? Explain the three categories of problems involving temporal patterns.

276

Architectures for Complex Pattern Recognition Tasks

46. What is an 'avalanche' architecture? 47. What is the disadvantage of fixed delay neural networks for temporal pattern classification and how is it overcome in an

associative memory based approach?

48. What are partially recurrent neural networks? 49. What is meant by backpropagation-through-time?

50. Explain the principle of neocognitron for pattern variability task.

Problems
1. Prove that BAM is unconditionally stable for any binary units. 2. Prove that BAM for binary or bipolar units is stable for asynchronous update of units. (Hint: Convert BAM into a feedback network of Hopfield type.) 3 Construcl-dlllexample to show that pattern recall is superior in . a tridirectional associative memory compared to a bidirectional associative memory. (See [Zurada, 1992, , p. 3681) 4. Show that the weight vector for a radial basis function network for function approximation task is given by (Eq. (7.36)). (See [Haykin, 1994, p. 2581) 5. Generate training data for the following two functions: fix) = logx, 1 l x l l O and fix) = exp(-x), I S x S l O . Design a suitable MLFFNN with one hidden layer to capture the mapping function from the training data. Explain the complexity (in terms of number of hidden units of the network) to the function being mapped. (See Haykin, 1994, p.2311) 6. Cluster all the 5-bit binary vectors except the all zero vector, .10 0 ... 0IT, using ART1 algorithm. Study the effect of vigilance parameter on the resulting clusters. 7. Study the classification performance of a RBFNN for the 2-class problem given in the Problem 4.12. Study the performance for two sets of clusters with H = 20 and H = 10. Choose the centres (ti) arbitrarily and the variance of the Gaussian distribution for each cluster as a2/M,where o is the maximum distance between the chosen cluster centres. That is

f o r i = 1 , 2 ,...,N. The weight matrix of the output layer of the network is given by

Problems

277

8.

where G is an M x H matrix of the basis function and Go is an H x H matrix whose elements are given by gii = G( ( 1 ti - ti 11 2). Examine the performance of the network for different values of the regularization parameter X = 0.01, X = 1.0 and X = 100. For binary {O, 11 patterns, the weight vectors are obtained by using (2aU 1)in place of aU,and the threshold of a unit is given 1 M by 8 = - 2 ,f 1 ~ "where ws is the weight leading to the ith unit , ,

t t from the jh input and aU is the jh component of the M-dimensional input pattern. Determine the weights and discuss retrieval of patterns for the following pattern recognition tasks with binary patterns
(a) Feedforward neural network (pattern association) input

a = [llllO1lllT ,

a = [:L0101010]~ ,
b = [ l 11 l l T ,

output b = [ l o1 0IT , Test pattern t = [ 1 1 0 1 1 0 0 l l T

(b) Feedback neural network (pattern storage)

a = [ l l l l O 11llT and a, = [ l o 1 0 1 0 10I T ,

Test pattern t = [ 1 1 011 0 0 l l T
(c) Hamming network (pattern storage) using the data given in (b) (see Section 8.2.1)

9.

(d) Bidirectional associative memoly using the input-output pattern given in (a). Ti-ain a MLFFNN to capture the nonlinear dynamical system given by [Narendra and Parthasarathy, 19901

using inputs u(t) generated using samples uniformly distributed in the range [ - 1, + 11. Consider a network with two hidden layers of 20 and 10 units with bipolar output functions. The inputs to the network during training are x(t),x(t- 1), x(t - 2), u(t) and u(t - 1).Study the perfoxl~lanceof the dystem for two learning rates 7 = 0.1 and 7 = 0.3. Compare the outputs of the model and the system by plotting the outputa for the following input: u(t) = for 0 S t I 500 sin (2d250) 0.8 sin (2nt1250)+ 0.2 sin (2d25) for t > 500

Chapter 8

Applications of ANN
8.1 Introduction
This chapter is devoted to applications of artificial neural network models and some research issues that are being currently addressed in this field. In the applications two different situations exist: (a) where the known neural networks concepts and models are directly applicable, and (b) where there appears to be potential for using the neural networks ideas, but it is not yet clear how to formulate the real world problems to evolve a suitable neural network architecture. Apart from the attempts to apply some existing models for real world problems, several fundamental issues are also being addressed to understand the basic operations and dynamics of the biological neural network in order to derive suitable models of artificial neural networks. In problems such as pattern classification, associative memories, optimization, vector quantization and control applications, the principles of neural networks are directly applicable. Many real world problems are first formulated as one of these problems, identifying the relation between the parameters from the physical data with the input/output data and other parameters describing a neural network. Note that in these cases the ingenuity of the problem solver lies in the formulation part, and several compromises may have to be made in arriving at the formulation. These direct applications are discussed in Section 8.2. While neural network concepts and models appear to have great potential for solving problems arising in practice, for many such problems the solution by neural networks is not obvious. This is because the problems cannot be mapped directly onto an existing (known) neural network architecture. In fact there are no principles guiding us to this mapping. As human beings we seem to perform effortlessly many pattern recognition tasks in speech, vision, natural language processing and decision making, although we do not understand how we do it. For example, in speech our auditory mechanism processes the signal directly in a manner suitable for later

Introduction

279

neural processing. To prepare input to an artificial neural network, the speech signal is normally processed in fixed frames of 10-20 msec duration to extract a fixed number of spectral or related parameters. In this process the temporal and spectral features with proper resolution needed for recognition may not have been captured. There is as yet no neural network architecture which could perform the speech pattern recognition task with the same effectiveness as human beings do. Similar comments apply to problems in the visual pattern recognition also. Some of the other areas where human performance could not be matched by the existing neural network architectures are in motor control and decision making. Despite realization of these issues, there are several situations where neural principles have been used successfully. Some of these applications are discussed in .. Section 8 3 The most important issue for solving practical problems using the principles of artificial neural networks is still in evolving a suitable architecture to solve a given problem. Neural network research is expanding in its scope to take into account the fuzzy nature of the real world data and reasoning, and the complex (and largely unknown) processing performed by the human perceptual mechanism through the biological neural networks. Some of the current research issues *are discussed in Section 8.4. Table 8.1 gives an organization of the topics to be discussed in this chapter.
Table 8.1 Organization of Topics on Applications of Artificial Neural Networks %at applications

Pattern classification Recognition of Olympic symbols Recognition of printed characters Making an opening bid in Contract Bridge game Associative memories Image pattern recall Content addressable memory Information retrieval Optimization Graph bipartition problem Linear programming problem 'i'ravelling salesman problem Smoothing images with discontinuities Vector quantization Control applications

280
Networks (Cont.)

Applications of ANN

Table 8.1 Organization of Topics on Applications of Artificial Neural

Application areas Applications in Speech NETtalk Phonetic typewriter Vowel classification Recognition of consonant-vowel (CV) segments Recognition of stop CV utterances in Indian languages Applications in Image Proceasing Recognition of handwritten digits Image segmentation Texture classification and segmentation
Applications in decision makmg

8.2 Direct Applications

8.2.1 Pattern Classlflcatlon

Pattern classification is the most direct among all applications of neural networks. In fact, neural networks became very popular because of the ability of a multilayer feedforward neural network to form complex decision regions in the pattern space for classification. Many pattern recognition problems, especially character or other symbol recognition and vowel recognition, have been implemented using a multilayer neural network. Note, however, that these networks are not directly applicable for situations where the patterns are deformed or modified due to transformations such as translation, rotation and scale change, although some of them may work well even with large additive uncorrelated noise in the data. Direct applications are successful, if the data is directly presentable to the classification network. Three such cases are considered for detailed discussion in this section. They are: (a) Recognition of Olympic games symbols, (b) Recognition of characters, and (c) Making an opening bid from a dealt hand in the card game of Contract Bridge. As can be seen below, in e'ach of these cases there is no difficulty in presenting the input data to a multilayer neural network. Limits of classification performance will be reached if the symbols are degraded due to 'deformations' in the case of Olympic symbols, or if the input corresponds to casually 'handwritten' characters in the case of character recognition, or if the 'knowledge' of the bidding sequence and the 'reasoning' power of human players have to be used in the bridge bidding problem.

Direct Applications
Recognition of Olympic Games Symbols: We consider a set of 20

Olympic games symbols shown in Figure 8.1 for illustrating a pattern

Archery

Athletics

Baseball

Basketball

Boxing

Gymnastics

Handball

Hockey

Pentathalon

Rowing

-.

Shooting

Swimming

Syncswim

Tennis

1*1

Volleyball

Figure 8.1 Olympic games symbols (20) used for studies on recognition of objects from degraded images.

classification task by a neural network [Ravichandran and Yegnanarayana, 19951. The symbols are all represented as black and white pixels on a 128 x 128 points grid. Although the symbols appear complex in terms of detail, each symbol represents a rigid-object-like behaviour. This behaviour ensures that the relative pixel positions of a symbol do not change even under severe degradation, such as translation, rotation and scaling. For such objects the performance of a neural network classifier is always satisfactory. We discuss the results of classification studies for various types of degradation. The type of degradation studied in this case corresponds to the poor resolution of the image obtained when the image is reconstructed using a sparse set of elements as in a sensor array imaging situation Wegnanarayana et al, 19901. For example, the reconstructed (128 x 128 pt) images from a 16 x 16 element array are shown in Figure 8.2.In this case a Hamming network which performs template matching using neural principles is suitable for classification. The Hamming network is a maximum likelihood classifier for binary inputs, and it performs correlation matching between the input and the stored templates [Lippmann, 19871. It consists of two subnets as shown in Figure 8.3.The lower subnet consists of M(128 x 128)input

Applications of ANN

Archery 46

Athletics 53

Bascball 85

Basket 133

Boxing 141

Canoe 123

Cycling 50

Diving 161

Fence 64

Football 64

Shoot 94 Swim 77 Syncswim 134 Tennis 84 VoUey 95 Figure 86 Recognition results for images reconstructed from data collected from a 16 x 16 element sensor array. The class decision of the network is given along with the activation value of the winning pattern. In this case, all of the 20 images were correctly identified. units, each corresponding to a pixel in the given pattern, and N output units corresponding to the N pattern classes, which in this case is 20. In the lower subnet the connection weights between the input and output units are fixed in such a way that the network calculates the distance from the input pattern to each of the N stored pattern classes. The weights are given by [Lippmann, 19871

where w, is the connection weight from the input unit j to the output unit i in the lower subnet, Ii is the threshold for the ith output unit and ai, is the element j of the pattern for the ith symbol. The values of a @ are -1 or 1. In the upper subnet, the weights are fixed in such a way that the output units inhibit each other. That is
vkl = 1, for k = l =- E, fork#l

where vkl is the connection weight between the units K and I in the upper net, and E is a small positive number, say E = 0.1. When a bipolar pattern is presented for classification, the lower subnet calculates its matching score (si) with the stored pattern for

Direct Applications
the ith class as follows: si = s,(O) = f

283

[X
j

W,X,-

ei

where fl.) is the output function, x, is the jth element of the input pattem and ei is the threshold value for the ith unit. The output of the lower subnet is presented to the upper subnet, where a competitive interaction takes place among the units. The dynamics of the upper subnet is given by

(8.3)

ni The competition continues u t l the output of only one unit remains positive, and the outputs of all other units become negative. The positive unit corresponds to the class of the input pattem. For the set of degraded symbols given in Figure 8.2, the correct classification performance is 100%. The performance ie impressive,

Figure 8.3

The Hamming network. The input and output units are represented by x and y vectors, respectively.

since it is diiEcult even for us to identify visually the discriminating features in many of these images. When the degradation is increased by reducing the resolution using an array of 8 x 8 elements, the recognition performance is only 13 out of 20. Figure 8.4 gives a summary of the recognition performance with different sparse arrays [Ravichandran, 19931. The figure shows the number of patterns correctly classified out of 20. The abwe experiment illustrates the following points: (a) It is interesting to note that many images for

284

Applications o f ANN

Array size Correct Incorrect Figure 8.4 Summary of recognition performance with different sparse arrays (64 x 64, 32 x 32, 16 x 16 and 8 x 8 sensors). Graph shows the number of patterns correctly classified out of twenty patterns in each case.

6 6 the 1 x 1 sensor array size case seem to have very few visual clues (Figure 8.2) for us to recognize, but were recognized correctly by the network. (b) The performance of the classifier degrades gradually with increasing image degradation due to sparsity and noise. (c) The activation values of the winner units are indicative of the level of the image degradation, i.e., greater the degradation the lower is the activation of the winning units. (d) The matching scores obtained at the first layer are measures of similarity of the input pattern with each of the patterns stored in the network. But the activation level of each unit in the second layer is affected by the activation values of all other units. Hence when an output unit becomes positive, its activation level not only reflects how close the input image is to the identified pattern, but also gives an idea of the degree of confidence given to this decision relative to other patterns stored in the network. Thus the activation value also reflects the complexity of the symbol set in terms of how close in shape the symbols are. Thus this study indicates that if the set of expected objects is known, then it is possible to design a neural network for object recognition, where the network performs a simple correlation matching only. In this study only direct pixel-wise description of the object was used, and hence the network may not function well if the objects are deformed due to transformation and scaling. If the images are clean and noise-free, then there exist methods to overcome the effects of metric transformations of the objects. Several neural network models have been proposed for invahant pattern

Direct Applications

285

recognition [Barnard and Casasent, 19911. In the case of networks which achieve invariance by structure, the structure of the network is designed such that the output is invariant to the transformations of interest. In the case of invariance by training, representative samples of various transformations are presented during training so that the network learns equivalent transformations. Invariance by structure or by training assumes the existence of a fixed set of weights which provide invariance over the continuum of transformations. I t also assumes that a network can be trained to estimate this set of weights from examples. But invariances cannot be built as static functions in the structure. They have to be dynamically estimated from the data. Alternatively, one can first address the transformation invariance by feature extraction, and then use these features as input to a classifier [Ravichandran and Yegnanarayana, 19911. Methods based on the theory of geometric moments have been used for normalization and invariant feature extraction mu, 19621. If the object is compact and has only a few details, these invariant measures, which are stable over a wide range of spatial transformations can be designed. In this study the six moment values proposed by Hu [I9621 are used as features invariant with respect to scale, position and orientation. Since these features values vary over a wide range, logarithm of the absolute values of these moments are used as features representing an image. For classification, a feedforward neural network with 6 units in the input layer, corresponding to the input features, and 20 units in the output layer corresponding to the number of different symbols, are used. The network has one hidden layer with 8 units. The number of units in the hidden layer in this case appears to be not very critical as long as it is above a certain minimum value, which in this case is 8. The network was trained with eight different transformed images for each of the twenty symbols. Some samples of the transformed images used in the training are shown in Figure 8.5 for six different symbols. Since reduction in the size of the image causes loss of detail, 100%classification accuracies were obtained only for images reduced upto l/3 of the linear dimension of its original, i.e., when the 128 x 128 pt image was reduced to a 40 x 40 pt image. Further reduction in scale decreases the classification accuracy as shown in Figure 8.6. When sparse data reconstruction is used on the transformed images, the reconstructed images are not only transformed, but also noisy as shown in Figure 8.7 for images reconstructed from a 32 x 32 element sensor array. In this case the computation of moment features had to be done after preprocessing the noisy image. A neural network-based method proposed in bvichandran, 19931 for preprocessing the noisy images is used to derive the preprocessed

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Direct Applications
Tcnnis

Athletics

Baseball

(a) F'igum 8.7

(b) (c) (a) @) (c) Some examplea of transformed imam. (a) Transformed images of four Olympic games symbols, tennis, archer, athletics and baseball. (b) Corresponding images obtained by reconstruction from data collected by a sparse 32 x 32 sensor array. (c)Images in @) after noise suppression. I

images of the objects as shown in Figure 8.7(c) for a few cases of transformation. In this case some features are lost even when there is a scale change of less than l/2 along linear dimensions, and hence there is loss of recognition accuracy as shown in Figure 8.8.
Recognition of prlnted characters: Similar results were obtained

288

Applications of ANN

70

60

50

40

30

20

10

One side length of the scaled image in pixels

Figure 8.8 Transformation invariant recognition of olympic game symbols from degraded images obtained by reconstruction from data collected by a 32 x 32 array. Graph shows the n u b r (out of a set of 60 test patterns) of objects (maximum size 128 x 128) correctly classified as the size of the image is reduced.

when images (128 x 128 pts) of ten characters of alphabet were used in the study of transformation invariant object recognition. The ten characters and some transformed versions of these characters used in the study are shown in Figure 8.9. In this case 100% classification accuracies could be obtained for all the test data upto a scale reduction of 1/12 of the linear dimension of the original, i.e., the reduced image is about 10 x 10 pts. Thus the moment feature approach gives better transformation invariant recognition in this case than in the case of the Olympic games symbols, since the objects are simpler in detail in the case of the printed characters of the alphabet. The above studies illustrate that pattern classifications can be accomplished using neural network models for objects whose images are severely degraded by transformations and noise. But in all these cases the objects were assumed to be rigid, in the sense that there was no relative displacement in different parts of the object. Note that the above illustrations differ fiom the handwritten characters in which different parts of a character are deformed differently in each sample. Thus the classification methods based on correlation matching or training a feedforward network using moment features are not useful for problems such as recognition of handwritten characters.

Direct Applications

305

where q is the learning rate parameter. Kohonen suggested a supervised version of the vector quantization called Learning Vector Quantization (LVQ) Kohonen, 19891. This learning law is applicable when labelled sets of input data are given. The algorithm is given by w(m + 1) = w(m) + q (a(m)- w(m)), w(m + 1) = w(m) - q (a(m)- w(m)), w(m + 1) = w(m), if the input is classified correctly. if the input is classified incorrectly. if the input does aot belong to the class corresponding to w(m).

8.2.5 Control Applications

There are several situations in control applications where the principles of neural networks can be directly applied. The applications include process control, robotics, industrial manufacturing, aerospace and several others [Zurada, 19921. The main task in a control situation is to generate an appropriate input signal to the physical process (plant) to obtain the d p s h d response h m the plant [Narendra and Parthasarathy, 1990; Nguyen and Widrow, 19901. The controller generates the actuating signal when the external input is given. The design of a controller depends on the nature of the plant and the way the input is derived for the controller in the operation of the plant. The plant may be static or dynamic. For a static plant, th8, transfer function is given by a constant. For a dynarnical plant, the transfer function is given by the ratio of the Laplace transform of the plant's output to the Laplace transform of the plant's input [Zurada, 19921. There are two ways of controlling a plant: open-loop control and feedback control. In an open-loop control the controller consists of cascade of a system and the inverse of the plant. The system is used to achieve the desired response for the input. The controller thus generates an actuating signal to the plant to obtain the desired response a t the output of the plant. This needs inverse transfer function of the plant, and the plant should not change its characteristics during its operation. Both these problems are overcome in a feedback control mechanism where the controller is designed in such a way that the output becomes independent of the plant transfer function. Multilayer feedforward networks can be used to capture the characteristics of the plant transfer function or the plant's inverse

306

Applications of

ANN

transfer function. The neural network is then used to design a controller. A detailed discussion on the use of neural networks for control applications can be found in [Hunt et al, 1992; Narendra and Mukhopadhyay, 19921.

8.3 Application Areas

The excitement in neural networks started mainly due to difficulties in dealing with problems in the field of speech, image, natural language and decision making using known methods of pattern recognition and artificial intelligence. Several of these problems have been attempted using the principles of neural networks, and some of these attempts will be discussed in this section. The main issue in all these problems is the representation of the real world problem in a system. The power of a neural network can be exploited provided the problem can be well represented in the network as discussed in Sec. 8.2 on direct applications. But in the application areas to be discussed in this section, the poor and fragile performance of the neural network based system may be attributed to the weakness in the input processing and the mapping of the problem onto the neural network model. Since problems in speech, image, natural language and decision making seem to be solved effortlessly by human beings, our expectations from an artificial system are also high [:Reddy, 1996; Dreyfus, 19921. In this context, it is worth remembering that the human pattern recognition processing is an integrated system of data acquisition, input preprocessing, feature extraction, recognition and understanding. It is not feasible to assess the performance of each of these processes in isolation. In this section some problems in the,application areas of speech and image processing are discussed. A brief discussion on the use of neural networks for expert decision making is also given.
8.3.1

Applications in Speech

Speech signal is the output of a time-varying vocal tract system excited by a time-varying excitation signal. The vocal tract system, including the coupling of the nasal tract, can be accurately described in terms of the positions of the articulators such as tongue, lips, jaw, velum, etc. Generally the vocal tract system is approximately described in terms of the acoustic features such as the frequency response or the resonances (formants) and anti-resonances (anti-formants) of the system. These features are easier to extract from the signal than the articulatory parameters. The excitation of the vocal tract system consists of broadly three categories: (a) Voiced source (the quasiperiodic excitation due to the vibrating vocal folds),

Application Areas

307

(b) Unvoiced source (the turbulent flow of air at a narrow constriction created in the vocal tract during production), and (c) Plosive source (the abrupt release of the pressure built up behind a closure in the vocal tract system). The voiced source is characterized by the periodicity (pitch period), and the change of the pitch period with time (intonation). In Igeneral the short-time characteristics of the speech signal are represented by the short-time (10-20 ms) spectral features of the vocal tract system as well as the nature of excitation in the short-time segment. These are called segmental features. Suprasegmental features of speech are represented by the variation of the pitch period (intonation), the durations of different sound units, and the coarticulation reflecting the dependence of characteristics of one sound unit on the neighbouring sound units during speech production. Speech is a sequence of sound units corresponding to a linguistic message. Important applications in speech area are: (a) Speech Recognition: The objective is to determine the sequence of sound unita from the speech signal so that the linguistic message in the form of text can be decoded from the speech signal. (b) Speech Synthesis: The objective is to determine the sequence of sound units corresponding to a text so that the given text message can be encoded into a speech signal.
(c) Speaker Identification: The objective is to determine the identity of the speaker from the speech signal.

The main problem in these speech applications is processing of the speech signal in a manner similar to human auditory processing mechanism, so that features relevant to a particular task can be extracted. The speech problem is further complicated by the fact that the message is conveyed not only through the segmental features but also by the suprasegmental features. It is our lack of understanding of these segmental and suprasegmental features and their extraction mechanism that makes the speech tasks extremely difficult for implementation by machines [Flanagan, 1972; Rabiner and Juang, 19931. In this section we will briefly discuss neural network models for some speech tasks. We will discuss in detail the development of neural network architectures for recognition of consonant-vowel (CV) segments. Other interesting applications in speech can be found in [Lippmann, 1989; Narendranath et al, 1995; Cole et al, 1992; Pal and Mitra, 19921.
NETtalk: The NETtalk is a multilayer fbedforward neural network (Figure 8.15) developed to generate pronunciation units or phoneme code from an input text [Sejnowsky and Rosenberg, 19871. The phoneme code is presented as input to a speech synthesizer to produce speech corresponding to the text. The network consists of an input

uayods aqq o Squodsauo3 paq aqq oqu! amanbas sgq q.1a~uo3 m q p sqpn ayrl-amauoqd jo amanbas e oqu! a~mraqqnuaa? e ~ o j s m q o s uo!q@o3ar q ! rpaads u aa!qaa[qo a% :lat!l~ad& ! qtauoqd . s m o q - ~ ae u g q u e a l o j ~ q p a u p q aq ue3 syroqau p m a u searaqM ' w g a jo aread praaas sayeq smaqsbs paseq-ap jo quamdo~aaap qna ' [ ~ 6 6'p. qa e u e b m u e u S a ~ ~ f186T '~F133a f 0 8 6 ~ '??em] maqsbs aw paW~odJoau! 61q13f1dxa s a s p a l ~ o qaau,u!s paads bqpnb raqqaq b~qm~y@!s ! aanpord smaqds paads-oq-pal paseq-apq .rood s! qaaads jo bqyenb aqq q%noqquaaa 'qndu! pa3 Mau roj qaaads alq@qlaqu! aanpord p m saldmexa mog weal o alqe s yroqau a% .syroqau p n a u jo q y amqsaj uo!qezfpraua2 aqq aqegsnllr o a~dmexa q poo8 e SFy p a 3 ~ .qaaads 3!qaq@s %upunosp3mqeu Supnpord q 1e;quassa am q 3 y q ~ sarnqeaj 1equadaserdns qm~y@!s aqq amqdea q o m 3 q se 'rood ! blsno!~qo aq 11y bqpnb a% .eqep qndqno-qndu! mog s a p punos o raqqaI a q amqdea o yroqau Iernau e jo 4!l!qe aqq paqeqsuomap q q blaram maqsbs a% . u o g d u ~ s w qqauoqd u % 8 JO h e m m e ! ~ uo!qez!1eraua% e p a ~ a 9 3 e yroqau aqq paq Mau e u o .sqmuosuo:, pue slaMoa uaaqaq %u~qspi3u!qspjo alqedea seM y r o q a u a u .rood seM bqpnb aqq qsnoqqp 'alq@!l~ar)u! SEM qndu! se samauoqd jo & l u g s asaqq %u!sn raz!saqquLs 8 bq paanpord paads a% ' p a l qndu! u a ~ p roj samauoqd jo lilupqs B sampord mqsLs a u .sa3uaquas e p a ? quaragp %u!sn paqsaq s e a p w ' s p r o jo uo!qvpunuord aqq %u!A? ~ smldmaxa amauoqd qs!@ug jo qas o mog s p r o ~ PZOT uo p a u y q SRM yroqau - 8 u y s q!q-6z o se paquasardar s qndu! aqq jo rapemy3 ! q3e3 ' % u ~ qqndu! atp jo aqua3 aqq qe raqqal aqq jo uo!qepunuazd s aqq o %upuodsauo:, amauoqd a q sampord pue a ! e qe maq~snqr, q mq a~!qnaasuoa L qndu! se sayeq q r o q a u a% .sqpn qqauoqd ro samauoqd quaragp gz o 2upuodsauo3 sqpn gz qq+ raLq qndqno auo q PUB sqpn 08 q q rabq uappg auo 'uo!qsnpund %upnlau! s~aq~ewq:, ~ paq qndu! L ") 2u!puodsauoa sqvn qndu! Lmu!q 62 x L JO rabel

Application Areas

309

utterance. A block diagram of the phonetic typewriter developed by Kohonen [Kohonen, 1988; Torkkola et al, 19911 is given in Figure 8.16. The input speech signal to the phonetic typewriter is
Phoneme Mel-cep. Deco* cheification by by D m spGz SOM or LVQ input Mel-cep. Quaei-phoneme vectors sequence (every 10 ms) (every 10 ms)

Error

correction ~YDEC Phoneme sequence

Figure 8.16 Block diagram of a phonetic typewriter.

processed to obtain a spectral representation using 20 mel-scale cepstral coefficients for every 10 ms segments of data [Davis and Mermelstein, 19801. The sequence of coefficient vectors is given as input to a phoneme classifier, one vector at a time, to obtain the quasi-phoneme sequence as output. The phoneme classification is achieved by using either LVQ or SOM learning [Kohonen, 1990a; Kohonen, 1990bl. The sequence of phoneme-like units is converted to the phonetic transcription using a multiple codebook Hidden Markov Model (HMM) technique [Rabiner, 19891. The errors in the phonetic decoding by the HMM are corrected using the Dynamically Expanding Context (DEC) algorithm [Kohonen, 19861, and then converted into the text corresponding to the input utterance. The phonetic typewriter was able to produce letter accuracies of 95% for the Finnish language. The approach was reported to have worked well for languages whose orthography and phonemic transcriptions have simple correspondence.
Vowel classlflcatlon: The classic Peterson and Barney [I9521 formant data for 10 vowels is a good test case for a real-world classification problem. It consists of the first two form* collected from spectrographic analysis of the vowel data. The vowel data was collected for a total of 67 men, women and children. The data was collected in the constant-vowel-consonant context of hVd. Figure 8.17 shows the distribution of the first two formants data for the vowels in the following ten words: heed, head, had, hud, M , hawed, who'd, hood, heard and hid. The available vowel data was split into two sets, one set was used for training the classification network and the other set for testing the performance. Using a radial basis k c t i o n network for classification, Nowlan obtained a recognition accuracy of 87% Wowlan, 19901. Considering the fact that there is significant overlap among the classes, the classification performance of the network is indeed significant.

310

Applications of AMV

Figure 8.17 Vowel data from Peterson and Barney [19521. The lines are the class boundaries obtained by a two-layer feedforward network. [Adapted from Huang and Lippmann, 19881.
Recognition of Consonant-Vowel (CV) segments: Consonant-Vowel (CV) utterance typically forms a production unit (syllable) in speech, and hence several attempts have been reported for recognition of CV utterances ['Barrington, 19881. Since these are dynamic sounds, the spectral patterns change with time. Each utterance of a CV unit is represented as a temporal sequence of spectral vectors. Each spectral vector corresponding to a fixed 10 ms segment may be represented using 16 log spectral coefficients on a mel-frequency scale or using the corresponding mel-scale cepstral coefficients [Davis and Mermelstein, 19801. The number of spectral vectors per CV utterance generally varies. But usually a k e d duration (50-200 ma) segment of CV enclosing the vowel onset, the transition to vowel and some steady part of the vowel, is used to represent a CV unit. The CV units are thus temporal sequence patterns and hence static pattern recognition networks like multilayer feedforward neural network (MLFFNN) are not suitable for recognition of these units. Moreover, discriminability among these CV units is low due to domination of the vowel context.

Application Areas

311

An obvious method to perform sequence recognition is to view the temporal sequence of the spectral vectors as a two-dimensional spatial input pattern for a MLFTNN. The conventional backpropagation learning can then be used to train the network. A better approach for CV recognition is through timedelay neural networks (TDNN) [Waibel, 1989; Waibel et al, 1 8 1 TDNN is a MLFFNN with its 99. input consisting of tim'e-delayed input frames of data. The input to the intermediate hidden layers also consists of time-delayed outputs of the preceding layer. Figure 8 1 illustrates the idea of a time-delay .8
Output layer

Second hidden layer

Firet bidden layer

Input layer

Time
Figure 8 1 Architecture of a Time Delay Neural Network CTDNN) for .8 classification o three CV units. Multiple copies of the TDNN f are aligned with adjacent spectral vectors. The first TDNN is shown in boxes m r e by thick lines. akd

neural network applied for classification of three CV units lbl, I d , and Igl. The time sequence is reflected in ,the computation of block of three frames of data at a time, with two fiames overlapping for

312

Applications of ANN

successive blocks. In other words, Figure 8.18 shows multiple copies of the TDNN aligned with adjacent input spectral vectors. The first TDNN is shown in the boxes marked by thick lines. In this case each utterance has 15 frames of data, each frame consisting of 16 spectral components. For this, 13 different copies of TDNN are created. These include 13 copies of the input layer, nine copies of the first hidden layer, and only one second hidden layer aqd one output layer. The output layer has three units corresponding to the three classes Ibl, /dl, and Igl. For each TDNN, each unit in a layer is connected to all the units in the layer below it. For each TDNN there are 16 x 3 units in the input layer, 8 x 5 units in the first hidden layer and 9 x 3 units in the second hidden layer and 3 units in the output layer. Multiple copies of the TDNN as shown in the Figure 8.18 enable the entire history of the network activity to be present a t the same time. This allows the use of the backpropagation learning algorithm to train the network. The 16 log spectral coefficients for each 10 ms frame are normalized using the average of each coefficient for an the 15 frames in the utterance, and the coefficients are mapped into the range [-I, 1 .The normalized values are given as input to the TDNN network. 1 The speech data for the three classes was excised from continuous speech in Japanese, and a database of about 800 CV units was collected for a given speaker. The TDNN was able to discriminate the three classes with an accuracy of 98.5%. Considering the fact that the data for each class has significant variation due to contextual effects, this result is impressive. Extending this network model for large number of CV classes requires modular approach, where it is necessary to distinguish the groups of CV classes first before the individual classes can be identified [Waibel, 19891. Moreover, because of the large size of the il network, the training of the network wl be slow. It will also be difficult to collect sufficient data to obtain good generalization performance from such a large network.
Recognition of stopconsonant vowei utterances in indian languages: For the development of a recognition system for large number of CV classes, recognition of Stop-Consonant-Vowel (SCV) utterances in Indian languages is considered [Chandrasekhar, 19961. In particular, we consider the SCV classes of the Indian language, Hindi. The 80 SCV classes considered in this study are given in Table 8.3,where the classes are organized according to the 4 manners of articulation, namely, Unvoiced-UnAspirated (UWA), Unvoiced-Aspirated (UVA), Voiced-UnAspirated (VUA) and Voiced-Aspirated (VA). These are highly confusable set of sound classes. A modular network approach followed by a Constraint Satisfaction Model (CSM) approach is proposed for recognition of isolated utterances of the 80 SCV classes.

Application Areas

313

Table 8.3 Arrangement of SCV Classes into Subgroups using Manner of Articulation for Grouping
Subgroup UWA
ka ta ta Pa kha tha tha pha

k i ti ti pi khi thi thi. phi

SCV Classea ku tu
tu

ke

ko
to

te
t a

to

P U khu thu thu

P ~ U

P khe the the phe

P O kho tho tho pho

VA

gha aha dha bha

ghi

dhi
dhi

bhi

ghu ahu dhu bhu

ghe * e dhe bhe

gh0 * o dho bho

When the number of classes is large and the similarity amongst the classes is high, it is difiicult to train a monolithic neural network classifier based on the All-Class-One-Network (ACON) architecture to form the necessary decision surfaces in the input pattern space [Kung, 19931. An attempt has been made to train a multilayer feedforward neural network for all the 80 SCV classes. It was observed that even after a large number of epochs, the sum of the squared error remained high and it did not change significantly from one epoch to another. It shows that a single network could not be trained for these large number of classes. It is possible to develop a classifier based on the One-Class-One-Network (OCON) architecture in which a separate network is trained for each class [Kung, 19931. But the discriminatory capability of the OCON classifiers was found to be poor [Chandrasekhar and Yegnanarayana, 19961. Modular approaches [Haykin, 19941 can be used to overcome the limitations of the ACON and OCON architectures. In modular approaches large number of classes are grouped into smaller subgroups, and a separate neural network (subnet) is trained for each subgroup. A post-processor can be used to combine the outputs of the subnets. Criteria guided by the phonetic descriptions of the SCV classes can be used to form subgroups. Such criteria are useful in analyzing the performance of the classifiers and determining the sources of errors in classification. A unique phonetic description can be given for each of the 80 SCV classes in terms of three features, namely, (a) the manner of articulation (MOA) of the stop consonant, (b) the

514

Applications ~f ANN

place of articulation (POA) of the stop consonant, and (c) the identity of the vowel in the SCV. For example, the class /ka/ is described as unvoiced unaspirated velar stop consonant followed by the vowel /a/. The phonetic descriptions of the SCV classes suggest that grouping can be done in such a way that one of the three features is common to the classes in a subgroup. This gives 3 different criteria for grouping. Grouping based on MOA leads to 4 subgroups given in Table 8.3. Grouping based on POA leads to 4 subgroups: Velar (eg. M,h a / , /gal, g h d , Alveolar (eg. It a/, It ha/, Id a/, Id ha/), Dental (eg. Itd, Itha/, Ida/, d h d , and Bilabial (eg. /pa/, /pha/, ha/, hhaf). Each POA subgroup cbnsists of 20 classes, and the stop consonants in these classes have the same place of articulation. Grouping based on the vowel lea* to five subgroups with one subgroup for each of the five vowels: /a/, /i/, /u/, /el and 101. Each vowel subgroup consists of 1 6 classes, and these classes have the same vowel. We consider each of the three grouping criteria to develop a modular network for all the SCV classes. The classification performance of the modular network depends on the performance of its subnets ahd on the way the outputs of the subnets are combined. A simple way of combining the outputs of the subnets is t o assign to the test input the class corresponding to the largest value among the outputs of all the subnets. Better performance can be obtained by combining the evidence &om the output values of each subnet in an effective way [Chandrasekhar, 19961. Data from isolated utterances of all the 80 SCV classes was collected from three male speakers. For each class, 12 tokens were collected from each speaker. The training data for a class consists of 4 tokena from each speaker. The remaining 8 tokens from each speaker are used as the test data. A fixed duration portion of the signal around the Vowel Onset Point (VQP) of an SCV utterance is processed to derive a pattern vector. A 200 -ms portion of the signal with 60 ms before and 140 ms after the VOP is considered for analysis. This fixed duration signal is processed (using a frame size of 20 ms and a frame shift of 5 ms) to obtain 40 frames of parameter data consisting of 12 weighted cepstral coefficients in each frame. The size of the pattern vector is reduced using the average of the coefficients for every two adjacent frames. Thus a 20 x 12 = 240 dimensional pattern vector is used to represent an SCV utterance. A multilayer feedfornard neural network (MLFFNN) is used to build the subnets. The network has 70 units in the first hidden layer and 50 units in the second hidden layer. The training and test data sets for each subnet consists of pattern vectors belonging to the classes in that subgroup only. Performance of the subnets for different subgroups is given in Table 8.4. The performance is given as percentage of the total number of pattern vectors in the data set that are correctly classified by the subnet.

a m m o p a d 8% wu.~aqq~d s q a q J O % g - g ~ O s a s m p m o j qarg ay? q ~ J tqqpi s , ss8p ! a q ' u o p q p ikqdnar% vod a q acy 'a~d-e ao,g .sqauqns ay? jo wqndqno qsa&rq y qary ay? q s!, 88813 pauo:, a q $By? W B 3 ! p V y-am=) S'8 alqBJ,, aq? nI 'slauqns ay? Jo q n d l n o a m m o p a d a u -9-8 a l q q q u a ~ ? s! ay? uo pamq p a m m a m ~ q Bqdnar% q u a r a m no pamq q a o w a u m p p o m a q aoj sasm~:, p
MS 08 a q . p aoj 8qvp q s q a q n o a m 8 m o p a d M8JaA8 aqJ,

O'Z9 8'89 9'99 9'19 Wap ? =I ,,

O'P6 Z'Z6 Z'E6 L'Z6 Wap ~ T ! W

Pl PI I!! PI dnmns

ednar%qne IafioA JOJ qauqns JO a a w a u a p d (a) aSaia~v 18!98I?I

P3-a

Z'PL 0'08 6'LL Z'P8 9P9 B?BP ?=A

6'E6 L'16 1'16 0'96 9'96

W8e

B~!-u
JOJ

SIWW 18IaA dndqns

qauqne jo aatmmopad ( 9 e%aia~v VA VM VM Vllhn dndqns

ednowns v o d
9'99 1'99 639 O'OL I'LL BWP 78aL P'96 0'16 Z'P6 1'86 1'86 WaP BWBV,

sdn-ns

v o JOJ qauqne JO eauermqtrad (a) ~

316

Applications of ANN

is significant considering the f a d that there are 80 different classes, and that they are confusable. The modular network for the POA grouping criterion gives a better performance compared to the other two grouping criteria. It is important to develop techniques to reduce the errors in classification at the level of subnets in order to improve the over all performance of the modular networks. It is also possible to improve the classXcation performance by properly combining the evidence available at the outputs of the subnets. Confusability among the classes can be resolved to some extent by using the acoustic-phonetics knowledge of the classes. This knowledge can be incorporated as constraints to be met by the classes. A constraint satisfaction model McClelland and Rumelhart, 19861 that tries to satisfy as many of these constraints as possible can be used to process the outputs of the subnets (see Appendix A). The advantage is that it may work even if some of the constraints derived from the acoustic-phonetic knowledge are weak, conflicting and erroneous. For the constraint satisfaction model, a feedback neural network is used with one unit for each of the 80 SCV classes. The weight on the connection between a pair of units is determined based on the similarity between the classes represented by the units. The similarity between two SCV classes is determined from the knowledge of speech production features and also from the confusability between them indicated by the outputs of the subnets. There are 3 different feedback networks, one for each of the 3 grouping criteria. Since the SCV classes within a subgroup are designed to compete among themselves during training, excitatory connections are provided between the units in the subgroup. The connections across the subgroups are made inhibitory. The weights for the excitatory and inhibitory connections are derived from the similarity matrices derived from the classification performance of subnets on test data. The similarity matrix for different manners of articulation is given in Table 8.6(a). The matrices for different places of articulation and for different vowels in SCVs are given in Tables 8.6(b) and 8.6(c), respectively. An excitatory connection is provided between units of two SCV classes within a subgroup if they differ in only MOA or POA or vowel. The weight of an excitatory connection is equal to the similarity measure between the production features of the two classes. An inhibitory connection is provided between classes in different subgroups only if the two classes differ in MOA or POA or vowel. The weight for the inhibitory connection is inversely proportional to the similarity measure between the production features of the two classes. If the similarity measure is C (in the range 0.0 to 1.0), then the inhibitory weight w is assigned as

Application Areas

317

Table 8.6 Similarity Matrices for (a) Different Manners of Articulation of

Stop Consonante, (b) Different Plabs of Articulation of Stop Consonants and (c) m r e n t Vowels in SCVs

(a) Similarity matrix for manners of articulation MOA UWA WA WA VA UWA 0.87 00 .3 00 .6 0.02 WA 00 .3 0.84 0.04 0.08 WA 0.06 0.04 0.78 0.12 VA 0.02 0.08 0.12 0.82

(b) Similarity matrix for places of articulation

POA Velar Alveolar Dental Bilabial Velar 0.72 0.08 0.08 0.08 Alveolar 0.08 0.75 0.10 00 .9 Dental 0.08 0.10 0.68 0.10 Bilabial 0.08 00 .9 0.10 0.80

(c) Similarity matrix for vowels

Vowel
/a/ /i/

/a/

/i/

Id

/el 101

08 .9 0.01 00 .2 0.01 0.05

00 .1 08 .6 0.02 0.08 0.00

N 0.02 0.02 0.82 0.01 0.16

/el 0.01 0.08 0.01 0.90 0.00

101 00 .5 0.00 0.16 0.00 0.77

If the similarity measure C is less than 0.01, then the corresponding inhibitory weight is assigned as -1.0. The connections in the feedback network for the POA grouping criterion are illustrated in Figure 8.19. The excitatory connections for the class /ka/ in the 'Velar' subgroup are shown in Figure 8.19a and the inhibitory connections for the same class accross the subgroups are shown in Figure 8.19b. The feedback networks for different grouping criteria interact with each other through a pool of units, called instance pool [McClleland and Rumelhart, 19881 (see Appendix A). There are as many (80) units in the instance pool as the number of SCV classes. Each unit in the instance pool (for example, the unit corresponding to the class k 4 has a bidirectional excitatory connection with the corresponding units in the feedback networks (for example, units corresponding to ka/ in the MOA group, ka/ in the POA group and /ka/ in the Vowel group). Units within the instance pool compete with one another and hence are connected by a fixed negative weight (-0.2). The 3 feedback networks along with the instance pool

Applications df ANN
Velar

(a) Excitatory connectione for the class Ral in the POA feedback network Alveolar Dental

-0.126 :

-0.126 .' :

-0.125 . Velar Bilabial

(b)Inhibitory connectione for the class flra/ in the POA feedback network
Figure 8.19 Connections for the class /ka/ in the POA feedback network. The excitatory connections for the clam /'a/ in the 'Velar' subgroup are shown in (a). The inhibitory connections for the class /ka/ are shown in (b).

constitute the constraint satisfaction model reflecting the known speech production knowledge of the SCVs as well as the knowledge derived from the trained subnets. The complete constraint satisfaction model developed for classikation of SCVs is shown in Figure 8.20. A Multilayer Feedforward Neural Network (MLFFNN) trained for a subgroup of classes can be considered as a set of nonlinear filters designed to provide d i s h i n a t i o n among the classes. There are 16 or 20 filtprs in each subgroup and a total of 80 filters for each grouping criterion. It may be noted that each SCV class occurs in a different subgroup for each of the three grouping criteria. The outputs

Application Area

1 Alveolar

POA

Dental

Inetance pool

MOA UWA

b do"*
1.0
la/

Vowel
0 I i /

VA

Figure 6.20 A constraint eatiafaction model for classification of SCV utterances. Connections for /ka/ ahown for illustration. are

of the filters for each subgroup for a given training sample is considered as a feature v h r . The distribution of the feature vectors for each class is obtained from a second set of training data. The distribution is represented in terme of a mean vector p and a covariance matrix R derived from the feature vectors for the class. The operation of the constraint satisfaction model is as follows: Each unit j in the constraint satisfaction model computes the weighted sum of the inputs from the other units (sj) in the model. An external input for each of the units in the feedback networks is provided as bias. The bias is derived from the 16- or 20-dimensional feature vector x of the subgroup to which the unit belongs. The bias for the unit j is given by

where M is the dimension of the feature vector, ~ r j the mean feature is vector of the class associated with thejth unit and Rj is the covariance matrix associated with the class of t h e j t h unit.

320 The net input to the unit j is given by

Applications of ANN

where a , p and y are constants in the range 0.0 to 1.0, chosen empirically by trial and error. The output function for each unit is a sigmoid function. The constraint satisfaction model is initialized as follows: For a new input pattern, the feature vectors (x)are obtained h m all the MLFFNNs. The outputs of the unita in the feedback networks for which the corresponding feature vector component value is above a threshold 6 (= 0.3) are initialized to +1.0, and the outputs of all other units in the feedback networks are initialized to 0.0. The bias for a unit in the instance pool is computed from the net input to the unit aRer the feedback networks are initialized. The output of a unit in the instance pool is initialized to +1.0, if the net input to the unit is greater than 0.0. The constraint satisfaction model is then allowed to relax until a stable state is reached for a given input using a deterministic relaxation method. In this method a unit in the model is chosen at random and its output is computed. This is continued until there is no significant change in the outputs of all the units. When a stable state is reached, then the outputs of the instance pool units can be interpreted to determine the class of the input pattern. The class of the instance pool unit with the largest output value is assigned as the class of the input utterance. Because of similarity among the SCV classes, we consider the cases (Cased) in which the correct class is among the classes corresponding to the k largest output values. The classification performance of the constraint satisfaction model (CSM) for different cases is given in Table 8.7. The performance of the modular network is also given in the table for comparison. Here the performance of the modular network based on POA grouping is given, as it gave the best classification performance among the three grouping criterion.
Table 8.7 Classification Performance of the Constraint Satisfaction Model using Test Data for all the 80 SCV Classes
Model CSM Modular Network Case-1
65.6 35.1

Cask2
75.0 56.9

Case-3
80.8 69.5

Case-4
82.6 76.6

It can be seen that the performance of the CSM is significantly better than the performance of the modular networks. The performance of the CSM for Case-1 is as high as 65% indicating that the instance pool unit with the largest output value gives the class of the input utterance correctly for 65% of the total number of test utterances. This result is significant considering the fact that the classification is

Application Areas

321

performed by the CSM by discriminating among 80 SCV classes and that many of these classes are similar. The performance of the CSM increases to 82% for the Case-4 of the decision criterion. The ability of the CSM to combine evidence from multiple sources may be useful for performing wen speaker independent classification. The subnets are trained using the data collected from multiple speakers. Since the operation of the CSM is speaker independent, it is expected that the CSM would show a distinct improvement for speaker independent classification over the modular networks [Chandrasekhar, 19961. The description of the recognition system for the SCV units given above clearly demonstrates the need to evolve an architecture suitable for a given problem. For example, the acoustic-phonetic knowledge has been used effectively in the form of constraints to improve the performance of the 80 class network for the confusable set of SCV units. It is obvious that ultimately the recognition performance is limited primarily by the features derived from the signal.
8.3.2

Appllcatlons In Image Processing

An image is represented as a two-dimensional array of pixels, with some gray value or colour associated with each pixel. Characteristics of an images are: (a) the local structure, dictated by the spatial correlations among nearby pixels, and (b) the global structure, conveying the semantics of the image. These local and global features are used in interpreting an image for recognition. Standard neural network models accept the input data in an unstructured manner, in the sense that the input to each unit in the input layer is considered independent. Thus when an image is fed as an input to a neural network the gray value of each pixel is provided as input, and the input units have no spatial structure reflecting the spatial correlations among the pixel values. Before feeding an image to a network, the image is size-normalized, since the dimensionality of the input to the network is fixed. In some cases like handwriting, the normalization may be carried out at word level, in which case the size, slant and position variations of the individual characters will cause difficulty for recognition by the neural network. Thus the main difficulty of the unstructured natbre of the input units of neural network architectures is that there is no built-in invariance to translation, rotation, scaling and distortion at local or global features levels [LeCun and Bengio, 1995a and 1995bl. In this section we describe the development of some neural network models for three applications in image processing, namely, handwritten character recognition, image segmentation and texture classification.

322

Applications of ANN

Recognltlon of handwrltten digits: The objective is to develop a recognition system for binary images consisting of handwritten characters or digits. Even after an overall size-normalization of each character before inputting, the system still has to take care of the variations due to s h i h and local distortions. Convolutional network architectures are proposed for such images [LeCun and Bengio, 1995a; Sackinger et al, 1992; LeCun et al, 19901. These architectures use three key ideas, namely, local receptive field, weight sharing and spatial subsampling. The images are applied directly to the network after some size-normalization and centering. The network architecture for an optical character recognition for a digits task is shown in Figure 8.21 [Sackingex-et al, 19921. It is a multilayer feedInput 20x20 Feature Feature Feature Feature maps maps maps maps 4~16x16 4x8~8 12X4X4 12~2x2 Output 10~1x1

Convolution Subsampling Convolution Subsampling Convolution

Figure 891 A convolutional network for optical character recognition.

forward neural network with one input layer, four hidden layers and one output layer. The input layer consists of 400 units corresponding to a 20 x 20 normalized binary image of each digit. The first hidden layer consists of 4 feature maps, each unit in the feature map is connected to a local receptive field of 5 x 5 pixel neighbourhood in the input layer. Two adjacent units in a feature map have their local receptive fields displaced by one unit shift in the input layer. Weight sharing is achieved by assuming the same set of weights to each unit in the feature map. Thus there are 25 free parameters only for each of the 4 feature maps in the first hidden layer. From each local receptive field, each unit extracts some elementary features such as oriented edges, corners, etc. Each of the feature maps extracts field. The first hidden layer different features from the same rece~tive thus performs four separate, 2-D nonlinear convolutions of the feature map with the input image. The features extracted in the first hidden layer are combined in the second hidden layer to take care of shifts in the features. A shift of the input of a convolutional layer will shift only the features but the output remains the same. Therefore once the feature has been detected, its location is not very critical, as long as its position relative

Application Areas

323

to other features does not change. Therefore the second hidden layer is used to reduce the resolution by subsampling. Each unit in a feature map in the second hidden layer computes the average of the outputs of four(2 x 2) neighbouring qnits in the corresponding feature map in the h t layer. The local receptive fields for adjacent units in this case do not overlap. The third and fourth hidden layers perform feature extraction and subsampling as in the case of the first and second hidden layers, respectively. Each unit in each feature map of the third hidden layer extracts features form 5 x 5 units receptive field in the output of the second hidden layer. But each unit this time is connected to the outputs of more than one feature map in the second hidden layer. For example, 5 x 5 units h m each of the two feature maps in the l second hidden layer may be combined by connecting outputs of a l the 50 units to each unit in the third layer. The weight sharing is done for each unit as in the case of the first hidden layer. The number of feature maps in the third layer are 12 corresponding to 4C, combinations of features h m the lower layer. The fourth hidden layer performs averaging and subsampling as in the case of the second hidden layer. The outputs of all the units in the hurth hidden layer are connected to each of the units in the output layer. The output layer has 10 units corresponding to the 10 digits to be recognized. The classification is indicated by the maximum output among the 10 u i s nt in the output layer. m e network is trained using samples of handwritten digits collected from real life situation such as the digits in the postal addresses on the envelopes. Note that the weights h m the hidden layers 1 to 2 and from the hidden layers 3 to 4 are fixed, as they perform only averaging. All other weights are adjusted using the standard backpropagation learning algorithm. The results reported in [Sackinger et al, 19921 are impressive as the network achieved an error rate of 4.9% compared to human performance of 2.5%. The architecture implementing the convolution and subsampling operations in these networks is similar to the neocognitron developed by Fukushima [1975,19881 (see Sec. 7 6 . But neocognitron uses .) self-organization learning, thus it is unsupervised, whereas the backpropagation learning in convolutional networks is supervised.
Image segmentation: LeCun has described an architecture for recognition of handwritten characters [LeCunet al, 19901. But when the characters form a portion of a cursive script, then it is necessary to segment the word or sentence in cursive writing into individual characters, size-normalize, and then feed to the convolutional network for recognition. Automatic segmentation of cursive writing into characters is not normally possible. But convolutional networks can

324

Applications of ANN

be used to scan over large, variable size input fields. Convolutional networks can also be replicated to scan a cursive writing. This is because the output of a network will be high when the input encloses most part of a character, and then the adjacent replicated network produces a low output. The outputs of such replicated convolutional networks have to be interpreted further. Two-dimensional replicated convolutional networks are called Space Displacement Neural Networks [SDNNI Wolf and Platt, 1994; Burges, 19951. These SDNNs together with Hidden Markov Models (HMM) have been proposed for segmentation of handwritten word recognition [Keeler et al, 19911.
Texture classlficatlon and segmentatlon: Intensity-based methods for segmentation of an image into different regions depend on the distributions of gray values of the pixels in each region. But images of many natural scenes appear as distribution of spatial patterns consisting of repetition or a quasi-repetition of some fundamental image features. Such image regions may be hypothesized as texture-like. Intensity-based methods do not perform well on such images. One has to adopt a texture-based scheme which involves identification and extraction of some local features which can efficiently characterize different textures in the image. Neural networks have been successfully applied to texture classification and segmentation [Visa, 1990; Chellappa et al, 1992; Schurnacher and Zhang, 1994; Hwang, 1995; Raghu et al, 1993, 1997al. In some methods the neural network itself was used to sort out the unknown and complicated neighbouring-pixel interaction, whereas in some other methods these interactions were explicitly captured by extracting features using deterministic or stochastic modelling of textures. Among the stochastic models, the Markov random field models have been studied extensively [Rangarajan and Chellappa, 19951. Among the deterministic models, feature extraction by multiresolution filters like Gabor filters and wavelets have been explored [Greenspan et al, 1991; Schumacher and Zhang, 19941. Image segmentation can be posed as an optimization problem, the optimality criterion involving maximizing a posterior probability (MAP) distribution of the intensity field given the label field [Richard and Lippmann, 19911. The a posteriori distribution is derived using Markov random fields. An approximate solution to the MAP estimate can be realized by mapping the optimization problem as relaxation of a Hopfield neural network model. The relaxation could be implemented either in a deterministic manner or in a stochastic manner. In these cases the neural network can be viewed as a constraint satisfaction model, where each unit represents a hypothesis and the connection between two units as a constraint [Rangarajan et al, 1991; McClelland and Rumelhart, 19861.

Application Area

325

Constraint satisfaction models for texture classification and segmentation based on Markov random fields assume a fixed resolution of the neighbourhood, whereas real images contain textures with large variations in the texture sizes. Moreover, the texture properties in real images are not stationary. A texture classification scheme using a constraint satisfaction model was proposed in [Raghu, 1995; Raghu and Yegnanarayana, 19961. The textual features are extracted using a set of Gabor filter$ [Bovik et al, 19901. Image-specific constraints are used to represent domain-specific knowledge. The classifier uses two kinds of image-specific constraints, namely, feature-label interaction and label-label interaction. These constraints are defined using three random processes: feature formation, partition and label competition. The a posteriori probability of the label of each pixel is modelled based on these constraints in the form of Gibb's distribution. The corresponding posterior energy is used to derive a Hopfield network. The details of the texture classification scheme are described below. A 2-D Gabor filter is an oriented complex sinusoidal grating modulated by a 2-D Gauslsian function, and is given by

f (x, Y , w, 8,o) - e-(l/Zaz) (ra+ yz) +ju, (x cos 0 + y ain 0)

(8.33)

where o is the spatialwidth, 8 is the orientation and w is the radial frequency of the Gabor filter [Daugman, 19851. Gabor-filtered output of the image is obtained by convolution of the image with the Gabor function. The power spectrum of the filtered image at each pixel position is used as a feature to characterize that pixel. If T is the textured image, the feature vector at each spatial location (i, j) is specified as, gii = (gii(w98, ~ ) ) , , 0 ~ where

where * denotes 2-D convolution operation. Let us assume that M Gabor filters (defined by different sets of w, 8 and a) are used for feature extraction. The M-dimensional vector gii constitutes the feature vector to characterize the pixel (i, j) in the image. Consider the domain R = ((i,J ] , 0 5 i c I, 0 I c J)designating the j pixel positions of the given textured image Tn. Each pixel s E R in the image Tn is characterized by an Mdimensional feature vector g, which is generated by Gabor filtering the image. Assume each g , as the realization of an Mdimensional random process G,, called the

326

Applications of ANN

feature process. Let us assume that the image Tn consists of K different textures, so that each pixel s can take any texture label 0 to K- 1 The corresponding texture classes are denoted by . C,,..., CK-l. Also, let Rk, a subset of f2, be the training site for the class Ck. The Gabor features of the training site of a given class are used to estimate the model parameters for that class. We use the notation La to denote the random variable describing the texture label of the pixel s. The feature formation process is defined by the probability of assigning a value g, E R M to the feature process G, of the pixel s, given the model parameters of each texture label k. It is given by the conditional probability of G, = g,, given the label of the pixel s as k. Writing the feature formation process as a Gibb's distribution, we get

Here Zt(L,= k) is the normalization factor. One may use any of the three standard statistical distributions (namely, Gaussian, multivariate Gaussian and Gaussian mixture models) to model P(G, = g, I Ls k) [Raghu, 19951. = Assuming a Gaussian model to describe the feature formation process, the energy function Ek.) is given by

The normalization factor ZAL, = k) for this Gaussian process is given by Z,(La = k) = (8.38) The model parameters, mean class Ck as, and variance oh, are defined for each

where Sk = card(Qk)is the cardinality of the subset. We can write the conditional probability distribution of the feature formation process as,

The label-label interaction constraint is defined using two random processes: partition and label competition. The partition

Application Amas

327

process describes the probability of the label of each pixel s given the labels of pixels in a uniform pth order neighbourhood Nt of s. The neighbourhood of any pixel 8 is defined as the set of pixels 8 + r, Vr E NL. The operator + is defined as follows: For any pixel s = (i,J ) E Q and for any displacement r = (k, I) E NPL, s + r = (i + k, j + I). The partition process is expressed as a pth order Markw random field model defined by [Raghu, 1995, Appendix C l

This relation is alsa a Gibb's distribution. We define the energy function Ep as follows:

where p is a positive constant,, and function, defined by

6(.) is the Kronecker delta

The normalization factor Zp for the partition process is given as,

which is independent of s and k. The importance of partition process is that it acts as a mechanism for partitioning an image into its texture boundaries. It also smoothens the classification output at each step of relaxation. The label competition process is based on the fact that any pixel . in an image can belong to only one class, and hence a pixel can have only one label. It is expressed as the conditional probability of assigning a new label to an already labelled pixel. Assuming that the current label of a pixel s is I, let us define the probability of assigning a new label k to that pixel as,
e-a&h-~

"4

Zc,l where a is a positive constant. The function Kronecker delta function given by, 6(1) = 0, i f I = O 1, otherwise

P(L,=kIL,=l) =

(8.46)

is the inverse of

ZcCis a local normalization factor, where c denotes that it is for the competition process.

328

Applications of ANN

We define the label competition process using a conditional , where k is the new label for pixel s and probability P(L, = k IL, = 1 stands for any label already assigned to s. This probability can be expressed in the following form,

where the energy function E,(.) is,

Ec(L,=kIL,=l)w =

C&k-l)
Vl

(8.49)

and Zc= ? Z c , l , independent of s and k. The energy function E, is such that it reduces the probability of having another label when the pixel is already labelled. The competition process controls the labelling of each pixel by shutting off other possible labels for that pixel. The objective is to find the label of each pixel in the image such that the constraints defined above are satisfied to a maximum extent. We can model the a posteriori probability P(L, = k 1 Gs , L, , V r E NL, L, = l)vl of the label of each pixel s based on these constraints. Using Bayes theorem, this probability can be written as,
+ ,

where the processes described by P(G,) and P(L, = k ) are assumed independent of each other. See [Raghu, 1995, Appendix A] for details of the derivation leading to Eq. (8.50). The a posteriori probability can be expressed as a Gibbs distribution,

where the energy function E(.) is given by

Application Areas

329

and Z =Z#J'(L, = k ) P ( G is a normalization constant. The total energy of the system is given by

ptalC E ( L , = ~ I ,G ,, + , , V r ~ N , f , L , = l ) ~ = ' L
8.

(8.53)

Substituting Eqs. (8.37),(8.43)and (8.49)in Eq. (8.52),the total Gibbs energy in Eq. (8.53) can be written as

This energy function can be considered as a set of feature and label constraints acting on each pixel and the corresponding possible labels. Estimation of a state configuration L, for all pixels s which minimizes the energy will yield an optimal classification of the textured image. This is the maximum a posteriori (MAP) estimate of the pixel labels since minimization of this energy maximizes the a posteriori probability given in Eq. (8.50).To evolve such an optimal state one can use a Hopfield neural network model whose energy function is matched with the energy expression in Eq. (8.54). This can be interpreted as a constraint satisfaction neural network with a suitable relaxation method. The neural network consists of a 3-dimensional lattice of units. For an image T, of size I x J with K possible labels for each pixel, the size of the network is I x J x K units. Each unit in the network is designated as (i, j, k ) , where ( i ,J ) = s is the pixel position and k is the label index of the pixel. The network can also be interpreted as having K layers of units. Each layer is a label layer. For a given pixel (i,j), the corresponding units in different label layers constitute a column of units, which we can call a label column. Each unit (i, j, k ) in the network represents a hypothesis giving the label status of the pixel (i, j). The a priori knowledge about the truth value of each hypothesis is represented by providing a bias B,,, to the unit. Constraints among the hypotheses are indicated by , the symmetric weights WL, ,,,, k , between the units (i, j, k ) and ( i l ,j l , kl). Let A,,,, E (0, denote the output state of the unit (i, j k). Let I) , the state of the unit at the nth iteration is (n). The energy function of the network is given by

330

Applications of AMV

The bias values and the weights of the neural network are determined by comparing the energy expression in Eq. (8.55) with the expression in Eq. (8.54). The feature formation term in Eq. (8.54) is active only if L, = k, i.e., 4, = 1, where s = (i,J). The instantiation k for the label j, denotes the truth value random variable L, of the pixel s = ( i , ~ ) Ai,j , = 1 of the hypothesis corresponding to the unit (i, j k). Similarly, , eke instantiation LSi = k, s + r = (i,, jl) indicates that k , , j l , k = 1 for , the hypothesis corresponding to the unit (i,, jl, k). So the term 6(k - L,+ ) in Eq. (8.54) is equivalent to the product AiBj,k 4 ,j,, k , and , it is active only if (il,jl) is in the pth order neighbourhood of (i, j). The label competition term q k - I) is 1 only if k # I. Therefore

6(k - I) =

if k = I # 1

So the energy function in Eq. (8.54) can be written as,

Comparing Eqs. (8.55) and (8.571, the bias W i ,j, k; i,, j,, k , can be written as

BiSj,k

and the weight

and 2 0 , if (i-i,,j-j,) E Nf and k = kl - 2a, if (i,, j,) = (i,J) and k # k, (8.59) 0, otherwise The expression for the weight shows the connections in the network. Any unit (i, j, k) at a pixel position (i, j) has excitatory connections with strength 2f3 fiom all nodes in a neighbourhood defined by the displacement vector set in the same label layer k. The - 2a term denotes inhibitory connections from all nodes in the label column for each pixel (i, JI in the image. The structure of the 3-D Hopfield neural network is given in Figure 8.22. In order to obtain a minimum energy state of the network, one can use either deterministic or stochastic relaxation strategies lRaghu, 19951. Figure 8.23a shows a textured image of 256 x 256 pixels. The image has four different types of textures, two of them are nearly deterministic (dots and diamonds: upper left and lower right tiles)

'Application Areas

331

(a) (b) (4 Figure 822 Structure of 3-D hopfield network: (a) 3-D lattice of size I x J x K. (b) Connections among nodes in the label column of each pixel. Each connection is of strength - 2a. (c) Connections from a set of neighbouring nodes to each node in a label layer. Each connection has a strength 2P.

(a) (b) Figure 8223 Image classification using the constraint satisfaction network for an image with four texture tiles. (a) Original image containing four textures. (b) Final segmentation result.

and the other two are stochastic (sand and pebbles: upper right and lower leR tiles). A 16-dimensional feature vector is used to represent each pixel in the image. The 16 dimensions correspond to 16 different Gabor filters with 2 spatialwidths, 2 frequencies and 4 orientations. A training site consisting of 1000 pixels per class is used for parameter estimation for each class. For this image, a simple Gaussian model is used for feature formation process. A deterministic relaxation strategy is applied for obtaining the maximum a posteriori probability state. Figure 8.23b shows the result of classification. The approach was also proved to be successful for classification of multispectral band imagery from remote sensing. For illustration, an image obtained by the NASA Jet Propulsion Laboratory using

332

Applications of ANN

their Spaceborne Imaging Radar-C and X-Synthetic Aperture Radar (SIR-C/X-SAR) setup [Jordan et al, 19911 is considered. The SIR-C/X-SAR setup acquires images in three microwave bands with four linear polarization states. Figure 8.24a is a gray level representation of one such image with three spectral components. The texturelike image is known to have four classes. The image is represented using 8 Gabor filters for each of the three spectral bands, giving a 24-dimension feature vector for each pixel. The feature formation process is described in terms of a multivariate Gaussian distribution in which the covariance matrix characterizes the interband correlation as well as the intraband correlation of the Gabor-filtered multispectral imagery. Stochastic relaxation using simulated anneal-

(4 (dl Figure 8.24 Multispectral classification of SAR imagery using constraint satisfaction network with multivariate Gaussian model for feature formation. (a) Gray level representation of the image. (b) Classification based on multispectral textural information. (c) Classification using textural information in one band. (d) Classification based on gray level information in multispectral data.

Application Areas

333

ing can be used to obtain the minimum energy state of the Hopfield model [Raghu and Yegnanarayana, 19971. Figure 8.24b shows the classification based on multispectral-textural information. For comparison, Figure 8 . 2 4 ~ gives the result of classification using textural information in one band only. Figure 8.24d shows the result of classification using only the pixel intensities of the multispectral data in all the three bands. That means the textural features of the image are not used. It can be seen from these results that incorporation of multispectral and textural knowledge in the classification process improves the performance much better than a scheme based only on the textural information or only on the multispectral information.

- 8.3.3

Application in Decision Making

Like speech and image processing, decision making is also a purely human attribute. Just as the feature extraction process is in-built into our biological system, decision making also seems to be in-built into our system. We anive at an intelligent decision based on partial, noisy and sometimes inconsistent data mainly because we seem to invoke our acquired knowledge over a period of time. It is difficult to articulate the acquired knowledge, although expert systems have been developed to represent the articulated knowledge by a domain expert to arrive at a decision [Duda and Shortliffe, 1983; Gallant, 19931. The knowledge in an expert system is represented in the form of if-then rules, and the rules are fired in a desired manner. Since expert systems require this knowledge explicitly, there is a basic limitation on the utility of expert systems in many decision making situations. Due to the inherent nonlinearity and also due to the learning ability, neural networks appear to be promising in some decision making applications [Baxt, 1990; Tan et al, 19961. The nonlinear regression capability of feedforward neural networks and the constraint satisfaction property of feedback neural networks are exploited in medical diagnosis, investment management and automated inspection of industrial parts [Chen, 19961. The threshold output function of the nonlinear processing unit in a neural network can be effectively used for decision making [Gallant, 19951. For example, the symptoms and parameters of a patient can be given as input to a MLFFNN, and the corresponding diseases as output of the network. The network can be trained using the known data from medical records. The trained network can now be used as an automated medical diagnosis tool, so that any new test input will give an idea of the disease. Such a network is called connectionist expert system [Gallant, 19881. The network can be continuously updated with additional knowledge acquired in the form of input and output parameters. The main disadvantage of these systems is that

334

Applications of ANN

it does not provide an explanation or justification for the decision arrived at by the system as in the case of a rule-based expert system. Neural network-based systems were developed, for example, for skin diseases diagnosis and for low back pain diagnosis [Yoon et al, 1989; Bounds et al, 19881. The scope of these neural network expert systems could be enhanced significantly using fuzzy logic to represent the linguistic form of input and output variables [Chen, 1996, Ch. 71. Many other useful applications of neural networks-based decision systems have been implemented, such as investment management, credit scoring, fraud detection and fault detection [Burke, 1992; McGough, 19921. A MLFFNN for pattern mapping can be viewed as a nonparametric nonlinear regression analysis. This property has been exploited for forecasting applications, especially in exchange rate forecasting and stock prices [Ungar, 1995; Zapranis and Refenes, 19951.

8.4 Summary
The field of artificial neural networks came into prominence mainly because of our inability to deal with natural tasks such as in speech, image processing, decision making and natural language processing. Our discussion on some tasks in these areas suggests that we still have not succeeded in realizing the natural human-like preprocessing of speech and images for feature extraction and in modelling the higher levels of cognition for decision making and for natural language processing [Morgan and Scofield, 19911. It is likely that new models may evolve to deal with issues such as invariant pattern recognition, interaction of local and global knowledge, stability-plasticity, feature extraction from temporal sequences like image sequences and matching patterns at semantic levels. Some recent trends in ANN research are briefly discussed in this section. Appendix F gives a more detailed discussion on some of the trends. The learning laws in ANN basically optimize certain objective functions which reflect the constraints associated with the given task. Most of the learning laws utilize gradient based approach for this optimization purpose. However, due to its deterministic nature, gradient based methods frequently get stuck at local optima or saddle points. This is because the step size and step direction of the optimization process are dictated by the local information supplied by the gradient. We try to overcome this drawback by choosing the step size and step direction stochastically in a controlled manner. The efficiency of the search for global optimum can be enhanced further if it is carried out in parallel. Evolutionary Computation is one such (biologically inspired) method, where a population of solutions are explored over a sequence of generations to reach globally optimal

Summary

335

no solution. The integration of evolutionary computational technique i t ANN models is called Neuro-Evolutionary technique, which can be used to enhance the learning capability of the model. The technique is also useful to determine suitable topology of the network and to select proper learning rule [Fogel, 19941. In a classification task an ANN is used to find the decision regions in the input pattern space. But if the patterm from different classes are overlapping, then it is difficult for an ANN to find the class boundaries. In pattern mapping also similar problems may arise when the inputs or target outputs are ill-defined or fuzzy. These situations are common in many pattern recognition tasks because of inherent fuzziness associated with human reasoning. The pattern recognition capability of an ANN can be made powerful, if fuzzy logic is incorporated into the conventional ANN models. The resulting systems are called Neuro-Fuzzy systems [Lin and Lee, 19961. In some cases an ANN training may end up finding a boundary when the same input pattern belongs to one class in som examples, and to another class in some other examples. This scenario is due to the presence of rough uncertainty, which arises fram indiscernibility of the objects based on input features. The classification ability of a n ANN can be sigmficantly improved if the input data set is processed to reduce the rough uncertainty. Motivated by this idea, a new promising area based on Neuro-Rough synergism is emerging. It has already been employed to reduce the size of the input data set, to determine the number of input units needed and to accelerate networks training ['Pawlak, 1991; Pawlak et al, 1995; Sarkar and Yegnanarayana, 1997~1. The ability of a feedback network to store patterns can be improved, if we can exploit the chaotic nature of the networks dynamics. This observation has resulted in proposing hybrid neurons, known as chaotic neurons. Different models of chaotic neurons are studied, and initial results are quite promising [Andreyev et al, 19961. There are several other attractive paradigms which can be fused with the current ANN techniques. For example, Artificial Ant System [Dorigo et al, 19961, Cultural Evolution [Belew, 19891, DNA Computing [Adleman, 19941, and Immunity Net [Hunt and Cooke, 19961, seem to be attractive and viable approaches that can be amalgamated with ANN. One key advantage of ANN is that it is adaptive. Many existing paradigms can be fused into it easily. Although, as of now there are no guidelines for developing hybrid paradigms, the urge to develop models to perform human cognition tasks will continue to motivate researchers to explore new directions in this field. The most important issue for solving practical problems using the principles of ANN is still in developing a suitable architecture to solve a problem. This continues to dominate this research area. ANN

336

Applications of ANN

research has to expand its scope to take into account the fuzzy nature of real data and reasoning, and the complex (unknown) processing performed by the human perceptual mechanism. It is possible to view research in ANN along the following directions:
Problem level: This involves issues in mapping the real world problems as pattern processors. This may require good understanding of human information processing both from the psychological and the biological angles. Basics level: It is necessary to evolve better models for neurons as processing units, their interconnections, dynamics (activation and synaptic), learning laws and recall procedures. Functional level: This involves development of basic structures which can solve a class of pattern recognition problems. These form building blocks for development of new architectures. Architectural level: This requires ideas to evolve new architectures from known principles, components and structures to solve complex pattern recognition problems. It is possible that the problems may be tailored somewhat to suit the architectural principles.
Application level: The objective is to solve a given practical problem using generally the principles of ANN, but with ideas from other areas such as physics and signal processing.

Review Questions

1 What are some direct applications of the' principles of neural . networks? Why are they called 'direct' applications? 2. Under what conditions mere correlation matching can be successfully applied for pattern classification? 3. What is meant by complexity of a set of objeds for classification? Explain this in relation to Olympic symbols and printed characters. 4. Why is it that mere correlation matching cannot be used for classification of deformed patterns? 5. Discuss the significance of backpropagation learning in situations like 'Contract Bridge Bidding'. 6. Explain why information retrieval can be viewed as a direct application of neural network principles. 7. How is an optimization problem formulated for solution using a neural network model? 8. Explain the steps in the solution of a general optimization problem by a neural network.

Review Questions

337

9 What is a local minima problem in optimization? . 1 . How is mean-field annealing applied in the solution of 0 optimization problems? 1 . Explain the formulation of the graph bipartition problem as an 1 optimization problem. 1 . Explain the difficulties in the solution of travelling salesman 2 problem by a feedback neural network. 1 . Explain how an image smoothing problem can be solved by 3 principles of neural networks. 1 . What is the problem in vector quantization? 4 1 . Explain how neural network principles are useful in control 5 applications. 1 . Explain why a speech recognition problem is not a direct 6 application of neural network principles. 1 . What is the significance of neural networks in the NETtalk 7 application? 1 . What neural network ideas are used in the development of 8 phonetic typewriter? 1 . Why is the problem of vowel classification based on Peterson and 9 Barney formant data a difficult one for neural networks? 2 . Discuss some neural network methods for classification of 0 consonant-vowel (CV) segments of speech. 2 . What is a time-delay neural network architecture? How is i t . 1 suitable for classification of CV segments? 2 . What is a modular architecture in neural networks? 2 2 . What is the problem in the classification of large (20 or more) 3 number of CV segments? 2 . How is a modular architecture useful for classification of large 4 number of CV segments? 2 . Discuss the significance of a constraint satisfaction model for 5 combining multiple evidences for large number of classes. 2 . Explain how a constraint satisfaction model can be exploited for 6 improving the recognition accuracy for. CV units. 2 . What is the problem in the recognition of handwritten digits? 7 2 . What is a convolutional network architecture and how is it useful 8 for the problem of handwritten digit recognition? 2 . What is image segmentation problem? 9 3 . How are convolutional networks used for segmentation of 0 handwritten characters in a cursive script?

338

Applications of ANN

31. Explain how neural network principles are useful for a texture classification problem. 3 . Explain the constraints in a texture classification problem that 2 can be used as a priori knowledge for a network formulation. 33. Discuss the feature formation process in texture analysis as Gibbs distribution. 34. Discuss the partition process in texture analysis as Gibbs distribution. 35. Discuss the label competition process in texture analysis as Gibbs distribution. 36. Show the formulation of maximum a posteriori probability estimation for texture analysis as an energy minimization problem. 3 . Discuss a neural network model for energy minimization in a 7 texture classification problem. 38. Discuss the relaxation strategies (deterministic and stochastic) for texture classification. 3 . What are the issues in decision making problems? 9 40. Discuss the application of neural network principles for decision making. 41. What are some recent trends in neural networks?

Problems
1 .
For the Hamming net given in Figure 8.3, the input to the unit i in the upper subnet is given by
j= 1

where a y is the jth component of the input vector al. Show that where HD(al, ai) refers to the Hamming distance between l i the input vector a and the vector a corresponding to the ith unit. (See [Zurada, 1992, p. 3921) Compute the weight matrix of a Hamming network for the following three prototype vectors

2.

Find the output of each unit for the input vector al = [ l 1 1 1 1 1lT.Verify that the Hamming distance computed by the

Problems

339

3 .

4.

5.

6. 7.

8.

network agrees with the actual Hamming distance. Find the steady state output of the upper subnet of the Hamming network. Explain why the capacity of the Hamming network to store patterns is higher than the Hopfield network. (See Kung, 1993, p. 591) (Hint: The number of connections increase linearly for the Hamming network as the number of bits in the input patterns increase. o n the other hand, the number of connections increase quadratically with the number of bits for the Hopfield network.) Study the performance of the graph bipartition problem for the example shown in Figure 8.10. Study the performance of the Travelling Salesman problem for ten cities, using the formulation given in Eq. (8.22). Assume the distances between the cities. Examine the effect of the parameters a,p, y on the performance. Implement the image smoothing algorithm for an image with discontinuities in a 1-D case as' shown in Figure 8.13. Weighted matching problem [ & ~ z et al, 1991, p.721 : Suppose there are N (even) points in a,!&dimensional space with known distances between each pair of points. The problem is to link the points together in pairs, with each point linked to exactly one other point, so as to maxinii$ the total length of the links. Let du be the distance between the points i and j. Let n.. be a unit in a Hopfield network, such thqk the state n, = 1 inchates that the points are linked and the state n, = 0 indicates that the points are not linked. The optimization problem involves minimizing the total length of links L = .X.dun, subjected to the r <J constraint that C n, = 1 for all i. Assuming h.. = nji and nii = 0, solve the problem for N = 4. Assume four random points in a unit square in the 2-dimensional space. Discuss the solutions of the problem obtained by using (a) Deterministic relaxation algorithm. (b) Stochastic relaxation using simulated annealing (use suitable stochastic update and annealing schedule). (c) Mean-field annealing. Study the solution of the Travelling Salesman problem using SOM for the following different cases: (a) 30 cities, 30 units (b) 30 cities, 100 units (c) 30 cities, 500 units (d) 100 cities, 100 units (e) 100 cities, 500 units
8

Appendix A

Features of Biological Neural Networks through Parallel and Distributed Processing Models
Some of the features of the biological neural networks were demonstrated using parallel and distributed processing (PDP) models in [Rumelhart and McClelland, 1986; McClelland and Rumelhart, 1986; McClelland and Rumelhart, 19881. We will consider two of those models for illustration, namely, the Interactive Activation and Competition (IAC) model and the Constraint Satisfaction (CS) model.

A.l Interactive Activation and Competition Model

The objective of the IAC model is to illustrate the process of retrieving general and specific knowledge from stored knowledge of specifics [.McClelland and Rumelhart, 1988, p. 391. Some of the features of human memory that are illustrated through this model are: Retrieval by key (name) and by context, retrieval with noisy clues, assignment of default values and spontaneous generalization. The model is illustrated through the example of Jets 'and Sharks database described in [McClelland, 19811 and given in Table A.1. Information in such a data, if stored in a computer memory, can be a~cessed by name or by any other set of items, provided the method of access is preprogrammed into the system. Moreover, certain characteristics of the data like the distribution of persons in different age groups, or the nearly 'common' characteristics among some persons, etc., can be obtained only by explicitly programming to derive the information embedded in the data. In other words, any information in the data has to be sought explicitly. Whereas human memory stores the data in terms of the patterns implicit in the data automatically, and these patterns can be recalled even with partial clues. These features of human memory can be demonstrated through a parallel and distri341

342

Features of BNN through PDP Models

Table A1 The Jets and the Sharks Data for IAC Model [Adapted from McClelland and Rumelhart, 1988, Ch. 2; with permission from MIT Press].
Name Art A1 Sam Clyde Mike Jim Greg John Doug Lance George Pete Fred Gene Ralph Phil Ike Nick Don Ned Karl Ken Earl Rick 01 Neal Dave Gang Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Jets Sharks Sharks Sharks Sharks Sharks Sharks Sharks Sharks Sharks Sharks Sharks Sharks Age

40's 30's 20's 40's 30's 20's 20's 20's 30's 20's 20's 20's 20's 20's 30's

Edu J.H. J.H. Col. J.H. J.H. J.H. H.S. J.H. H.S. J.H. J.H. H.S. H.S. Col. J.H. Col. J.H. H.S Col. Col. H.S. H.S. H.S. H.S. Col. H.S. H.S

Mar Sing. Mar. Sing. Sing. Sing. Div. Mar. Mar. Sing. Mar. Div. Sing. Sing. Sing. Sing. Mar. Sing. Sing. Mar. Mar. Mar. Sing. Mar. Div. Mar. Sing. Div.

Occupation Pusher Burglar Bookie Bookie Bookie Burglar Pusher Burglar Bookie Burglar Burglar Bookie Pusher Pusher Pusher Pusher Bookie Pusher Burglar Bookie Bookie Burglar Burglar Burglar Pusher Bookie Pusher

buted processing model shown in Figure A.1. In the figure the units are organized in different pools, such as 'names' pool, 'age' pool, etc. The number of units in each pool corresponds to different possibilities in that category, as for example, 27 units in 'names' pool and 3 units in 'age' pool, etc. There are as many pools as there are categories (6 in this case), plus one additional pool called 'instance' pool. Units within each pool are conneded in an 'inhibitory' manner, i.e., the output of each unit is fed with a negative weight to all other units in the same pool. The units in each pool are conneded to the corresponding units in the instance pool in an 'excitatory' manner, i.e., the connection weight is positive. For example, the 'Ralph' unit in the 'names' pool, 'Jets' units in the 'gang' pool, '30' unit in the 'age'

Interactive Activation and Competition Model

[Adapted from McClelland and Rumelhart, 1988, Ch. 2; with permission from MIT Ress].

pool, 'JH' unit in the 'education' and the 'pusher' unit in the 'occupation' pool are al connected to the 'Ralph' unit in the 'instance' l pool with positive weights. The units in the 'instance' pool are called 'hidden' units, since by design they are not accessible for external input or output. The units in all other pools are called 'visible' units. Only 5 of the 27 units are shown in the 'names' pool and 'instance' pool for illustration. Also the inhibitory connections within the pools are not shown in the figure. There are a total of 68 units in the model. Each unit computes a weighted sum of the input values to the unit, fed from other units as well as from external inputs, if any. The weighted sum or the activation value is passed through a nonlinear output function, which gives as output the activation value itself, if the sum lies between some prespecified minimum and maximum values. Otherwise, the function gives either the minimum value at the lower limit or maximum value at the upper limit. The state of the model is described as the outputs of all the 68 units at any given instant of time. Starting from any state, the next state can be computed by selecting a unit at random and computing the weighted sum of its inputs first and then the output of the unit. Due to change in the value of the output of this unit, the model goes to a different state. Then another unit is selected at random, and the new state for that unit is determined.

344

Features of BNN through PDP Models

All the units are updated by selecting the units in a random sequence, to compute one 'cycle' of activation dynamics. After several cycles, the model is guaranteed to reach a stable equilibrium state, when there will not be any further change in the state of the model. For each set of external inputs, the model reaches a stable state eventually. From the stable state the stored data can be read out. For example, if we want the data about 'Ralph', an external input is given to the input of the 'Ralph' unit in the 'names' pool. Starting with some initial state, the network activations are computed for several cycles, until an equilibrium state is reached. At equilibrium, there will be one unit in each pool having large positive value. Those units correspond to the data that belongs to 'Ralph'. The details of implementation are discussed in [McClelland and Rumelhart, 19881. The model demonstrates several features of the functioning of the biological neural network in human memory. Some of the features are: (a) Retrieving an individual's data from his name, (b) Retrieval from a partial description, (c) Graceful degradation, (d) Default assignment, and (e) Spontaneous generalization for novel inputs. The most important point is that the model stores the patterns embedded in the given data. Therefore one could get from the model even such illformation for which the model was not explicitly designed. For example, in the feature of default assignment, the model gives possible good guess about missing information, even though we do not know certain things about an individual. It evaluates the relative strengths of the attributes from the given data in a complex manner, which is difficult to describe explicitly. Thus this model clearly brings out the distinction between computer memory and human memory for storage and retrieval of information. The model also brings out the features of content-addressable memories and associative memories for information retrieval. Note the distributed nature of the memory in this model in the sense that the information is distributed in the weights throughout the network. Also note the parallel and distributed nature of the activation dynamics when the model is realized in hardware, and when i t is allowed to relax naturally changing from one state to another until an equilibrium state is reached from the given initial state and external input. There will be several equilibrium states, some of them correspond to the desired information about the data in the Table A.l [McClelland and Rumelhart, 1988, p. 641.

A.2 Constraint Satisfaction Model

We consider another PDP model, namely the constraint satisfaction model, to illustrate how we attempt to build concepts or arrive at conclusions based on some limited, partial, and sometimes partially erroneous knowledge. The key idea in this model is that a large

Constraint Satisfaction Model

345

number of weak constraints together will evolve into a definitive conclusion. For example, even in an apparently simple task of recognition of handwritten characters, it is difficult to articulate precisely what we capture as features in the patterns of several samples of each character. But when we are presented with a new sample of a handwritten character, most of the time we have no difficulty in recognizing it correctly. It is likely that &om the samples of a handwritten character we may have captured a large number of weak evidence of features in our memory, so that with a new sample as input, the memory relaxes to a state that satisfies as many constraints as possible to the maximum extent. The above idea of constraint satisfaction can be captured in a PDP model consisting of several units and connections among the units. In this model the units represent hypotheses and the connections represent the knowledge in the form of constraints between any two hypotheses. It is obvious that the knowledge cannot be precise and hence the representation of the knowledge in the form of constraints may not also be precise. So the solution being sought is to satisfy simultaneously as many constraints as possible. Note that the constraints usually are weak constraints and hence all of them need not be satisfied fully as in the normal constrained optimization problems. The degree of satisfaction is evaluated using a goodnesg-of-fit function, defined in terms of the output values of the units as well as the weights on the connections between units. The constraint satisfaction PDP model is illustrated here with an example of how our concepts of various types of rooms can be captured by the model &om samples of description of these rooms [McClelland and Rumelhart, 1986, Ch. 141. Let us assume that we collect data from subjects about their understanding of the following five types of rooms: Living room, kitchen, bedroom, office and bathroom. In order to elicit information from the subjects, 40 descriptors are provided to them, in terms of which each subject can be asked to give his~her view of the above room types. The descriptors are shown in Table A.2.
Table A2 The 40 Room Descriptors used in the Constraint Satisfaction o Model [From McClelland and Rumelhart, 1988, p. 64; with permission fmm M T Press]. I
ceiling large telephone books sofa drapes cupboard toilet walls medium bed desk-chair easy~hair stove sink scale door small typewriter clock coffee-cup coffeepot dresser wen windows very-small bo kshelf picture ashtray refrigerator television computer very-large desk carpet floor-lamp fireplace toaster bathtub clothes-hanger

346

Features of BNN through PDP Models

Each subject can be asked to mark which of these descriptors are valid for each room type. F'rom the data collected from a number of subjects, the weights between units are captured. Here the units represent the descriptors. The output of a unit is binary indicating whether the description is present or not. The connection weights between units are derived fiom the co-occurrence patterns of the descriptors in the responses of the subjects for all the room types. One method of describing the weights is as follows:

w, = -log

P(xi= 0 and xj = 1)P(xi= 1 and x, = 0) P(xi= 0 and x, = 0) P(xi= 1 and x, = 1)

(A.1)

where wij represents the symmetric weight connecting the unit j and unit i. The numerator represents the product of probabilities that the hypotheses of the units i and j are competing with each other, i.e., one unit has the value xi = 1 and the other has the value x, = 0. The denominator represents the product of probabilities that the hypotheses of units i and j support each other. Thus if the evidence is greater for sup~orting hypotheses, then the weight w d will be the positive, otherwise it is negative. Note that the probabilities can be replaced by the relative frequencies in the data. In addition, each unit can have a bias reflecting the prior information about the hypothesis the unit represents. In this case the bias is given by

There can be direct evidence for a hypothesis through an external input. The corresponding input unit could be clamped indicating that the hypothesis is either always 'on' or always 'off. Other types of external input could be a graded one indicating a weak constraint. A constraint satisfaction model can be displayed by means of a Hinton diagram as shown in Figure A.2 [McClelland and Rumelhart, 1988, p. 661. Each larger square in the figure represents a unit. There are 40 units corresponding to 40 descriptors. Within the square of each unit a replica of all the 40 units are displayed as dots, each dot representing the unit in its relative position in the diagram. Around each dot, a white square indicates a positive weight connecting the unit representing the dot and the unit enclosing the dot. Thus for example, the white square on the second dot in the unit for 'ceiling' indicates that the 'walls' unit is connected to the ceiling unit with a positive weight. The size of the small white square indicates the strength of the positive connection. Likewise in the last unit corresponding to 'oven', the small dark square around the last but one dot indicates that the units 'oven' and 'computer' are connected with a negative weight. There are many units which have no conlnections at all.

Constraint Satisfaction Model

347
. .. .. .0. .. . .. .....a
OL1.

mmyjao
..... ....... . . . . . . . . . ....... ....... ....... ....... .......
Ceiling Walls

.......

...

....... ....a

I . . . . .

"'..'

....... .......
.....I.

......

Door

Window

Very-larize
.......

. .....

Large
.0'.

Medium

Small

Very-small

Desk

Telephone

; ; ; :1

I:

....... ....... ....... .......

Carpet

Typewriter Bookshelf

U
.....

..... ......

Books

u
....... ....... .......
Clock

Bed

..... ...*...

..... ....... ......

.......
Picture

.....
Floor-lamp Sofa
.

....... ....... ....-a. . ...... . .....

Easy-chair Coffee-cup Ash-tray Fire-place Drapes

Stove

Sink

Refrigerator Toaster

. I... Television

....0 : . .=. ...... . .......

8..

Toilet

=. : ; i = j=g::

..... ..
8..-8. m.. '. I
.I .)

.....
-0

Cupboard Coffee-pot

Dresser
.. ...... . . .

0 .

Scale

Computer

Oven

Figure A2 The figure uses the method of Hinton and Sejnowski [I9861 to
display the weights. Each unit is represented by a square. The name below the square is the descriptor represented by each s q m . Within each unit, the small black and white squares represent the negative or positive weights, respectively, from that unit to each of the other units in the system. The relajhve position of the small squares within each unit indicates the unit with which the unit is connected [Adapted from McClelland and Rumelhart, 1988, Ch. 3; with permission from MIT Preas].

The model is allowed to relax by computing the next state for each unit selected at random, computing sum of its weighted inputs and thresholding the weighted sum using a hard-limiting output function. For a given external evidence, say like 'oven' and 'ceiling' in Figure A.3, the state of the network aRer each cycle is shown in the figure. ARer 17 cycles the model settles down to an equilibrium state closest to the given external evidence, and the state description gives a description of the concept of the room satisfying the external evidence, namely ?kitchen', in this case. Thus the.PDP model clearly demonstrates the concepts of rooms captured by the weak constraints derived from the data given by the subjects. The model captures the concepts of the five room types at the equilibrium states corresponding to the description that best fits each room type. A goodness-of-fit function ( g ) is defined for each state (x,, x,, ...,xN), where xi = 1 or 0, as

348

Features of BNN through PDP Models

u0u00uu000[7000000uuothen

. . . . . . . . . . . . . . . . . . . . Computer . . . . . . . .. .. .. .. .. .. .............. Coat-hanger ...... . . . . . . . . . . . . . . . . . . . . Toilet . . . . . . . . . . . . . . . . . . . . Scale . . . . . . . . . . . . . . . . . . . . Television . . . . . . . . . . . . . . . . . . . . Bathtub . Dresser

. .000000000000000000 Cupboard . 00000nCIonu00n000 Coffee-pot
u0000uu00u0000u000 Toaster 000 0 0 0 l l 1 0 n 1 1 Refrigerator 0 0 0~7 7 u u 7 7 non 00l3n[IIuI~l~nOunun0 sink OOUOOOOU0 ~ ~ v e 0000000000000 Drapes

.. .. .. . B . . . . . . . . . . . . . . . . . .. .. .. .. .. .. .. - . Ash-tray . . F~re-place ..........Coffee-cup . . . q o000u000000uunu0 Easy-chair . . . . . . . .. .. .. .. .. .. .. .. .. .. .. Sofa ...... ................ . . . . . . . . . . . . . . . . . .. .. .. .. Picture Floor-lamp . . . . . . . . n q q q nOOODOUUO Desk-chair Clock . . . . . . . . . . . . . . . . . . . . Books . . . . . . . . . . . . . . . . . . . . Carpet .................... .... . . . . . . . .. .. .. .. .. .. .. ............ Bookshelfe r . mewrit Bed . . . . .. .. . o. . . . . .o n . .~.B CTelephone u l~ . . . . . . . . . . . . . . . . . . . . Desk .. . . Very-smaJl ....
. . . . . . . . . . . . . . . . . . . a

LI

. . . . . u. . o. . . . q o 00alJl. . . . Small . . . . . . . . u . . . . . . . . . . Medium . ..... . . . . . . . . . . . . . . . . . . . . Very-large Lage . . . . . . . o 00[7U0[700[700[70Window . . . . . . . . . . . . . . Door

LI

LI

0000u000000u00u0000 Walls 00000000000u00000000 Ceiling

Figure A3 The state of the CS model after each cycle, starting with an initial state where the units 'ceiling' and 'oven' are clamped. The system settles down to a prototype for the type of room most closely related to the clamped units, which in this case is 'kitchen' [Adapted from Rumelhart et al., 1986b;with permission from MIT Press].

where ei is the external input to the ith unit and bi is the bias of the unit i. At each of the equilibrium states the goodness-of-fit function is maximum. The model not only captures the concepts of the room types, but it also gives an idea of their relative separation in the 40 dimensional space. In order to visualize the shape of the goodness-of-fit surface

Constraint Satisfaction Model

349

as a function of the state of the model, the goodness-of-fit surface for states lying on a plane passing through the three equilibrium states corresponding to 'kitchen', 'office' and bedroom is shown in Figure A.4 [McClelland and Rumelhart, 19861. Note that the x-y plane
Office

t
Kitchen,

.. ... . .. ...... . ..

Bedroom

Figure A4 The value of the goodness-of-fit function for the states on the plane passing through the three goodness maxima corresponding to the prototypes for 'kitchen', 'bedroom' and 'office'. [Adapted from Rumelhart et al., 1986b;with permission from MIT Press].

corresponds to the plane passing through the selected equilibrium states. The shaded curve gives values of goodness-of-fit function for all states on this plane. Obviously, the function is maximum at each of the three equilibrium states. The figure shows that the concepts of 'office' and bedroom have more in common than that of kitchen, since the peak for the kitchen is far off fiom the other two. The model will have several other equilibrium states corresponding to some local peaks of the goodness-of-fit function. These peaks do not correspond to the room types intended to be captured by the model fiom the data. In general the model is allowed to relax in order to reach some global peak overcoming the insignificant local peaks. This is generally accomplished using the method of simulated annealing. Note that this constraint satisfaction model is a good illustration of learning or capturing the concepts fiom examples. The derived constraints will be more representative of theknowledge if the examples are large in number. It is also interesting to note that there is no uniqueness about the model in terms of descriptors, weights, etc. The objective is to represent somehow the knowledge of the problem domain in the form of weights. Obviously the model will function better if the number of hypotheses or units and the

350

Features of BhW through PDP Models

constraints are large, and the number of concepts is much smaller compared to the dimensionality of the state of the model. The model clearly illustrates the pattern behaviour in human cognition, which we cannot articulate precisely, but we use effectively in classifying correctly when a new sample is presented.

Appendix B

Mathematical Preliminaries
B.l MDimensional Euclidean Geometry
To appreciate the problems in representation and recall of information in artificial neural networks, concepts of higher dimensional geometry are useful. In this section we will describe some basic principles of N-dimensional Euclidean geometry that will help visualise the behaviour of the state of a neural network [:Hecht-Nielsen,19901. Let us consider a network with N processing units. Let the output signal of each unit be one of the following four types: Binary: (0, 1) Bipolar: (-1, 1) Continuous in the range [O, 1 1 Continuous in the range [-I, 1 1 The output signal vector of the network can be represented as 9 = (sl, s2, ... sN). , The domains of the signal vectors for the four types of output in the N-dimensional space RN are hypercubes defined as follows:

The points in the discrete binary cube (0, llN are located at On the other varying distances from the origin in the range (0 to 1, hand, the points in the discrete bipolar cube (- l l N are all of length Therefore, the hypercube (-1, llN is enclosed in the sphere of radius in RN. The volumes and areas of the hypersphere (radius r ) and hypercube (side length I ) in RNare given by the following expressions:

m).

m.

Mathematical Preliminaries
Volume of hypersphere:

v, (NY r ) =
Area of hypersphere:

(N/2)!
l2

if N is even

[N- 11/2)!p

if N is odd

As ( Y r ) = N

Volume of hypercube: Area of hypercube:

( N Z ) ~p~ 1 ' (N/2)!

ifN is even

2N

(Z)w-

(N - I ! )

(IN- lIL?)! - 1 if p

is odd

Vc(N, = lN 1) Ac(N,1) = f l -

'

Therefore we notice the following interesting properties: 1) Volume of a unit side length cube is a constant, since Vc(N, = 1 Volume of a sphere inscribed in a cube is V,(N, 0.5) + 0, as N + The distance from the centre to the vertices of a unit cube in iN is m12, which is a function of N. The distance from the centre of the sphere inscribed in the unit cube to any point on its surface is 112.

8.2 Linear Algebra

Some Deflnitlons Llnear dependence: A set of M-dimensional vectors {xl,q, q,,] is ...,

said to be linearly dependent if there exist numbers {c,, c,, all zero such that C I X l +C2X, ... + CN+ + =O

..., c,]

not

(B.1)

If the vectors are not linearly dependent, they are said to be linearly independent.
Rank: The rank of a matrix A E i N x Mas the number of is defined linearly independent rows or columns of A. If A is full rank, then its rank is N or My whichever is lower. Inner product: The inner product of two vectors x, Y E iM,X I , x =[ x2, ..., xM1 and y = [yl, y2, ...,y M ~ T is defined as ,

Linear Algebm

353

When the inner product of the two vectors (x, y) is zero, the vectors are said to be orthogonal.
Outer product: The outer product of two vectors x, y is defined as

- " 0'1

X0'2 XaY2

...
...

X~'M

03.3)

4=.
"

"a35

XaY~

The rank of the outer product is one. The outer product is a symmetric matrix when y = x.
Norm: The

~ "ddY2 l

-..

4 norm of the vector x is d e k e d as

(i=l

) The L~ norm is called Euclidean norm and is given by (18x)"

Gradlent: The g d i e n t of a multivariable function $(x) w.r.t. x is defined as

If x is a time varying vector (denoted as x(t)),then the derivative of $(x(t))w.r.t. time t is

d@(x (t)) dt axl

=

a(=) + ... + & A t ) &1(t) dt ax,. dt

I

T&XO dt

(B.6)

Jacoblan: For a vector function of a vector given by

the Jacobian matrix is defined as

354

Mathematical Preliminaries

Quadratic forms. A quadratic form is a scalar valued function of the vector x, defined through a symmetric matrix A E R ~ The ~ quadratic form is given by

Q(x) = &4x

i = l j=1

Note that since A is symmetric, a , = aji. If Q(x)2 0, then A is called a positive semidefinite matrix. If Q(x) > 0 then A is called a positive definite matrix.. If Q(x)5 0, then A is called a negative semidefinite matrix. If Q(x)c 0,then A is called a negative definite matrix. The gradient of the quadratic form is given by VQ(x) = 2Ax (B.9)
Multidimensional Taylor series:

A multivariable continuous function $(x),whose derivatives of all

orders exist, can be expressed in Taylor series as

where 6x = [6al, 6az, ..., 6aMl T is an incremental vector, V$(x) is the gradient of $(x)w.r.t. x and v2((x)is the Hessian matrix defined as

Linear Algebm

355

If $(x)has an extremum at x = q , then V$(q) = 0. Neglecting higher order terms in the Taylor series in Eq. (B.10), we have at x = xo

Since the last term in the above expression has a quadratic form, $(x) exhibits a minimum at x = % if the Hessian matrix v2$(q)is positive definite. If the Hessian is negative definite, $(x) exhibits a maximum at x = q.
Elgenvalues and Elgenvectors:

Consider minimization of the quadratic form ~ A subjected to the V constraint g v = 1, where A E RMxM. That is, taking the derivative . of 1 ~ A V h g v w.r.t. v and setting it to zero, we get
(2

Av = hv

(B.12)

where A is called the Lagrange multiplier. The set of all vectors V E R~ which satisfy equation (B.12) are called the eigenvectors of A and the corresponding scalars h are its eigenvalues. If A has M nonzero distinct eigenvalues, A can be expressed as

where V = [vl v2 ... VM I is the matrix having the eigenvectors as its C O ~ U ~ and A = diag [hl & ... hM] is the diagonal matrix of ~ S eigenvalues. The representation of A in Eq. (B.13) is called the eigendecomposition of A.
Slngular Value Decomposltlon:

The Singular Value Decomposition (SVD) can be viewed as a generalization of the eigendecomposition. For a matrix A E RN M, there exist orthogonal matrices U = [ul ... I E RNx and q v = [v, v2... vM]E R~ such that

VAV =

diag [a,

0 ,

... or I

(B.14)

where a, 2 a2 2 ... a, 2 0, and r I min(N,M) is the rank of the matrix A. The ais are the singular values of A and the vectors q, v, are the ith lefi singular vector and the ith right singular vector, respectively. Therefore the matrix A can be written as

356 where

Mathematical Pmliminaries

It can be shown that ui and viare the eigenvedors of the square matrices AAT and ATA, respectively. That is ( M T ) ~ = oi2y and (A~A)v,= a,2vi
c$ are the eigenvalues in both the cases.

Solutlon of Linear Equatlons:

Let A is an N x M matrix, x is an M x 1 column vedor, and b is an N x 1 column vector. Then for solving a set of N linear equations given by Ax = b (B.17) three cases arise:

Case I: N = M. For this case of square matrix the solution to Eq. (B.17) is given by x = A-'b, provided A-' exists, i.e., A is a full rank matrix. Case 11: N > M. The solution for this overdetermined case is obtained by solving the following least squares problem
min (b- Ax) (b- Ax)
x

(B.18)

The solution to Eq. (B.18) is given by

X ,

= (A~A)-~A% ~ + b =

(B.I~)

where A+ is called the pseudoinv&se of A. The vector gives the projection of b onto the space spanned by the columns of A. Hence, the matrix P is called the projection matrix.

Case 111: N N M. There are infinite solutions for this undetermined case. The Minimum Norm Least Squares (MNLS)solution is obtained by minimising (xTx) subjected to the constraint that Ax = b. That is, the solution is obtained by minimising [xTx - A ~ ( - b)] w.r.t. x. The A ~

vector A is the set of Lagrange multipliers [XI, h, hNIT. The ..., solution to the above constrained optimization problem is given by

Projection Matrix

Consider the vectors al, a2,b E R ~ .

a1 The scalar projection of b onto al = ( b, )

Ila1llz

llall12 Let 6 be a projection of vector b onto the subspace spanned by al and %. The subspace is giv n by the linear combination of al and a2, i.e., qal + x2%=Ax. Let =AS. Then the vector b - 6 = b -Axp is orthogonal to a l the vectors in the subspace Ax. Therefore l
I al2 I ll

The vector projection of b onto al = ( b,

a1 a1 - )

Since this should be true for all x, we have

X = ,

(A~A)-~A%

Note that the solution in Eq. (B.22), which has been derived using a geometrical approach, is identical to the least squares solution given in Eq. (B.19). Thus the projection of b onto the space spanned by the columns of A can be written as

b = % = A(A~A)-~A% n = ,
where P is the projection matrix.

B.3 Probability
Sample Set

A set U which consists of a l possible outcomes of a random l experiment is called sample space. The sample space corresponds to the universal set.
Event

An event A E U is a set of possible outcomes. If the events A and B do not have any element in common, then they are called mutually exclusive events.

Mathematical Preliminaries
Random Variable

A random variable X i s a function that maps the outcome of a random event, i.e., each point of a sample space into real scalar values. A random variable which takes discrete values is called a discrete random variable, and the one which assumes continuous values is called a continuous random variable. A vector random variable X is a vector whose components Xi are random variables.
Definition of Probabllity Classical or a prioriapproach: If an event A can occur in h different ways out of a total number of n possible ways, all of which are equally likely, then the probability P(A) of the event A is defined

Frequency or a posteriori approach: If aRer n repetitions of an experiment, where n is very large, an event A is observed to occur in h h of these, then the probability PtA) of the event A is defined as ; . Axioms of Probabllity

P(A) is defined as the probability of an event A if it satisfies the following three axioms: Al: 0 I P(A) I 1

A3: For any sequence of mutually exclusive events Al, A2, ...

Important Properties of Probablllty

1. If 2. If

g denotes an empty set, then

P($) = 0 ,

A is the complement of A, then

P(Z) =
1 7P(A) P(A u B) = P(A) + P(B) - P(A n B)

3. If A and B are any two events, then

Probability
Condltlonal Probablllty

359

Let A, B s X be two events such that P(A)> 0. Then the probability of B given that A has o c c m d , i.e., conditional probability of B given A, is defined as P(A n B ) P(BIA) - p(A) (B.26)
Independent Events

The event A s X is called independent of the event B if P(A I B ) = P(A).

Bayes Theorem

s X if and only

Let Al, A2,

...,

An are mutually exclusive events such that

dk, = U.If one of the events must occur, then Ak

Probablllty Dlstrlbutlon

For the discrete case, the function p(x) = P ( X = x ) is a probability distribution of the random variable X if p(x)10 and Z p(x) = 1. For a continuous case p(x) is called a probability density function, if p(x) 1 0 and Ip(x)& = 1.
Expectation or Mean

For a discrete random variable X with the possible values xl, x2, ..., x,, the expectation or mean is defined as

provided the series converges absolutely. For a continuous case

Variance

The variance of a random variable X is

360

Mathematical Preliminaries

The positive square root of the variance is called standard deviation and is given by

Uniform Distribution

A uniform probability distribution between a and b for a random variable X is defined as

for a l x l b

u(x) =
otherwise

(B.32)

The mean and variance of the uniform probability distribution are

E = m
~inomlai Distribution

1 5(a + b)

and

1 Var(X) = - (b- a12 (B.33) 12

If each experiment is identical, i.e., each experiment has the same sample space and same probability distribution on its events, then the experiments are called trials. Repeated independent trials are called Bentoulli trials if there are only two possible outcomes for each trial and their probabilities remain the same throughout the trials. Let q be the probability that an event will occur in a single Bernoulli trial. Then (1 - q ) is the probability that the event will fail to occur in any single trial. The probability that the event will happen exactly x times in n 2 0 trials is given by the binomial distribution of order n b(x;n, q ) = P(X= x) =

[i q"(1- 9)"-

for x = 0,1, ...,n

where the random variable X denotes the number of successes in n trials. The mean and variance of the binomial distribution are

Univariate Gaussian Distribution

The function defined by

N(x, C, 0 ) = L

is known as the Gaussian distribution of the random variabie X with mean p and variance $.

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a q t z q ~ y p my I

?uopnqysq ~

se pauyap s~ squauodmoo mzrssntzy) a m p v uwlssntq) ayq jo uorqmba a q ,

aiayM '2 s q q i l l a ~ amqxy y q p n o v o d a r d amos u! s u o p n q y s p uw!ssnoy) q o q A ! q p m jo Aos) Jaqmnu a q p y jo a m p p tz aAoy aM u o v q u q s q ammzrssntzy) B U I

se pangap x x y o m aouwpnoo a q , *xx g w m a w q ~ o puw JIPYT1 '-.-- '1111 = fl m p a A w a m q q p o ' W u o p n q g s q w p s n o a q o p A w m w 1oj uo~qoqou 81 (x'rl k )aiayM ~ o ~

362

Mathematical Preliminaries

A broad class of measures of similarity between two patterns is based on metric distance measures. A distance measure d between two M-dimensional pattern vectors x and y is called a metric if it satisfies
(a) d(x, y) 2 0 and d(- y) = 0 iff (b) 4- Y) = d ( ~ , X)
X=

y (positivity) (symmetry) (triangle inequality)

(4 4- Y) + d(Y,

2) 2 4 2 , X)

The most common example of this kind of distance measure is Minkowski r-metric, which is given as follows:

The particular cases of the above distance measure are: (a) When r = 1 and xi, yi E (0, I),dr refers to Hamming distance. (b) When r = 2, dr refers to Euclidean distance.
(c) When r = =, dr refers to Chebyshev distance.

Two other metrics that are useful in the ANN context are: (d) Absolute value distance or city block distance or

4 mnn

(e) Maximum value distance or L norm ,

The distance between a pattern vector (x) and its mean vector (p)of a Gaussian distribution is described in terms of the following Mahalambis distance.

where C is the covariance matrix of the distribution. This distance is also used in Eq. (B.37) of the multivariate Gaussian distribution. When C is a diagonal matrix, dMbecomes the weighted inner product. A similarity measure between two pattern vedors need not be a distance measure. For example, the cosine of the angle 8 subtended between the vectors x and y can serve as a similarity measure. That is

The inner product 2 y alone can serve as a similarity measure. This is also called cross correlation.

Similarity Measures

363

In some cases, we need to have a similarity measure between two probability distributions {p.) and {qj)for discrete random variables. Cross entropy or ~ullback-teibler measure is one such measure. The cross entropy is defined as

The first term of Se, i.e. x p j log

J

measure. It is known as cross entropy of the distribution (pi) with respect to the distribution {q,).

($1
\ -

, is
/

also used as a similarity

Appendix C

Basics of Gradient Descent Methods

C.l Mean Squared Error
Gradient descent methods form the basis for many supervised learning laws in artificial neural networks. We introduce the basics of the gradient descent methods [widrow and Stearns, 19851 by considering a single layer, single unit network with linear output function, namely the Adaline, 'as shown in Figure C.1.The error in the actual
Desired output
Activation
0 1

Act

Wl

m-

w, wl k

w, 4

au

- Linear function
T ...,aM) is given by
M

Figure Cl A single layer single linear unit network (Adaline). .

output for a given input vector a = (al, %,

The squared error is given by

The input vector can be considered as a sample function of a stationary random process [Papoulis, 19901. Then the mean squared error is given by the expected value of e2 as follows:

Properties of the Autocorrelation Matrix R

365

where R = &[aaT is an M x M autocorrelation matrix with &[a,ai] as its (i,j]th element, and pT = &[baT] &[bal,baz, ..., baMlT. To find the = weights for minimum E, we take the gradient of the mean squared error E(w). That is v = -aE(w)

awT

Note that even though E is a scalar, ~ E I ~ W ~ is a vector with components of gradient along each wi axis in the weight space. Setting the gradient equal to zero, and solving the resulting normal equations for the optimal set of weights w*, we get

V = 0 = 2Rw* - 2p
Therefore w* = R 1 p provided that R1exists. The minimum error is obtained by substituting w* for w in the Eq. ((3.3) for E. Therefore, we get after simplification

We can show that the mean squared error in Equation ((3.3) is given by E(w) = E + (W - w*lTR(w w*) , = E ,

+ vTRv
..a,

where
V

= W - W* = [vl, v2,

T vM]

is a translated weight vector with origin at w = w*. This can be proved by using the property that R is a symmetric matrix, i.e., RT = R.

C.2 Properties of the Autocorrelation Matrix R The following properties of the autocorrelation matrix are useful for studying the properties of the error function E(w) [Widrow and Stearns, 19851. (a) RT= R,
RR-I

= I and (R-')~= R-l.

(b) Using the eigenvalues and eigenfunctions of R, we can get the normal form representation of R as R = &A&-', where A is a diagonal matrix consisting of the eigenvalues hi of R, and Q is a matrix consisting of the eigenvectors of R. That is Q = [ql, qZ,..., %I. We also have Q-'RQ = A.

366

Basics of Gradient Descent Method9

(c) The eigenvectors corresponding to the distinct eigenvalues are orthogonal to each other. That is qYqj= 0, for all i and j, and i+j. (d) Since R is a real and symmetric matrix, all its eigenvalues are real, and each eigenvalue is greater than or equal to zero. (e) If all the eigenvectors are normalized to unit magnitude, then the resulting set of eigenvedors are orthonormal. That is QQT= I = Q - . Hence QT= &'. Q'

C.3 Prooerties of the Mean Squared Error q w )

E(w) is a quadratic function of the components of the vedor w. That is, in E(w), when expanded, the elements of w will appear in first and second degrees only. Thus the error surface E(w) is a hyperboloid in the weight space. Since E(w) is a squared error, Emh is the minimum value of the squared error. Therefore we have E(w) 2 E , and
2 0

vTRv = E(w) - Emh 2 0

Note that vTRv is also quadratic function of the components of the vector v. The error surface E(w) is a bowl-shaped surface. F'igure C.2

Figure C.2 Constant error contour^ for the quadratic error Burface.

shows constant error contours of an error surface for a two represents a hyperellipse, which in dimensional case. The term V ~ R V the two dimensional weight space is an ellipse with two principal axes as shown in Figure C.2, for different values of the constant in the equation vTRv = constant (C.10)

Newton's Gradient Search Method

367

Any increase in the radius from the v = 0 point increases the error. Therefore, the gradient of E(w) with respect to v is always positive. Expressing R as &AQTin Eq. (C.8))and using d = QTv, we get

With the transformed coordinates v the axes are along the two ' , principal axes of the ellipses in the weight space as shown in Figure C.2. It can be shown that the eigenvectors of the matrix R define these principal axes of the hyperellipses formed by the error surface. Since

the eigenvalues of R are given by the second derivative of the error surface with respect to the principal axes, i.e.,

We want to find w for which E(w) is minimum. For a quadratic error surface the minimum of E(w) occurs at a point w*in the weight space at which the gradient of the error surface is zero. Therefore the gradient of E(w) = E + (W - w*)~R(ww*) , (C.14) is given by

Multiplying both sides with R1and rearranging, we get

w = 2R. Thus 1 R ' can be interpreted as the ratio V dW2 of the first derivative to the second derivative of the error with respect to the weight in 1-D case. From Equation (C.16), we note that, starting fiom any initial value of the weight vector w, the optimum weight vector w* can be obtained in one step, provided the first and the second derivatives of the error surface are known at that initial point in the weight space.
Note that
2~

C.4 Newton's Gradient Search Method

The optimum weight value can also be captured in an iterative manner by writing w ( +~ = ~ ( m-)rl R ~ V , 1) (c.17)

368

Basics of Gradient Descent Methods

where q is a positive constant. This is called Newton's gradient search method. This is useful only when the approximate values of the first and second derivatives of the error surface are available at each point. We can show that the Newton's method converges to the optimal weight w*.Let us rewrite Eq. ((3.16)as

where V , = V a t w = w ( m ) .Therefore from Eqs. (C.17)and ((2.18)we get w ( m + 1) = w ( m )- 2q(w(m)- w*). w ( m ) ( l- 2q) + 2qw' ((2.19) = Starting with an initial weight of w(O), get we

w ( m ) = w*+ ( 1 - 2 q ) m ( ~ (- w*) 0)

(C.20)

Since w ( 0 )- w* is fixed, w ( m ) converges to w*, provided 0 < 2n 1, i.e., 0 < 11 5 l12. The one step solution is obtained for q = &2 as shown in Eq. ((2.16). For a known quadratic error surface E ( w ) , the first and second derivatives are known exactly for all values of w. Hence the optimum weight vector can be obtained in one step as in Eq. (C.16).But if the error surface E ( w ) , though quadratic, is not known exactly, then'the computation needs to be iterative as in Eq. (C.17).If the error surface is not quadratic, then the Newton's method is not guaranteed to converge to the final value, starting from any arbitrary weight value. In the Newton's method the steps do not proceed along the direction of the gradient.

C.5 Method of Steepest Descent

If the weights are adjusted in the direction of the negative gradient at each step, as shown in Figure C.3, then the method is called steepest descent. For the method of steepest descent, the weight update is given by

w ( m + 1) = w ( m )+ p (- V,)

(C.21)

where p regulates the step size, and V , is the gradient of the error surface at w = w ( m ) .Substituting for V , from Eq. (C.18) we get

Method of Steepest Descent

Newton's method (the path is approximately along the

w,

Figure C.3

Illustration of trajectories in the weight space for different gradient descent methods.

w(m + 1) = w(m) - 2@(w(m) - w*) In terms of v = w - w* (translation), we get

If we rotate the principal axes by substituting v = Qv' in Eq. (C.231, we get (C.24) Qv'(m + 1) = (I- 2pR) Qv'(m) Multiplying both sides by Q-', we get

Therefore, starting with m = 0, we get This result will be stable and convergent if

lim (I- 2pA)m = 0

m+-

The convergence condition is satisfied by choosing

where

ha, the largest eigenvalue of R. After convergence is

370
m-+-

Basics of Gradient Descent Methods lim v'(m) = 0

Hence lim w(m) = w'

m-+-

Figure C.3 shows the trajectory of the path for the method of steepest descent. The Newton's method converges faster because it uses the information in the R matrix to find a path close to the direct path on the error surface towards Emh. Note that only the first derivative of E(w) is required for the steepest descent, whereas both the first and the second derivatives of E(w) are needed for the Newton's method. C.6 The LMS Algorithm Since the gradient of the error surface is not available in general, it needs to be estimated from the available data. If we assume that the input vector a(m) and the desired output b(m) are the realization of a random process at the mth instant, then the error e(m)= b(m) - aT(m)w(m) is also a random variable. One method of estimating the gradient is to use an estimate of the gradient of the error by taking differences between short-term averages of e2(m). But in the LMS algorithm we use each realization as e2(m) itself instead of &[e2(m)1 in Eq..(C.3). The estimate of the gradient a t each realization is given by

Using this estimate, the steepest descent algorithm is given by

This is called the LMS algorithm. Each component of the gradient vector is obtained from a single data sample. Without averaging, the gradient components do contain a large component of noise, but noise is attenuated with time by the weight adaptation process, which acts as a low-pass filter in this respect. By taking expectation on both sides of Eq. (C.31), it can be shown 1 that the weight vector converges in the mean provided 0 < p < 2 L '

The LMS Algorithm

371

where & is the largest eigenvalue of R [Widrow and Stearns, 19851. , But we know that & , I tr[Al= tr[Rl. If the input is considered as a signal vector, then tr[Rl gives sum of the diagonal elements of R. Each element is of the type E[aa, which can be viewed as signal power. Therefore, tr[R] is equal to the signal power. Hence
o < p <

1 1 I2 (signal poweo 2 A,,

This gives an idea for the choice of p based on the input data. The LMS algorithm is a stochastic gradient descent algorithm. Although the algorithm converges in the mean, the trajectory in the weight space is random. Table 4.5 in Chapter 4 gives a summary of the gradient search methods discussed in this Appendix.

Appendix D

Generalization in Neural Networks: An overview

In this Appendix we present an overview of the issues of generalization in neural networks. The material in this section is collected from [Neeharika, 19961.

D.1 Concept of Generalization Generalization is an intuitive concept unique to human learning. For example, we learn the concept of addition of numbers by looking at several examples of addition along with some explanation provided by the teacher. Likewise, we learn the pattern embedded in the written character by observing and by writing several examples of the same character. Thus learning from examples with additional knowledge forms the basis of the concept of generalization. Generalization by learning fimm examples is possible because of i some inherent features , n the input patterns or because of some constraints inherent in the mapping function. Learning, and hence generalization, is not possible if we are presented with a set of random l data as examples. Therefore a l problem situations are not generalizable. Atter learning we are capable of dealing with new situations such as a new addition problem or a new sample of a character. Our ability to deal with new situations can be evaluated by testing ourselves with several new examples for which we know the answers for comparison. If our performance with this so called test data is better, then we can say that our ability to generalize is also better. Performance of a pattern recognition system depends on its ability to generalize from the training examples. Generalization concept is involved in all pattern recognition tasks, such as classification, mapping, storage and clustering. For example, in pattern mapping, it is the smoothness of the mapping function that makes generalization by a network possible. Likewise, in pattern clustering, it is the common feature in each cluster that enables the network to generalize the concept in a given cluster.

Some Measures of Generalization

1*

D.2 Some Measures of Generallzatlon

Analytical studies on generalization use models for the learning machine [Blumer et al, 1989; Haussler, 1992; Amari, 1995; Seung et al, 19921. Various methods of measuring generalization are used in practice [Liu, 1995; Musavi et al, 19941. We discuss some of the methods in this section.
D.2.1

Kullback-Lelbler Measure

The Kullback-Leibler measure (Ern) is given by the following equation:

where p(y 1 x) is the class conditional probability distribution of the sample space and f d y ( x) is the function approximated by the neural network after training using the training set Tk = ((xl, yl), ..., (xk, y,)) consisting of k examples. The integral in Eq. (D.1) is over the input-output space. The Eq. (D.1) can be written as

where E is the expectation operator with respect to the random variables (x, y). The value of Ern is equal to zero when the function approximated by the neural network is equal to the actual function, i.e., fw(yI x) = p(y ( x). Since the second term in Eq. (D.2) is independent of the weights, the first term can be used to define the generalization error. That is E, =

- EDog(f,(y Ix))l

(D.3)

The Kullback-Leibler measure is useful for the networks designed for classification purpose. The measure requires the knowledge of the underlying probability distribution p(x, y), which is not known in many cases. Therefore an alternative method of measuring generalization ability is needed. One such measure is the cross-validation measure.
D.2.2

Cross-Valldatlon and Error Rate Measures

Cross-validation is a method of estimating the generalization error by making use of the training and test data [Liu, 19951. In this method, the generalization e m r E, in Eq. (D.3) can be estimated using 1 = -log I xj))

Giej

jri

In the above equation (xj, yj) E Tk and

is the weight vector

374

Genemlization in Neuml Networks: An overview

*I

obtained by using the training set Tkwith its ith sample deleted. The method of cross-validation to estimate the generalization error involves training the network several times, each time by deleting a different example from the training set. This is a computationally expensive procedure. The most commonly used measure of generalization for pattern classification task is the percentage misclassification of the test samples or the error rate. This measure is extensively used because it is simple and easy to implement. It can be viewed as a variation of the cross-validation measure.
D.2.3

Other Measures of Generallzatlon

Generalization error can also be measured by the probability that the output far the (k + 1)th sample is misclass3ed after the network is trained on k examples of the training set [Anthony and Holden, 1994; Holden and Rayner, 19951. It is given by

where fw (.) is the output of the neural network with weights w. Another measure of generalization is based on the entropic error [Ammi, 19931. It is defined as the negative logarithm of the pmbability of correct classification of the (k + 1)th pattern. The entropic error is given by (D.6) ei(w, k) = - log (1- eg(w,k)) It i a clear that when the probability of correct classification is one, the value of the entropic error is zero.

D.3 Theoretical Studies on Generalization

D.3.t

Learning Models

Theoretical studies on generalization make use of a model of learning. The key idea is to compute the probability that the neural network gives the correct output for new samples after learning from a training set. Let z = (x, y) be a sample from the input-output space, so that p(z) = p(x, y . The goal in learning is to minimize the risk functional ) R(w) = Q(z, w) ~ P ( z ) 07) where Q(z, w) represents a measure of the loss or discrepancy between the desired response y and the actual response produced by the learning machine (defined by the weights w) for the input x. If the probability measure p(z) is unknown, the minimization can be rm carried out on the training set drawn f o the input-output space.

Theoretical Studies on Generalization

375

All learning problem are particular cases of this general problem of minimizing the risk functional based on empirical data. Learning theory addresses the issues of consistency, convergence, generalization and learning algorithm [Vapnik, 19951.
D.3.2
VC Dlmenslon

We consider the issue of generalization of a learning process in some detail [Holden, 19941. Consider a network which has been trained using a set of training examples for a particular problem. If there is a !ih enough' probability that the a c t d error from the network hg for future samples drawn from the same problem is 'small enough', then we say that the network generalizes. This idea of the concept of generalization is used in the Probably Approximately Correct (PAC) learning theory [Haussler, 19921, which is based on the learning model introduced by Valiant [Valiant, 19841. We detine some terms that are essential to understand the theoretical results obtained in the PAC theory in the context of neural networks. In the following definitions, Fdenotes the class of functions that can be implemented by a neural network, fw represents one of the members of this class for a particular value of weight vector w and S is the input space.
Definition 1 (Dichotomy): Given a finite set S s RN and some function fw E 2 we define the dichotomy (Sf, S-) of-S, where Sf and S- are disjoint subsets of S. Here S US- = S and x E S+ if fw(x)= 1, whereas x E S- if fw = 0.
Definition 2: The hypothesis hw associated with the function the subset of RNfor which fw(x)= 1, that is,
fw

is

The hypothesis space H computed by the neural network is the set given by H = { h w l w$wl} ~ (D.9) where I w 1 is the total number of weights in the network.
Definition 3: Given a hypothesis space H and a finite set S E R ~ , we define AH@) as the set

We say that S is shattemd by H, if AH@)= 21sl where IS ( is the number of elements of the set S.

376

Generalization in Neural Networks: An overview function, A&), is

Deflnltlon 4: Growth tunctlon. The growth defined on the set of positive integers as,
A&)
=

max ( IAH@) I s s e , 1st =i The growth function gives the maximum number of distinct dichotomies induced by H for any set of i points. Detlnltlon 5 (Vapnlk-Chervonenkls dlmenslon): The VapnikChervonenkis dimension or VC dimension of the hypothesis space H, denoted by VCdim(H), is the largest integer i such that A&) = 2'. In the case when no such i exists, VC dim(H) is infinity. Figure D.l illustrates the shattering of 3 noncollinear points by straight lines. A set of 3 noncollinear points is the largest set of pointa

Figure Dl Shattering of three noncollinear points by straight lines. The VC . dimension is three for straight linea in 2dimensional space on a set of noncollinear pointe.

that can be shattered in a 2-dimensional space by straight lines. Therefore the VC, dimension of the set of straight lines with respect to a set of noncollinear pointa in a 2-dimensional space is 3. VC dimension is a combinatorial parameter which measures the expressive power of a network. VC dimension has been used extensively to obtain the generalization ability of a trained network [Blumer et al, 1989; Baum and Haussler, 1989; Sontag, 1992al. It has been shown that it is not the size of the set of computable functions but the VC dimension of the function that is crucial for good generalization in the context of PAC learning model [Blumer et al, 19891. The following key result on the bound of the generalization error is given in [Haussler et al, 19941: (D.12) where E is the expectation operator, L is the class of target functions (like straight lines in 2-D plane) and k is the number of training patterns. Experiments conducted by Holden and Niranjan [I9941 on real data have shown that the above bound is a moderately good approximation

Generalization in the Context of Feedforward Neural Networks

377

for the worst case generalization error. The results of bounds based on the VC dimension cannot be used most of the time since it is difficult to calculate the VC dimension. However the calculation of VC dimensions for some classes of functions are reported in [Anthony and Holden, 1994; Sontag, 1992a; Wenocur and Dudley, 19811. D.3.3 Asymptotic Behavlour of Learning Curves

When the generalization error of a neural network is plotted against the number of training patterns, then the resulting curve is called a learning curve. The behaviour of the learning curve gives an idea about the generalization capability of the trained network [Amari, 19951. A universal result on the dependence of the entropic error eJw, k) on the number of training samples is given by b a r i , 19931

where I w 1 stands for the number of weights, k for the number of training samples and (ei(w, k)) indicates the average over all the training data. This result is independent of the architecture of the neural network and the learning algorithm used for training. D.3.4 Dlscusslon

The VC dimension of a network can be regarded as a measure of capacity or expressive power of a neural network. The number of weights also indicates the capacity of a neural network. The generalization error is directly proportional to the capacity of the network and is inversely proportional to the number of training pattern. In the case of Radial Basis Function Neural Networks (RBFNN), I w I - 1 IVC dim (F) 5 1 w 1, where F i s the family of functions that a network can approximate and Iw 1 is the number of weights [Anthony and Holden, 19941. In the case of polynomial basis networks, VC dim (F) = I w I. The bounds on the generalization error obtained from computational learning and the behaviour of the learning curves give essentially similar results. But in the computational learning the worst case behaviour of the error is studied, whereas in the learning curves case the average behaviour is analyzed [Holden, 19941. Relationship between these theoretical methods is discussed in [Seung et all 19921.

D.4 Generalization in the Context of Feedforward Neural

Networks Pattern recognition tasks are usually complex, and cannot be solved by designing a single algorithm to take care of all the variations in the patterns [Lecun and Bengio, 1995bl. Generalization of a network

378

Generalization in Neuml Networks: An overview

depends on the features used for training, whereas the theoretical learning models do not take into account the issue of feature extraction. This is one of the major limitations of the neural networks for the study of generalization. Despite the above limitation, neural networks perform reasonably well for pattern association problems because of their ability to learn complex mappings in the higher dimensional space. In some cases the generalization performance of a neural network can be improved by manipulating the parameters of the network as follows:
Architecture of neural networks: Choice of an optimum architecture is one of the methods to improve generalization. One way of optimizing the architecture is by pruning, which is discussed in detail in the survey paper by Reed [19931. Size and quality of the training set: A large number of training samples are useful for improving the generalization by a network. One method of increasing the training set data is by introducing noise into the training samples to generate new training examples [Holmstrom and Koistnen, 19931. A good representation of the training data also improves the generalization [Narendranath, 19951. Learning algorithm: Methods to accelerate learning are proposed in an effort to train a network with large number of examples [Jean and Wang, 19941. Criterlon for stopplng training: Figure D.2 gives plots showing the behaviour of training and test error with number of training iterations. Overtraining occurs due to memorization of the training samples by the neural network. There is an increase in the generalizationltest error even though the error on the training set decreases with increase in the number of training iterations. Finding a criterion for stopping the training is a key issue in the generalization in feedforward neural networks.
A

Error

Number of training iterations

Figure D.2

Graph depicting overtraining. Generalization error is shown as a function of number of iterations. There is an increase in the generalizationltest error even though the error on the training set decreases as the number of training iterations is increased.

Appendix E

Principal Component Neural Networks: An overview

Neural networks have the ability to discover significant features in the input data using self-organized unsupervised learning [Haykin, 1994; Linsker, 19881. The principal component neural network is a self-organizing network which can perform principal component analysis [Matsuoka and Kawamoto, 19941. In this Appendix we present an overview of the principal component neural networks. The material for this section is obtained from [Sudha, 19961.

E.l Basics of Principal Component Analysis

From statistical point of view, Principal Component Analysis (PCA) is a method of representing the data points in a compact form [Jolliffe, 1986; Hotelling, 19331. Let us consider a data set D = {xl E ~ ~ x This data set can be represented as points distributed in an N-dimensional space. The first principal component is the direction along which the points have maximum variance. The second principal component is the direction orthogonal to the first component along whidh' the variance is maximum for the data points, and so on for the third, fourth, etc. For example, Figure E.l shows the directions (PC1 and PC2) of the first and second principal components of the data points distributed in a 2-dimensional plane.

XI

Figure E l Directions of the principal components of the data points . distributed in a 2-dimensional space.
379

380

Principal Component Neural Network: An overview

It is possible to have an effective transformation x + y, where !&N, y E Rp and p < N , when there is redundancy in the data points. T i is done by projecting the data points onto the principal hs subspace formed by the &st p principal components, also called G j o r components which capture the maximum variations among the points. This forms the basis for dimensionality reduction, and the method of data representation is commonly referred to as subspace decomposition. Approximation to the data point x reconstructed with minimum error from the projections y onto the p largest principal component directiom q s is given by

xE

The error vector e = x - x = i=ptlyiqi is orthogonal to the Z approximating data vector k, wGch is called the principle of orthogonality. PCA is similar to the Karhunen+eve transformation [Devijver and Kittler, 1 8 1 in communication theory. The principal 98 component analysis is a data dependent transformation. Extraction of the principal components can be done using the covariance matrix, C = E[(x- Z)(X - @'PI of the data set, where ii = Eb] is mean of the data set. The principal components are the eigenvectors of the data covariance matrix C arranged in the descending order of the eigenvalues [Haykin, 1994; Preisendorfer, 1988; Leon, 1 9 1 90.

E.2 Need for Neural Networks in PCA

In practice we have only an estimate of the covariance matrix due to limited data, whereaa the true covariance matrix is the ensemble average of the stochastic process generating the data. Moreover, for a nonstationary process, the principal components may vary with time. Therefore direct computation of the principal components is H c u l t , and is also not likely to be accurate. On the other hand, a neural network can extract the principal components directly from the data, by incrementally adjusting its weights. Moreover, it is possible to extract the required number of principal components by a neural network, instead of extracting all the components as in the direct computation. For nonstationary processes, the principal components are incrementally adjusted based on the new input to the neural network. With a single linear unit the simple unsupervised Hebbian learning performs variance maximization, and hence gives the direction of the f i s t principal component [Hebb, 1949; Palmieri and Zhu, 19951. The supervised mean squared error learning for a linear

Principal Component Neural Networks (PCNN)

381

network can be interpreted as a sum of Hebbian and anti-Hebbian learning components [Wang et al, 19951. The main feature of the linear network is that the energy landscape has a unique global minimum, and the principal component learning converges to the global minimum. Both the gradient descent and the Newton's type methods may get stuck in the saddle points [Haykin, 1994; Hertz et al, 19911, Thus the principal component learning is the best learning [Baldi and Hornik, 19891 for a linear feedforward neural network.

E 3 Principal Component Neural Networks (PCNN) .

E.3.1 Oja's Learning

The drawback of the Hebbian learning for principal component analysis is that the weights may grow indefinitely with training or they may tend to zero. This can be avoided by adding a stabilizing' term. Oja modified the Hebbian learning rule which incorporates the normalization of weights. For a single linear unit shown in Figure E.2, the weight update according to the Hebbian learning is given by

Figure E2 Single linear unit model as a maximum eigefilter. .

where q is the learning rate parameter, y(m) is the output of the linear neuron and xj(m) is the jth component of the input pattern vector at the mth iteration. After incorporating the normalization term in the learning rule, the above equation leads to the following Oja's learning rule [Oja, 1982; Yan et al, 1994; Zhang and Leung, 19951:

382

Principal Component Neural Network: An overview

The Oja's learning has two feedback terms: (a) The positive feedback or self-amplification term for the growth of the synaptic weight wj(m) according to the external input xJ{m). (b) The negative feedback term due to the term -y(m) wj(m) for controlling the growth, thereby resulting in the stabilization of the synaptic weight wj(m). The weights converge to the first principal component of the input distribution as shown below: Substituting y(m) = g(m)w(m)= wT(m)x(m)in Eq. (E.21, we get Taking statistical expectation on both sides, for large m, we should get &[Awl= 0. Therefore, where w(m) + qo as m + m and R = &[x(m)xT(m)]. qo is the eigenvector of the correlation matrix R corresponding to the largest eigenvalue [Haykin, 19941.
E.3.2 Learnlng Principal Subspace

Oja extended the single unit case to multiple units to extract the principal subspace [Oja, 19891. The learning algorithm is given by

where wii is the weight connecting the jth input with the ith unit. Here the weights will not tend to the eigenvectors but only to a set of rotated basis vectors which span the principal subspace corresponding to the first p principal components.
E.3.3 Multiple Principal Component Extraction: Generalized Hebblan Algorithm

By combining the Oja's rule and the Gram-Schmidt orthonormalization process, Sanger modified the subspace network learning algorithm to compute the first p principal components of a stationary process simultaneously [Sanger, 19891. A feedforward neural network with a single layer of linear units (M inputs and p outputs) as shown in the Figure E.3 performs the principal component analysis of the input data. The Generalized Hebbian learning Algorithm (GHA) is -, given by
i

AwQ(m)= q yi(m)

wh(m)yb(m) ,

for j = 1,2, . .., M and i = 1,2, ..., p

Principal Component Neuml Networks (PCNN)

XI

= I

x,

Figure E 3 Single layer of linear unita for multiple principal component . extraction.

and the output yi(m) of the ith unit is

j= 1

In the GHA the modified form of the input vector is given by

(a) For the first unit, i = 1 and f ,(m) = x(m). The GHA reduces to the Oja's learning rule. So it extracts the first principal component. (b) For the second unit, i = 2 and %(m) = x(m) - wl(m)yl(m). The second unit sees an input vector %(m) in which the component corresponding to the first eigenvector of the correlation matrix R has been removed. So the second unit extracts the first principal component of %(m) which is equivalent to the second principal component of x(m). (c) Proceeding in this fashion, the outputs of the units extract the principal components of x(m) in the decreasing order of the eigenvalues.
E.3.4

Adaptive Principal Component Extraction

Principal components can be extracted one by one recursively. By including anti-Hebbian feedback connections [Palmieri et al., 19931 in the network, the outputs of the units define a coordinate system in which there are no correlations even when the incoming signals have strong correlations. Foldiak [Foldiak, 19891 developed a procedure which uses anti-Hebbian connections between every pair of network

384

Principal Component Neural Network: An overview

outputs to orthogonalize the weight vectors. Kung and Diamantaras developed an algorithm called Adaptive Principal Component Extraction (APEX) for recursive computation of the principal components based on a sequential training scheme which uses antiHebbian weights from the already trained units to the unit that is currently being trained Kung and Diamantaras, 1990; Kung and Diamantaras, 19941. Using this scheme, one can adaptively increase the number of units needed for the principal component extraction. The architecture of the APEX network is shown in the F'igure E.4.

Figure E.4

APEX network architecture for multiple principal component

extraction.

There are two kinds of synaptic connections in the network: (a) Feedforward connections from the input to each of the units which operate in accordance with the Hebbian learning rule. They are excitatory and therefore provide self-amplification. (b) Lateral connections to a unit from the outputs of the previous units, which operate in accordance with anti-Hebbian learning rule, which has the effect of making them inhibitory. The output of the ith unit is given by where the feedforward weight vector wi(m) = [wil(m), ..., wN(m)lT, the feedback weight vector vi(m) = [vil(m),..., vici-l,(m)lT and the feedback signal vector yi(m) = b1(m), ..., yi-l(m)lT. The feedforward and lateral connection weights are updated as follows:

where the term yi(m)x(m) represents the Hebbian learning, and the term -yi(m)yi-,(m) represents the anti-Hebbian learning. The

Principal Component Neunzl Networks (PCNN)

385

remaining terms are included for the stability of the algorithm. In the following sections some PCNNs designed for specific situations are discussed.
E.3.5

Crosscorrelatlon Neural Network Model

The neural network models discussed in the previous sections extract the principal components of the autocorrelation matrix of the input data. A crosscorrelation neural network model [Diamantaras and Kung, 19941 performs Singular Value Decomposition (SVD) [Leon, 19901 of the crosscorrelation matrix of two signals generated by two different stochastic processes which are related to each other. The principal singular vectors of the crosscorrelation matrix encode the directions in both the spaces of the stochastic procesBes, that support the major common features of both the signals. The learning rule is an extension of the Hebbian rule called the mutual or cross-coupled Hebbian rule, and it can be considered as a crosscorrelation asymmetric PCA problem [Kung, 19931. The SVD of the crosscorrelation matrix C = E [ ~ X T ] of two where U is the stochastic signals, x and y is given by C = U X p, matrix containing left singular vectors which span the column space of the matrix C (eigenvectors of C C ~ and V contains the right ) singular vectors which span the row space of the matrix C (eigenvectors of cTC).The mutual Hebbian rule extracts both the left and right singular subspaces. Consider two linear units as shown in the Figure E.5 with inputs x E $M, y E $N, and outputs

Figure E 5 Crosscorrelation neural network model for performing SVD of . crosscorrelation matrix of two stochastic signals x and y.

386

Principal Component Neural Network: An overview a = WTx and b =

Ty

The cross-coupled Hebbian rule that updates the weights of any one of the two units is based on the correlation between the input of this unit and &e output of the other unit and hence the name of the rule.

where q is the learning rate parameter. In order to maintain stability, the weights are normalized and the resultant update rule becomes Ax(m) = ~ ( +m - w(m) = q [x(m)- w(m)a(m)lb(m) 1) By maximizing the crosscorrelation cost

where R is the crosscorrelation matrix, the solution for the weight , vectors converges to the principal singular vectors [Leon, 19901.
E.3.6 Hlgher Order Correlation Learning Network

The Oja's learning does not capture the higher order statistics in the input data. A higher order unit Paylor and Coombes, 19931, which accepts inputs from more than one channel, is capable of capturing the higher order statistics of the input. Figure E.6 shows a higher

Figure E.6

Higher order neuron model for learning higher order statistics of the input.

Principal Component Neural Networks (PCNN)

387

order u i consisting of a set of higher order connection weights, nt wi, wc,W U ~ ..., such that the output of the unit is given by ,

where

xi denotes the ith component of an M-dimensional input vector x, K is called the order of the unit, Q, is a nonlinear function such as sigmoid.
E.3.7
Noniinear PCNN and Independent Component Anaiysis

Normally the PCNN is a single layer linear feedforward neural network. Nonlinear units in the network introduces higher order statistics into computation. The weight vectors become independent of each other and they need not be orthogonal. The network thus performs an Independent Component Analysis (ICA) [Comon, 1994; Cardoso, 1989; Karhunen and Joutsensalo, 19951. This helps in separating the independent subsignals from their mixture. The nonlinear learning algorithm of ICA may get caught easily in a local minimum. ICA provides independence, whereas PCA provides only decorre2ation [Jutten and Herault, 19881. The principal component basis vectors are orthogonal, whereas the ICA basis vedors may not be orthogonal. Principal components can be ordered according to their eigenvalues. But in the case of ICA, the coordinates are independent of each other. ICA involves higher order statistical moments while PCA considers only the second order moments. PCA is useful for data compression applications, whereas ICA is useful for signal separation problems. A simple illustration of the difference between PCA and ICA is .. given in Figure E 7 Consider a 2-dimensional plane where the data points are distributed inside a parallelogram [Burel, 19921. PCA finds orthogonal coordinate axes (PC1 and PC2) where the maximum dispersion is obtained on the first axis. The coordinate axes of ICA (IC1 and IC2) are fully independent. Knowledge of IC1 does not give any information about IC2.

Principal Component Neural Network: An overview

Figure E.7

Comparison of principal component analysis and independent component analysis.

A summary of the principal component neural networks is given in Table E.1.

Table E.1 Summary of Principal Component Neural Networks

1; A linear unit model as a maximum e i g e d t e r Oja's learning rule: A normalized Hebbian learning algorithm.
Extracts the first Principal Component (PC).
2. Principal subspace extraction with a layer of neurona

Oja's p-unit learning algorithm Extracts pdimensional subspace with p units.

3. Multiple principal component extraction Generalized Hebbian learning algorithm: Sanger's rule. Extracts the first p PCs using a single layer linear feedforward neural network with p units.

4. Adaptive principal component extraction Computes PCs one by one recursively. Anti-Hebbian lateral connections in the output.
5. Crosscorrelation neural network model

Crosscoupled Hebbian rule. Performs SVD of the crosscorrelation matrix of two stochastic signals.
6. Higher order correlation learning network

Learns the higher order statistics of the input data. 7. Nonliuear PCNN Nonlinear learning algorithm. Performs Independent Component Analysis. Used for blind separation of independent source signals from their mixture in the received signal.

Applications of PCNN
E.4 Applications of PCNN

Applications of PCNN are based on two kinds of data: (a) Statistical data in which the data vector is considered as a point in an N-dimensional space. (b) Temporal data in which the data vector is a segment of sampled signal.
E.4.1 General Appllcatlons

These applications consider the statistical data.

Data compression: The dimensionality reduction property of PCA forms the basis for data compression. Compensatlon of mlsallgnment of an Image. The misalignment of an image due to rotation andlor translation is compensated by finding the principal eigenvector of the image and aligning it with the new coordinate system. PCA as a preprocessor: The projections of a data vector onto the principal components are uncorrelated to each other. When these components are given as input to a neural network classifier, the convergence of the network improves [Veckovnik et al, 19901. Evaluatlon of feature extraction technlques: If the data set is made up of aggregate of several clusters, the separability of the clusters can be improved using t,he projections of the clusters onto the principal axes. Subspace-based classification: Different classes of patterns have different sets of principal components. The patterns of a class tend to have larger projections on their own class components than any other class components. Generallzatlon measure: Generalization here means how well a new pattern can be reconstructed [Baldi and Homik, 19891. The amount of distortion in the new pattern can be interpreted as the distance of the pattern point to the principal subspace. Curve and surface fitting:Conventional total least square curve fitting problem can be reduced to finding the minimum eigenvalue and its corresponding normalized eigenvector of the input covariance matrix [Xu and Suen, 19921. Higher order neural networks can implement nonlinear decision boundaries [Taylor and Coombes, 19931. Nolse cancellation by crosscorrelatlon neural network: In some adaptive control applications, the crosscorrelation matrix represents the unknown plant transfer function from inputs to outputs. The

390

Principal Component Neural Network: An overview

crosscorrelation neural network model can be potentially used for filtering applications [Diamantaras and Kung, 19941 if we have a priori knowledge of noise present in a signal.
E.4.2

Appllcatlons Specific to Signal Processing

In signal processing applications the data is a temporal data. Many of the frequency estimation algorithms are based on the eigendecomposition of the signals [Kay, 1988; Marple, 19871. PCNN finds application in the problem of frequency estimation. The signal and noise subspaces of the observed signal space can be estimated by eigendecomposition of the autocorrelation matrix of observed signal [Lee, 1992; Kung, 19931. In the eigendecomposition of the autocorrelation of a signal with M complex sinusoids, the first M eigenvectors corresponding to the large eigenvalues span the signal subspace and the remaining span the noise subspace [Lee, 1992; Kung, 1993; TuRs and Kumaresan, 1982; van der Veen, 19931. Methods for estimating the frequencies by signal subspace are called principal component frequency estimation. In the noise subspace frequency estimation, the property that the noise subspace is perpendicular to the signal subspace is applied Kay, 1988; Marple, 19871. By reconstructing the signal from the projections of the signal onto the signal subspace eigenvectors, the noise in the signal is considerably reduced. Thus PCNN can be applied for noise suppression. We can estimate the principal components of the input signal using PCNN, and these estimated components can then be used for frequency estimation algorithms such as MUSIC, Bartlett or Pisarenko harmonic decomposition [Kay, 1988; Marple, 1987; Karhunen and Joutsensalo, 19911. Recently, it was found that the PCNN can be made to perform independent component analysis by introducing nonlinearity in the learning algorithm [Karhunen and Joutsensalo, 19941. The resultant network can be used for blind separation of independent sources from an observed signal. This is useful in sonar and speech for extracting different frequency components present in the signal and hence tracking the changes in these frequencies [Sudha, 19961.

Appendix F

Current Trends in Neural Networks

Over the past few years there are attempts to combine ANN models with other well-established paradigms, like evolutionary computation, fuzzy logic, rough sets and chaos. In this Appendix, we briefly discuss how these paradigms are being fused with the existing ANN models.

F.1 Evolutionary Computation

Evolutionary Computation (EC) [Fogel, 19941 is a methodology that encompasses a variety of population-based problem solving techniques which mimic the natural process of Darwinian evolution. Current research in the evolutionary computation has resulted in powerful and versatile problem-solving mechanisms for global searching, adaptation, learning and optimization for a variety of pattern recognition tasks. The main techniques i n evolutionary computation are genetic algorithms ['Holland, 1975; Goldberg, 19891, genetic programming [Koza, 19921, evolutionary strategies [Schwefel, 19811 and evolutionary programming [Fogel et al, 1966; Fogel, 1991; Fogel, 19951. Genetic algorithms deal with chromosomal operators, genetic programming stresses on operators on general hierarchical structures, evolution strategies emphasize on the behavioural changes at the individual level, and evolutionary programming focusses on the behavioural changes at the level of species. The common factor underlying all these techniques is the emphasis on an ensemble of solution structures, and on the evaluation and evolution of these structures via specialized operators similar to a biological system in response to an ever changing environment. Specifically, all the techniques maintain a population of trial solutions, impose random changes to those solutions, and incorporate selection to determine which solutions are to be retained for future generation and which are to be removed h m the pool of trial solutions. From a mathematical point of view, all the EC techniques can be considered as controlled, parallel, stochastic search, optimization techniques.

392

Current Trends in Neural Networks

Since the learning methods used in ANN depend on the optimization of some objective function, it is possible t o employ the methodology of EC for learning the weights, for evolving the network architecture, for developing a learning rule, for selection of an input feature and so on lYao, 1993; Bornholdt and Graudenz, 19921. For instance, in a MLFFNN the gradient-based local search methods can be substituted by EC for determining the weights Porto et al, 1995; Saravanan and Fogel, 1995; Miller et al, 19891. In some cases it may be possible to exploit both the local search methods (like the gradient descent) and the global search methods (like EC) simultaneously [Renders and Flasse, 19961. The advantages of the local search methods are better accuracy and fast computation. The disadvantages of the local search methods are stagnation at some suboptimal solutions and sensitivity to the initialization of weights. On the other hand EC is a global search method which can avoid the local optima and the initialization problems [Sarkar and Yegnanarayana, 1997al. However, EC can be extremely slow in convergence to a good solution. This is because EC uses minimal a priori knowledge, and does not exploit available local information [Renders and Flasse, 19961. In fact EC is good for exploration, whereas the gradient descent methods are good for exploitation. Yao and Liu [Yao and Liu, 19971 have proposed a method to evolve the topology (architecture and weights) of a MLFFNN by using both the evolutionary programming and backpropagation algorithm simultaneously. EC-based techniques are successfully applied t o configure RBF networks for improving generalization [Whitehead, 1996; Billings and Zheng, 19951. In [Angeline et al, 19941 the authors have used EC to configure recurrent neural networks. Jockusch and Ritter [Jockusch and Ritter, 19941 have introduced a training strategy to determine the number of units for a SOM network automatically. EC has also been used to find the optimal number of clusters present in the input data [Sarkar and Yegnanarayana, 1996; Sarkar et al, 1997el. The clustered output can be used to construct a probabilistic neural network [Sarkar and Yegnanarayana, 1997bl. Attempts are being made to explore the EC approach for simultaneously learning the weights and evolving the architecture of a neural network Wao, 19931. The problem of large search space for this type of problem can be addressed by using parallel machines to implement the search operation [Bhattacharya and Roysam, 19941. The search operation can also be made more efficient and less time consuming by using adaptive EC operators [Sarkar and Yegnanarayana, 1997al. For some ANN related problems, EC appears to be a more powerful optimization tool than the simulated annealing (SA), since SA is a sequential search operation whereas EC is a parallel search algorithm. In fact, we can say that EC is more than a parallel search. Parallel search starts with a number of different paths and continues

Fuzzy Logic

393

until all the search paths get stuck in blind alleys or any one of them finds the solution. EC also starts with P different paths, but it tries to generate new paths that are better than the current paths. Thus the EC-based search may be more efficient than the SA-based search [Porto et al, 19951.

F.2 Fuzzy Logic

The concept of fuzzy sets was first introduced by L. Zadeh in 1965 [Zadeh, 19651 to represent vagueness present in human reasoning. Fuzzy sets can be considered as a generalization of the classical set theory. In a classical set an element of the universe either belongs to or does not belong to the set. Thus the belongingness of an element is crisp. In a fuzzy set the belongingness of an element can be a continuous variable. Mathematically, a fuzzy set is a mapping (known as membership function) from the universe of discourse to [O, 11. The higher the membership value of an input pattern to a class, the more is the belongingness of the pattern to the class. The membership function is usually designed by taking into consideration the requirements and constraints of the problem. One may obtain the membership function from an expert (subjective computation) or from the data (objective computation) [Bezdek and Pal, 19921. Fuzzy logic deals with reasoning with fuzzy sets and fuzzy numbers. It is to be noted that fuzzy uncertainty is different from probabilistic uncertainty W i r and Folger, 1993; Klir and Yuan, 19951. ANNs adopt numerical computations for learning. But numerical quantities lack representative power in situations where the information i expressed in linguistic terms only Lin and Lu, 19951. s The linguistic information can be incorporated using the membership function values of the fuzzy sets. Use of the concepts of fuzzy sets in ANNs is also supported by the f a d that human reasoning does not employ precise mathematical formulation [Pal and Majumder, 19861. Spe&cally, the fuzzy set theory can be used in ANN at various levels such as the input, output and target, and also for the weights, basis functions and the output functions. Introduction of fuzzy set theory into the perceptron learning algorithm makes the decision boundary a soft one, so that the class labels of the input patterns can change slowly from one class to another class, rather than abruptly [Keller and Hunt, 19851. In [Sarkar et al, 1998; Pal and Mitra, 19921 the network outputs are interpreted as fizzy membership values. Learning laws are derived by minimizing a fuzzy objective function in a gradient descent manner. In [Sarkar and Yegnanarayana, 1997dl the concept of cross entropy was extended to incorporate fuzzy set theory. Incorporation of fuzziness in the objective functions led to better classiiication in many cases. A neural network reinforcement learning algorithm, with

394

Current Trends in Neural Networks

linguistic critic signals like good, bad, is proposed in [Lin and Lu, 19951. The network was able to process and learn numerical information as well as linguistic information in a control application. In [Chung and Lee, 19941, three existing competitive learning algorithms, namely the unsupervised competitive learning, learning vector quantization, and frequency sensitive competitive learning, are fuzzified to form a class of fuzzy competitive learning algorithms. Unlike the crisp counterpart, where only one output unit wins, here all the output units win with different degrees. Thus the concept of win has been formulated as a fuzzy membership function. It has been observed that this scheme leads to better convergence and better classification performance. In [Tsao et al, 19941 Kohonen's clustering network has been generalized to its fuzzy counterpart. One advantage of this approach is that the final weight vectors do not depend on the sequence of presentation of the input vectors. Moreover, the method uses a systematic approach to determine the learning rate parameter and size of the neighbourhwd. A fuzzy adaptive resonance theory model capable of rapid learning of recognition categories in response to arbitrary sequence of binary input patterns is proposed in [Carpenter et al, 1991~1. This upgradation from binary ART1 to fuzzy ART is achieved by converting the crisp logical operators used in the binary ART to the corresponding fuzzy logical operators. As a result of this upgradation, learning becomes fast and also the previously learned memories are not erased rapidly in response to fluctuations in the input. In Wang and Mendel, 19921 the authors have proposed fuzzy basis functions to design an RBF network which can accept both numerical inputs as well as fuzzy linguistic inputs. In [Pedrycz, 19921 Pedrycz has proposed a neural network model based on fuzzy logical connectives. Instead of using linear basis function, he has utilized fuzzy aggregation operators. This technique has been extended to a more general case where the inhibitory and excitatory characteristics of the inputs are captured using direct and complemented (i.e., negated) input signals ['Pedrycz and Rocha, 1993; Hirota and Pedrycz, 19941. The advantage of this approach is that the problem specific a priori knowledge can be incorporated into the network. In another development, Ishibuchi et al have proposed a learning algorithm where the a priori knowledge in terms of fuzzy if-then rules can be incorporated along with the information supplied by the numerical data [Ishibuchi et al, 19931. This type of approach has been used for both function approximation and classification. Fuzzy set theory has also been employed to speed up the training of an ANN. In [Choi et al, 19921, a fuzzy rule base is used to dynamically adapt the learning rate and momentum parameters of a MLFFNN with backpropagation learning algorithm.

Rough Sets F.3 Rough Sets

395

In many classification tasks the aim is to form classes of objects which may not be significantly different. These indiscernible or indistinguishable objects are useful to build knowledge base pertaining to the task. For example, if the objects are classified according to colour (red, black) and shape (triangle, square and circle), then the indiscernible classes are: red triangles, black squares, red circles, etc. Thus these two attributes make a partition in the set of objeds. Now if two red triangles with different areas belong to different classes, then it is impossible for anyone to classify these two red triangles based on the given two attributes. This kind of uncertainty is referred to as rough uncertainty [Pawlak, 1982; Pawlak et al, 19951. Pawlak formulated the rough uncertainty in terms of rough sets. The rough uncertainty is completely avoided if we can successfully extract all the essential features to represent different objeds. But it may not be possible to guarantee this as our knowledge about the system generating the data is limited. It must be noted that rough uncertainty is different fiom fuzzy uncertainty [Dubois and Prade, 19921. In this section we briefly describe the formulation of rough sets. In any classification problem, two input training patterns q and x, (where q , x E X ) are indiscernible with respect to the 9th feature , when the 9th component of these two patterns have the same value. q Mathematically, it can be stated as x, Rq qx, iff x, =xSq,where R is a binary relation over X x X . Obviously, R is an equivalence relation that partitions the universal set X into different equivalence classes. Instead of taking only one feature, if we consider any two features (say p t h and qth), then we obtain some other equivalence relation RPq and a new set of equivalence classes. This idea can be generalized to take all known features into consideration. Let R be an equivalence relation on the universal set X and XIR denote the family of all equivalence classes induced on X by R. One such equivalence class i XIR that contains x E X is designated by [ x ] ~In any classification n . problem the objective is to approximate the given class A G X by XI R. For the class A, we can define the lower R(A) and upper R_(A) approximations, which approach A as closely as possibly from inside and outside, respectively [Klir and Yuan, 19951. Here, R_(A) = uI[xl, I [ x ] EA, x E X is the union of all equivalence classes in X ( R ~ I that are contained in A, and g(A) = u I[xIRI [xIRn A # $, x E Xj is the union of all equivalence classes in X ( R that overlap with A. A rough , set R(A) ~ R ( A ) &A)) is a representation of the given set A by R(A) and R(A). The set difference R(A)-&A) is a rough description of the boundary of A by the equivalence classes of XJR. The approximation is free of rough uncertainty if R(A) =&(A). When all the patterns from an equivalence class do not have the same class

396

Current Trends in Neural Networks

label, rough ambiguity is generated as a manifestation of the one-to-many relationship between that equivalent class and the class labels to which the patterns belong. In ANN design one critical problem is to determine how many input units are essential. Obviously, it depends on the number of features present in the input data. Using rough sets it may be possible to decrease the dimensionality of the input without losing any information. A set of features is sufficient to classi. all the input patterns if the rough ambiguity, i.e., the quantity (R@)-R_(A)), for this set of features is equal to zero. Using this quantity it is possible to select a proper set of features from the given data [Pawlak et al, 19881. In a classiiication task all the features need not carry equal weightage. Hence to facilitate the training as well as to improve the accuracy of classification, it is better to give different weightage or importance for each input feature. Suitable weightage can be derived using the ideas of rough sets [Sarkar and Yegnanarayana, 1997~1. The training of an ANN can be accelerated if the weights of the networks are initially close to the desired ones. For this purpose knowledge extracted from the training data through rough sets can be used to initialize the ANN [Banejee et al, 19971. In [Pawlak et al, 19951 it was shown that for a classification task the number of lidden units needed in a MLFFNN is equal to the minimal number of features needed to represent the data set without increasing the rough uncertainty.

F 4 Chaos .
In many physical systems there appears to be no relationship between cause and effects. In these cases the uncertainty of the system behaviour cannot be predicted using the standard statistical methods. The apparent randomness may in fact be generated by small differences in the initial values of the physical systems. Since the whole process is absolutely deterministic, this type of uncertainty is termed as deterministic chaos or simply chaos [Crubchfield et al, 19861. Chaotic dynamics is known to exist in biological neural neb works due to nonlinear processing units and their interaction due to complex feedback mechanism [Harth, 19831. The stability-plasticity phenomenon in the biological neural network is attributed to its ability to convert the neural dynamics fiom highly ordered state to chaotic state and vice versa. In order to realize some form of human reasoning capability on machines it may be necessary to exploit the phenomenon of chaos existing in the artificial neural networks. But the sensitivity of feedback networks to initial input conditions makes it difficult to come with any long term predictions about the behaviour of the networks [Parker and Chua, 19871. The dynamics of a feedback neural network is studied in terms

Chaos
of the equilibrium states that the network reaches starting from some initial states. The equilibrium states can be characterized in term of fixed point stability, oscillatory stability and chaotic stability. The regions of oscillatory stability are termed as attractors. There can be several other types of attractors like quasi-periodic and strange attractors. The strange attractor is an example of chaotic attractor Wasserman, 19931. In the state space the orbits of the strange attractors sometimes diverge. But, the divergence cannot continue forever as the state space is finite. So the attractors fold over onto themselves. These stretching and folding operations continue repeatedly, creating folds within folds. Consequently, chaotic attractors generate a fractal-like' structure that reveals more and more as it is increasingly magnified [Mandlebrot, 19831. This stretching operation systematica,lly removes the initial information and makes small scale uncertainty large. The folding operation also removes the initial information. Jf we know the initial state of the network with some uncertainty (due to measurement error), after a short period of time the initial uncertainty covers the entire attractor and all predictive power is lost. Thus there exists no relationship between the past and the future, or the cause and the effects. There are several avenues to exploit chaos under the ANN paradigm. It is claimed that several limitations of ANNs are due to its grossly oversimplified structure. For example, the output of an artificial neuron is smooth, whereas the output of a biological neuron forms a train of pulses. Hence, using Hodgkin-Huxley type cell equations, attempts are being made to create complex artificial neuron models to exploit the chaos generated by the cell equations. Freeman and his co-workers have demonstrated that different kinds of stimuli in animal cortex can be represented as chaotic attractors Wao et al, 19901. They have successfully developed an artificial olfactory model, where the artificial neurons exploit chaos for its functioning misenberg et al, 19891. Attempts are also being made to control the chaotic behaviour of an artificial neuron [Hsu et al, 1996; Sompolinsky et al, 1988; Hayashi, 1994; Ott et al, 1990; Hunt, 19911. The chaotic variables may be neuron output activities and the control parameters may be synaptic weights or external inputs [Blondeau et al, 19921. In many cases the proposed models do not have any direct physiological interpretation [Blondeau and Rivest, 19921. Scientists are recently analyzing the chaotic dynamics of feedback networks Wang, 19961. They are employing the periodic attractors embedded in each chaotic attractor to store input patterns. Following this strategy, in [Adachi and Aihara, 19971 a chaotic associative memory was constructed. It has been observed that this type of model has the possibility to store a large number of spatio-temporal patterns [Andreyev et al, 19961.

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Author Index
Baum, E., 376, 401 Baxt, W.G., 333, 401 Belew, R.K., 335, 401 Belsky, Y.L., 400 Bengio, Y., 321, 322, 377, 415 Bergstresser, P.R., 431 Bezdek, J.C., 9, 393, 401, 427 Bhattacharya, A.K., 392, 401 Bienenstock, E., 407, 415 Bilbro, G.L., 173, 401 Billings, S.A., 392, 401 Binder, K , 190, 194, 401 Blondeau, F.C., 397, 401 Blum, A.L., 133, 401 Blumer, A., 373, 376, 402 Bornholdt, S., 392, 402 Bose, N.K, 140, 259 Boser, B., 415, 423 Bounds, D.G., 334, 402 Bovik, A.C., 325, 402 Brobst, R.W., 431 Bromely, J., 423 Broomhead, D.S., 22, 247, 402 Budelli, R.W., 420 Burel, G., 387, 402 Burges, C.J.C., 324, 402 Burke, B., 406 Burke, G., 334, 402 Busse, J.G., 420 Butler, C., 426

Aarts, E., 192, 193, 399, 427 Abrash, V., 404 Ackley, D.H., 22, 23, 65, 183, 399 Adachi, M., 397, 399 Adleman, L., 335, 399 Aibara. T., 94, 145, 418 Aihara, K., 397, 399 Aleksander, I., 110, 158, 160, 162, 179, 182, 399 Alspector, J., 430 Amari, S., 22, 70, 373, 374, 377, 399 Amit, D.J., 22, 152, 174, 175, 399 Anandan, P., 64, 400 . Anderson, C., 195, 401 . . 404, 411, 415, 426 Anderson, D Z , Anderson, J., 400 Anderson, J.R., 296, 420 Anderson, S., 22, 269, 400 Andreyev, Y V , . . 335, 397, 400 Angeline, P.J., 392, 400 Anthony, M., 374, 377, 400 Arabshahi, R.J., 404 Arbib, Michael A., 399,400,402,407, 408, 409, 422, 427, 428, 431 Arsenin, V Y ,132, 242, 427 .. Ashby, W., 22, 400

Baldi, P., 381, 389, 400 Ballard, DS., 134, 400 Baneiee, M., 396, 400 Barnard, E., 127, 285, 400, 429 Barnden, John A., 13, 400 Barney, H.L., 309, 310, 421 Barto,A.G., 22,59,64,134,400,401, 426 Battiti, R., 129, 131, 401

C
Caianiello, E.R., 22, 402 Cameron, S.H., 107, 402 Carbonell, J., 410 Cardoso, J.F., 387, 402 Carpenter, G.A., 258, 259, 262, 273, 394, 402, 403 Carter, C.R., 428

Author Index
Casasent, D., 285, 400 Casselman, F.L., 134, 403 Caudell, T.P., 404 Caudill, M., 426 Chan, K.H., 418 Chandrasekhar, C., 312, 314, 321, 403 Chang, C., 419 Chauvet, G., 401 Chehikian, A., 413 Chellappa, R., 292,324,403,408,422 Chen, C.H., 333, 334, 401, 403 Cherkassky, V., 293, 404 Cheny, C., 418 Cheung, J., 59, 404 Choi, J.J., 394, 404 Chouhan, H.M., 421 Chua, L.O., 396, 420 Chung, F.L., 394, 404 Chung, T., 428 Clark, M., 402 Cohen, MA., 68, 69, 73, 134, 148, 404 Cole, R., 307, 404 Colorni, A., 405 Comon, P., 387, 404 Cooke, D.E., 335, 411 Coombes, S., 386, 389, 426 Cooper, F.S., 5, 404 Cortes, C., 303, 404 Cowan, J., 13, 404, 430 Crisanti, A., 425 Clutchfield, J.P., 396, 404 Cluz, J.B., 428 Cybenko, G., 133, 246, 405 Dowla, F.U., 412 Dreyfus, H.L., 1, 4, 306, 405 Dreyfus, S.E., 405 Dubes, R.C., 254, 405 Dubois, D., 395, 405 Duda, R.O., 6, 333, 406 Dudley, M.R., 377, 429 Durbin, R., 300, 406

Ehrenfeucht, A., 402 Eisenberg, J., 397, 406 Elman, J.L., 267, 406, 408, 412

Dam, A. Van., 1, 416 Darken, C., 247, 418 Daugman, J.G., 292, 325, 405 Davis, S.B., 309, 310, 405 Denker, J.S., 415, 426 Deprettere, E.F., 427 Devijver, P.A., 9, 380, 405 Diamantaras, K.I., 384, 385, 390, 405, 415 Dmitriev, A.S., 400 Dorigo, M., 335, 405 Doursat, R., 407

Fahlman, S.E., 129, 406 Fanty, M., 404 Farber, R., 269, 415 Farmer, J.D., 404 Feigenbaum, E.A., 4, 406 Fimoff, W., 409 Flanagan, J.L., 307, 406 Flasse, S.P., 392, 422 Fletcher, R., 130, 406 Fogel, D.B., 335, 391, 392, 406, 423 Fogel, L.J., 406, 421 Foldiak, P., 383, 406, 421 Folger, T.A., 393, 413 Franco, H., 404 Freeman, D.F., 403 Freeman, J.A., 147, 153, 155, 213, 215, 217, 230, 259, 266, 406 Freeman, W.J., 406, 430 Fujioka, R., 412 Fukushima, K., 22,271,272,323,407 Funahashi, K., 246, 407

Gabor, D., 22, 407 Gallant, S.I., 333, 407 Gamier, S.J., 401 Gault, J.W., 401 Gawthrop, P.J., ,411 Geisler, W.S., 402 Gelatt, C.D., 413

Author Index
Geman, D., 192, 295, 407
Geman, S., 192, 256, 295, 407 Gershenfeld, N.A., 269, 429 Giles, C.L., 404 Girosi, E,22, 248, 421 Glauber, R.J., 295, 407 Gobovic, D., 411 Goldberg, D.E., 391, 407 Goldstein, G., 429 Goodman, D.M., 412 Goodman, R., 408 Gopalakrishna, M.. 404 Gori, M., 134 Graudenz, D., 392. 402 Gray, R.M., 185, 304, 407 Grebogi, C., 419 Greenberger. M., 5, 408 Greenspan, H., 324, 408 Grest, G.S., 425 Grossberg, S., 30, 43, 48,60, 68,69, 73, 148, 258, 259, 262, 266, 273, 402, 403. 404. 408 Gutfieund, H., 399 Guyon, I., 120, 125, 408 Henderson, D., 415 Herault, J., 387, 413 Hergert, E,409 Hertz, J.A., 69, 139, 151, 154, 155, 157, 170, 175, 194, 199,200,209, 224,230,231,232,266,293,296, 301,303,304, 339,381, 404,409 Hinton, G., 22,23,195,399,400,406, 408, 410, 421, 423, 428 Hirota, K., 394, 410 Hodgkin, A.L., 50. 397, 410 Hoff, M.E., 22, 23, 97, 429 Hogg, T., 426 Holden, S.B., 374,375,376,377,400 Holland, J.H., 1, 4, 391, 410 Holmstrom, L., 378, 410 Hopfield, J.J., 22, 23, 46, 152, 165, 156, 267, 299, 410, 411, 426 Home, B., 120, 134, 411 Hornik, K., 381, 389, 400 Hotelling, H., 379, 411 Howard, R.E., 415 Hsu, C.C., 397, 411 Hu, M., 205. 411 Huang, W.Y., 310, 411 Huang. Z., 229, 411 Hubbard, W., 415 Hubel, D.H., 224, 411 Huberman. B.A.. 426. 429 Hummels, D.M.. 418 Huneycutt, B.L., 412 Hunt, D.J., 393, 413 Hunt, E.R., 397, 411 Hunt, J.E.. 335. 411 Hunt, K.J., 306, 411 Hush. D.R., 120, 126. 134. 411 Huxley, A.F.,50, 397, 410 Hwang. J.N.. 324. 412

Hagiwara. M., 239. 240. 408 Haken, H., 292, 408 Hampshire. J.B., 132. 408 Hanazawa, T., 428 Hanson, S.J., 404 Harrington, J., 310. 408 Hart, P.E., 6, 406 Harth, E., 396, 409 Hassoun, M.H., 31, 36, 53, 65, 138, 139, 231, 232, 409 Haussler, D., 373, 375,376,401,402, 409 Hayashi, Y., 397. 409 Haykin, S., 120, 127, 128, 131, 132, 134. 193,200,209.230, 231.249. 250,251,253,276,296,313,379, 380, 381, 382, 409 Hebb, D.O., 21, 22, 32, 58, 380, 409 HechbNielsen, R., 22,91,97,99,256, 351, 409 Heerman, D.W., 190, 401 417 Hegde, S.U., Helmke, U., 430

Ishibuchi, H., 132, 394, 412

Jack, M., 408 Jackel, L.D., 415, 423 Jacobi, G.T., 429 Jacobs, R.A., 128, 134, 412

Author Index
Jain, A.K., 422 Jean, J.S.N., 378, 412 Jockusch, S., 392, 412 Johansson, E.M., 412 Jolliffe, I.T., 379, 412 Jones, R., 400 Jordan, M.I., 267, 268, 412 Jordan, R.L., 332, 412 Joutsensalo, J., 387, 390, 413 Juang, B.H., 307, 421 Judd, J.S., 133, 412 Jutten, C., 387, 413 Kung, S.Y., 200, 219, 221, 230, 231, 246, 339, 384, 390, 405, 415 Kuo, J.M., 428 Kurimo, M., 427

Kalantri, K., 418 Kanal, L., 8, 413 Kangas, K., 427 Karhunen, J., 387, 390, 413 Kaski, S., 427 Kawamoto, M., 379, 417 Kay, S.M., 390, 413 Kearns, M., 409 Keeler, J.D., 324, 413 Keller, J.M., 393, 413 Kerringan, D.A., 403 Khemani, D., 424, 431 Kim, M.W., 415 King, R.A., 222, 304, 419 Kirkpatrick, S., 22, 179, 293, 413 Kittler, J., 9, 380, 405 Klatt, D.H., 308, 413 Klir, G.J., 393, 395, 413 Klopf, A.H., 22, 60, 66, 413 Knight, K., 1, 423 Koch, C., 303, 413, 421 Kohonen, T., 22, 222, 224, 225, 267, 292, 293, 304, 305, 309, 414, 427 Koistnen, P., 378, 410 Kokkonen, M., 427 Korst, J., 192, 399 Kosko, B., 22, 41, 42, 47, 61, 71, 73, 238, 239, 403, 414 Koza, J.R., 391, 414 Kramer, A.H., 131, 415 Krogh, A., 409 Kuh, A., 411 Kullback, S., 132, 415 Kumaresan, R., 390, 427 Kuminov, D.A., 400

Lacoume, J.L., 413 Lane, S.E., 403 Lang, R,428 Lapedes, A., 269, 415 Lau, C., 425 Laver, J., 408 LeCun, Y., 134, 194, 321, 322, 323, 377, 415, 423 Lee, C.S.G., 24, 335, 416 Lee, H.B., 390, 415 Lee, T., 394, 404 Lee, Y., 126, 415 Leighton, R., 132, 430 Leon, S.J., 380, 385, 386, 416 Leow, W.K., 413 Leung, Y.W., 381, 431 Levin, K., 425 Liang, P., 140, 259, 402 Liao, L., 423 Lin, C.T., 24, 335, 393, 394, 416 Linsker, R., 22, 224, 379, 416 Lippmann, R.P., 112, 255, 256, 281, 282, 307, 310, 326, 411, 412, 413, 416, 423, 429 Little, W., 22, 416 Liu, Y., 373, 392, 416, 430 Lloyd, P.J., 402 Lowe, D., 243, 247, 251, 402, 416 Lu, Y.C., 393, 394, 416

MacKay, D.J.C., 248, 416 Madhukumar, A.S., 431 Majumder, D.D., 393, 419 Malbos, J., 413 Mandlebrot, B., 397, 416 Maniezzo, V., 405 Manjunath, B.S., 403, 422 Mantas, J., 8, 416 Marcus, A., 1, 416 Mariadassou, C.P., 431

Author Index
Marks, R.J., 404 Marple, S.L., 390, 417 Marrpquin, J., 413 Martin, N., 413 Mathew, B., 402 Matsuoka, K , 379, 417 McCarthy, J., 427 McClelland, J.L., 4,20,293,316,317, 324,341,342,343,344,345,346, 347, 349, 410, 417, 423 McCorduck, P., 406 McCulloch, W.S., 21, 22, 26.27, 417 McGough, R., 334, 417 Mead, C., 22, 417 Mendel, J.M., 394, 428 Mermelstein, P., 309, 310, 405 Merrill, J.W.L., 400 Metropolis, N., 190, 295, 417 Mhaswade, P.K, 292, 293, 417 Michalski, R., 410 Michell, T., 410 Miller, G.F., 392, 417 Millstrom, N.H., 403 Minai, A.A., 128, 417 Minsky, M., 21,22,23,109,123,134, 241, 417, 418 Mitra, S., 307, 400, 419 Moody, J., 247, 412, 413, 418, 429 Moore, J.B., 430 Morgan, D.P., 334, 418 Morgan, N., 404 Morton, H., 110, 158, 160, 162, 179, 182, 399 Mozer, M.C., 267, 418 Mukhopadhyay, S., 306, 418 Muller, B., 16, 168, 170, 171, 293, 296, 418 Mulligan, J.H., 428 Mulloney, B., 420 Murakami, K , 94, 145, 418 Muroga, S., 107, 418 Murthy, HA., 419 Musavi, M.T., 373, 418 Muthuswamy, Y., 404 Nasrabadi, N.M., 222, 304, 419 Neeharika, A,, 372, 419 Nguyen, D.H., 305, 419 Nichols Jr., W.G., 403 Nii, H.P., 406 Nilsson, N., 22, 419 Niraqjan, M., 376, 410 Nowlan, S.J., 309, 419, 421 Nulton, J.D., 423

Oh, S.H., 415 Oja, E., 66, 208, 209, 381, 382, 419, 430 Ornidvar, M., 59, 404 Ott, E., 397, 419 Owners, A.J., 406

Narendra, K.S., 134, 269, 277, 305, 306,418 Narendranath, M., 307,378,418,419

Packard, N.H., 404 Pal, N.R., 427 Pal, S.K, 307, 393, 400, 401, 419 Palmer, R.G., 409 Palrnieri, F., 380, 383, 419 Pao, Y.H., 99, 419 Papert, S.A., 22, 23, 109, 123, 134, 241, 418 Papoulis, A., 152, 167, 364, 419 Parker, T.S., 396, 420 ParthaSarathy, K , 134,269,277,305, 418 Partridge, D., 4, 420 Parzen, E., 255, 420 Pawlak, Z., 335, 395, 396, 420 Pawley, G.S., 299, 430 Pearl, J., 1, 420 Pearlmutter, B., 132, 271, 408, 420 Pedrycz, W., 394, 410, 420 Penrose, R., 92, 420 Peretto, P., 22, 420 Perkel, D.H., 46, 420 Petersen, J., 423 Peterson, C., 195,293,295,296,298, 420, 421 Peterson, G.E., 309, 310, 421 Peterson, L.L., 431 Piske, U.A.W., 65, 425

Author Index
Pitts, W., 21, 22, 26, 27, 417 Platt, J., 324, 430 Plaut, D.S., 129, 421 Poggio, T., 22, 242, 248, 421 Polak, E., 130, 421 Pollack, J.B., 400 Poongodi, R., 422 Port, R., 400 P o d , W., 392, 393, 421 Powell, M.J.D., 247, 421 Prade, H., 395, 405 Preisendorfer, R.W., 380, 421 Principe, J.C., 428 Rosenbluth, M.N., 417 Roysm, B., 392, 401 Rumelhart, D., 4,20,22,23,117,125, 129, 221, 270, 271, 293, 316, 317, 324, 341, 342, 343, 344, 345, 346, 347, 348, 349, 410, 412, 413,417, 423, 429 Ruppeiner, G., 423 Russo, A.P., 120, 423

Quah, T.S., 426

Rabiner, L.R., 307, 309, 421 Raghu, P.P., 229, 324, 325, 326, 327, 328, 330, 333, 421, 422 Rajendran, S., 419 Ramachandran, V.R., 431 Rangarajan, A., 292, 324, 422 Ravichandran, A., 281, 283, 285, 422 Raper, P.J.W., 374, 410 Reddy, R., 4, 306, 422 Reed, R., 378, 423 Reeves, C.M., 130, 406 Refenes, A.N., 334, 431 Reinhardt, J., 16, 168, 170, 171,293, 296, 418 Renders, J.M., 392, 422 Reynolds, J.H., 403 Ribiere, G., 130, 421 Rich, E., 1, 423 Richard, M.D., 255, 256, 324, 423 Ritter, H., 392, 412 Ritz, S., 400 Rivest, R., 133, 397, 401 Robinson, J., 423 Rocha, A.F., 394, 420 Rosen, D.B., 403 Rosenberg, C.R., 134, 307, 424 Rosenblatt, F., 22, 23, 27, 423 Rosenbluth, A.W., 417

Sackinger, E., 322, 323, 423 Saini, P., 431 Salmon, P., 192, 423 Salas, J.M., 411 Sanchez-Sinencio, E., 425 Sanger, T.D., 382, 409, 423 Sangiovanni-Vincentelli,A,, 131, 415 Saravanan, N., 392, 423 Sarkar, M., 335, 392, 393, 396, 424, 431 Saunders, G.M., 400 Sbarbaro, D., 411 Schaffer, J.D., 417 Schalkoff, R., 9, 424 Schapire, R., 409 Schumacher, P., 324, 424 Schwartz, E.L., 400 Schwefel, H.P., 391, 424 Scofield, C.L., 334, 418 Sejnowski, T.J., 22, 23, 59, 134, 307, 399, 400 Selfridge, O., 418 22, Sethi, I.K., 422 Seung, H.S., 373, 377, 424 Shannon, C., 22, 425, 427 Sharp, D.H., 13, 404 Shaw, G., 416 Shaw, R.S., 404 Shikano, K., 428 Shortliffe, E.H., 333, 406 Silverstein, J., 400 Simchony, T., 403 Simpson, P.K, 19,29,58,65,66,233, 234, 425 Singhal, S., 131, 425 Skapura, D.M., 147, 153, 155, 213, 215, 217, 230, 259, 266, 406

Author Index
Slowinski, R., 405, 420 Smolensky, P., 423 Snyder, W.E., 401 Soderberg, B., 293, 298, 421 Sofge, D.A., 400 Sommers, H.J., 425 Sompolinsky, H., 157,397,399,424, 425 Sontag, E.D., 133, 376, 377, 425 Soukoulis, C.M., 173, 425 Soulie, F.F., 415 Specht, D.F., 255, 425 Steams, S.D., 364,371, 430 Steinbuch, K , 22, 65, 425 Stornetta, W.S., 267, 426 Strang, G., 92, 426 Sudha, N., 379, 390,426 Suen, C.Y., 389, 430 Sutton, R., 22, 59, 63, 64; 134, 401, 426 Swindlehurst, A.L., 427 Szu, H., 65, 411, 426 Utela, J., 427 Uttley, A., 22, 427

Valiant, L.G., 135, 375, 427 van der Veen, A., 390, 427 van Laarhoven, P.J.M., 193, 427 Vapnik, V , 375, 427 . Vassilas, N., 293, 404 Vecchi, M.P., 413 Vidyasagar, M., 135, 427 Visa, A., 324, 428 von d e r Malsburg, C., 22, 221+ 428 von Neumann, J., 22, 428 Vrckovnik, G., 389, 428

Tan, C.L., 333, 426 Tanaka, H., 412 k k , D.W., 267, 299, 411, 426 Taylor, J.G., 386, 389, 426 Teh, H.H., 426 Teller, A.H., 417 Teller, E., 417 Tesauro, G., 430 Tesi, A., 134, 407 Thorbergsson, G.I., 409 Tikhonw, A.N., 22,132,242,426,427 Tishby, N., 424 Todd, P.M., 417 'Ibrkkola, K, 309, 427 'Ibrre, V., 421 'Iburetzky, D.J., 412 'Iburetzky, D.S., 400, 406, 408, 413, 415, 419, 429 'lhao, E.C.K, 394, 427 Tufts, D.W., 390, 427

Ungar, L.H., 334, 427

Wadell, G., 402 Wahba, G., 248, 428 Waibel, A., 2 6 z 311, 312, 428 Wake, N., 407 Walsh, M.J., 406 Wang, C., 381, 428 Wang, J., 378, 412 Wang, L.X., 394, 397, 428 Wang, Y.F., 239, 428 Warmuth, M.K., 402 Wasserman, P.D., 65, 134, 135, 255, 397, 429 Weigend, A.S., 269, 429 Weiner, N., 22, 429 Weisbuch, G., 415 Wenocur, R.S., 377, 429 Werbos, P.J., 22, 117, 429 Werner, M., 412 Wessels, L.F.A., 127, 429 White, D.A., 400 White, H., 255, 429 Whitehead, B.A., 392, 429 Widrow, B., 22, 23, 28, 97, 305, 364, 371, 419, 429, 430 Wieland, A., 132, 430 Wiesel, T.N., 224, 411 Williams, R.J., 22, 64, 128,417, 423, 426, 430 Willshaw, D., 22, 300, 406, 430

Author Index
Wilson, G.V., 299, 430 Wolf, R., 324, 430 Wong, S.KM., 420 Wu, L., 131,425 Yorke, J A., 419 Yovitz, M.C., 429 Yuan, B., 393, 396, 413 Yuille, A., 293, 413, 431

Xu, L., 389, 430

Yan, W.Y., 381, 430 Yao, X., 392, 430 Yao, Y., 397, 430 Yegnanarayana, B., 6,281,286,290, 308, 313,326, 333,336, 392,393, 396, 403,419, 421, 422, 424,430, 481 Yoon, Y.O., 334, 431

Zadeh, L.A., 393, 431 Zaghloul, M.E., 411 Zapranis, A.D., 334, 431 Zbikmski, R., 411 Zhang, J., 324, 424 Zhang, Q., 381,431 Zheng, G.L., 392, 401 Zhu, J., 380, 419 Ziarko, W., 420 Zimmermann, H.G., 409 Zipser, D., 221, 423, 430 Zurada, J.M., 27,31,36,67,100,240, 271, 276, 306, 338, 431

Subject Index
principal component extraction (APEX), 383 resonance theory (ART) (see ART models) vector quantization (see Vector Quantization) Additive activation dynamic9 models, 44-47 autoassociative, 46 heteroassociative, 46 summary, 47 AGoint differential operator, 249 merent, 271 f f i n e transformation, 99 A1 (see Artificial Intelligence) Algorithmic approach, 4 Alternate proof, 104 All-Class-One-Network(ACON), 313 Alveolar, 314 Analog patterns, 239, 262 Analog VLSI, 23 Analysis of competitive learning network, 202-211 feature mapping network, 223228 feedback layer, 211-218 pattern association networks, 9099 pattern classification networks, 9%113 pattern clustering networks, 218 1pattern mapping networks, 1 3 135 self-organization network (see feature mapping network) Animal cortex, 397 ANN models (see basic ANN models) Annealing deterministic, 194, 330 fast, 192

2D convolution, 325

A posteriori probability, 122, 131, 133, 251, 324, 358 maximum (MAP), 329 A priori, 358 A priori knowledge, 244, 394 ABAM theorem, 71 Absolute value distance, 362 Absolutely stable, 69 Absolutely stable states, 172 Accretive, 6, 77, 85, 100, 146 Acoustic features, 306 Acoustic-phonetic knowledge, 316 Activation state, 24, 40 value, 24 vector, 90 Activation and synaptic dynamics, 40-73 distinction, 54 Activation dynamics, 1, 25, 40, 143 additive models, 44-47 shunting models, 48-52 stochastic models, 51 Actual output, 91, 96 Adaline, 28 learning, 29 model, 23, 29 Adaptive autoassociative network, 70 BAM (ABAM), 71, 239 clustering, 262 formation of desired weights, 97 heteroassociative network, 71 learning, 97

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Subject Index
Axon, 16 Axon hillock, 42 BAM, 236 Bayes classification, 255 Bayes theorem, 248, 328, 359 Behavioural changes, 391 Bernoulli trials, 360 Bias input, 99, 245 Bias of unit, 319 Bibliographic information, 292 Bidding card game, 290 problem, 280, 290 sequence, 280 Bidirectional associative memory (BAM), 31, 47, 236 Bilabial, 314 Binary input, 106, 281 output, 106 output function, 158, 206 pattern, 237 relation, 395 Binomial distribution, 152, 360 Biological neural network, 1, 15, 19, 233, 396 features, 15 Biological system, 391 Bipolar output function, 107 patterns, 151, 237 states, 150, 294 Bit pattern, 241 Blind separation, 390 Boltzmann-Gibb's distribution. 170 Boltzmann-Gibb's law, 186 Boltzmann learning, 65, 184, 191 algorithm for implementation, 191 algorithm for recall from partial input, 192 Boltzmann learning law, 143, 184 implementation. 188 issues, 190 summary, 189 Boltzmann Machine (BM), 22, 143, 183 architecture, 183 Boolean functions, 138, 241 linear threshold, 138 polynomial, 138 quadratic, 138 Bottom-up competitive learning, 258 Bottom-up connections, 259 Bounded output, 216

Backpropagation, 117, 392 applications, 134 batch mode, 127 convergence, 122, 125 generalization, 122 gradient descent, 117 learning rate, 122, 127 local minimum, 122, 132 momentum, 122, 129 network, 134 output function, 124 pattern mode, 127 recurrent network, 270 scaling, 122 stopping criterion, 121, 126 through time, 270 weight change, 180 weight initialization, 181 Backpropagation learning, 23, 117, 121 algorithm, 121 description and features, 123 discussion, 120 issues, 121 summary, 121 Backward propagation, 271 Bandwidth, 325 Basic ANN models, 76 Basic competitive learning (see competitive learning) Basic learning laws, 31, 67 discussion, 35 summary, 35 Basics level, 11, 336 Basis of attraction, 69, 147, 157, 292 Basis function Guassian, 254 linear, 246 nonlinear, 245 radial, 22, 245 Basis function formulation, 252 classification problem, 251 function approximation, 247

Subject Index
Bowl shape, 366 Brain State-in-Box (BSB), 22 Brain vs. computer, 19 Brittleness, 1 Building blocks, 76 Closeness of features, 147 Closeness property, 242, 252 Club in card game, 290 Cluster centres, 256 Cluster spread, 256 Clustering algorithm, 253 analog signals, 262 binary patterns, 262 network, 394 Co-occurrence patterns, 346 Coarticulation, 307 Code compression, 262 Codebook, 304 Cohen-Grossberg theorem, 70 Cohen-Grossberg-Kosko theorem, 71 Collective computation, 16 Combination network, 202 Combination of SOM and classification, 229 Combining evidence, 316 Combining multiple evidence, 321 Committed units, 260 Common features, 241 Common sense knowledge, 4 Communication theory, 380 Competitive dynamical systems, 69 Competitive layer, 202, 211 Competitive learning, 60, 201, 218 deterministic, 60 differential, 61 leaky learning, 221 linear, 61 linear differential, 62 methods of implementing, 219 minimal learning, 221 random differential, 62 random linear, 61 random linear differential, 62 standard, 220 Competitive learning algorithm, 220, 304 Competitive learning methods, 222 summary, 222 Competitive learning neural networks (CLNN), 76, 201, 219 components, 203 Complex artificial neuron model, 397 decision surfaces, 133 nonlinear mapping, 53

C-cells, 272 CV units, 310 CV utterances, 280 Capacity, 148 BAM, 239 Hopfield model, 151 memory, 236 storage, 151 Categories, 63 input patterns, 207 learning, 53, 234 learning laws, 63 Category learning tasks, 258 Cauchy machine, 192 Cauchy-Schwartz inequality, 103 Cell body, 16 Centroids of clusters, 246 Cepstral coefficients, 310 Chaos, 391, 396 Chaotic associative memory, 397 attractors, 397 behaviour, 157, 397 dynamics, 396 nature, 335 neurons, 335 regions of equilibrium, 148 stability, 69, 397 state regions, 157 variables, 397 Character recognition, 134 Chebyshev distance, 362 Chromosomal operators, 391 City block distance, 362 Clamped free energy, 190, 194 input unit, 346 phase, 191 units, 186 Class label, 242, 251 Classical set theory, 393 Classification problem, 243, 251

Subject Index
Complexity of problem, 122 surfaces, 241 symbol set, 284 Compression of data, 304 Computation of weights, 91, 161 Computational learning, 377 Computer and brain, 19 fault tolerance, 19 processing, 19 size and capacity, 19 speed, 19 storage of information, 19 Computer architecture von Neumann, 4 Computer memory, 341 Computer technology, 1 Concepts of rooms, 347 Conditional expectation, 255 probability, 248, 359 probability distribution, 132 Conductance, 18 Confusable set, 312 Conjugate gradient method, 121,130 Connectedness problem, 110 Connectionist expert system, 333 Connections excitatory, 18, 317 feed forward, 384 inhibitory, 18, 317 lateral, 384 Connectivity of neurons, 18 number of synapses, 18 Consonant-Vowel (CV) segment, 279, 310 Constant error contours, 366 Constrained optimization problem, 357 Constrain satisfaction (CS) model, 312, 316, 344 initialization, 315 operation of, 315 performance, 315 Content addressable memory, 6, 31, 236, 291, 344 Context units, 268 Continuous Hopfield model, 155 nonlinear function, 112 nonlinear output function, 155

445
perceptron learning, 33, 63 time recurrent network, 271 Contract Bridge, 280 Control application, 279, 305, 394 Control in learning, 259 Controller, 271 Convergence, 68 Convergence in the mean, 117, 371 Convex hull, 107 region, 110 set, 107 Convolutional layer, 322 Convolutional networks, 322 Correlation, 188 learning law, 33, 68 matching, 281, 284 term, 55 Cost function. 131. 293 ~ounterpro~agatioh, 256 22, Counterpropagation networks (CPN), 256 Coupled nonlinear differential equations, 296 Covariance matrix, 66,208,253,319, 361, 380 Credit assignment, 22, 64 fixed, 64 probabilistic, 64 problem, 22 structural, 64 temporal, 64 Credit scoring, 334 Crisp logical operators, 394 Criteria for grouping, 314 SCV classes, 312, 314 Critical temperature, 174 Crosscorrelation, 362 Cross entropy measure, 363 Cross-validation, 122, 134, 243, 373 Crosscorrelation matrix, 385 Crosscorrelation neural networks, 385 Crosscoupled Hebbian rule, 385 Cultural evolution, 335 Current trends in NN, 391-397 chaos, 396 evolutionary computation, 391 fuzzy logic, 393 rough sets, 395 Cursive script, 8, 323

Subject Index
Cursive writing, 323 Curve fitting, 389 Cybenko theorem, 133 Cybernetics, 22 Cycle, 123, 190, 344 Device technology, 2 Diameter-limited, 109 Diamond in card game, 290 Dichotomy, 138, 375 number of distinct dichotomies, 376 Differentiable nonlinear output function, 115 Differential Hebbian learning, 60 Differential operator, 248, 249 Dimensionality of input pattern, 88, 99 Dimensionality reduction, 380 Direct application, 279, 280 Discontinuities in images, 301 1-D case, 302 2-D case, 303 Discrete BAM, 236 binary cube, 351 bipolar cube, 351 Hopfield model, 152 N-dimensional space, 99 perceptron learning, 32, 63 Discrimination between patterns, 243 Disjoint subsets, 375 Dissimilar patterns, 262 Distorted patterns, 272 Distributed memory, 344 1 Dividing surface, 1 1 Distribution Binomial, 152, 360 Boltzmann-Gibbs, 170, 188 Gaussian, 152, 360 Domain expert, 333 Domain-specific knowledge, 325 Dominating features, 241 Drive-reinforcement learning, 23, 66 Dynamic equilibrium, 167 matching, 259 sounds, 310 Dynamically expanding context algorithm, 309 Dynamics activation (see activation dynamics) chaotic, 396 neural, 396 plant, 269 synaptic (see synaptic dynamics)

Darwinian evolution, 391 Data, 5 Data compression, 258, 389 Data-dependent transformation, 380 Decision boundaries, 102 criterion, 321 regions, 112 surfaces, 121 Decision making, 279, 333 DECtalk, 308 Decay term, 45, 47, 55, 58, 205 Decoding scheme, 234 Decorrelation, 389 Deep energy minima, 176 Deep features, 244 Default assignment, 344 Deformation, 280 Deformed patterns, 271 Delay units, 265 Delta learning, 32, 63, 68, 117, 123 Delta-bar-delta learning, 128 Delta-delta learning, 128 Dendrites, 16 Dental, 314 Derivative measurement, 117 Designing energy minima, 164 Desired input patterns, 188 mapping, 115 output, 91, 115 Determination of weights by learning, 94 matrix inversion, 254 Deterministic analog states, 295 Boltzmann machine, 190 case, 59, 172 chaos, 396 learning, 54 modelling, 324 relaxation, 299 update, 23, 164

Subject Index
Exchange rate forecasting, 334 Excitation signal, 306 Excitatory connection, 317 feedback, 49 weights, 24 Expectation, 359 Expert system, 2, 333 Exploitation, 392 Exploration, 392 Exponential kernal representation, 267 Exponentially decaying memory, 268 Extended Kalman-type algorithm, 122 Extensions of backpropagation, 121, 134 External noise, 99

Effective enere, 296 Efferent, 271 Eigendecomposition, 355, 390 Eigenvalues, 93, 127, 144, 207,355, 365 Eigenvectors, 144,207,298,355,365 Elastic ring method, 300 Encoding scheme, 234 Energy analysis, 23, 152 function, 152, 156 landscape, 152, 147, 176 minima, 153 of stable state, 161 of state, 142, 147 English phoneme, 308 English syllables, 269 Ensemble of solutions, 391 Entropic error, 374, 377 Equilibrium, 51 state, 23, 69 statistics, 188 stochastic networks, 167 Equivalence classes, 395 Equivalence relation, 395 Error criterion, 185, 188 function, 131, 152 in pattern recall, 145, 165 rate measure, 373 second derivative, 367 signal, 107 surface, 116, 125, 366 Error backpropagation, 121 Error-based learning, 262 Error correction learning, 62, 115 stochastic approximation, 62 Estimate of desired function, 248 Estimated noise level, 98 Estimation of gradient, 117 Estimation of probability distribution, 134, 244 Euclidean distance, 222, 362 Euclidean norm, 353 Even parity, 241 Event, 357 Evolutionary computation, 334, 391 programming, 391 strategies, 391

Fascimile, 304 False energy minima, 143, 163 Family of local predicates, 108 Fast annealing schedule, 192 Fast learning procedure, 194 Fault detection, 334 Fault tolerance, 5, 16, 19, 236 Feature extraction, 285, 389 formation. 325, 326 mapping, 7, 76, 202, 223, 226 1D to ID, 226 2D to ID, 226 2D to 2D, 226 network, 223 problem, 86 Feature space, 133, 202, 223 Feature-label interaction, 325 Features for pattern recognition, 8 Features of biological NN,15, 341 Feedback networks, 23,76,142,294, 316 control, 305, desired information, 158 global pattern behaviour, 158 layer, 210 retrieval of information, 158 storage capacity, 53, 151, 157 Feedforward and feedback, 76, 201

Subject Index
Feedforward neural networks, 76,88 analysis, 88 summary of pattern recognition tasks, 73, 89 Financial markets, 269 Finite state machine, 271 Finnish language, 309 Firing, 17 First order statistics, 253 Fixed delays, 269 point, 157, 397 point equilibrium states, 69 points of equilibrium, 148 Flip-flop, 271 Folding operation, 397 Forced units, 186 Forecasting applications, 334 situations, 269 Forgetting term, 56, 189 Formant contour, 8 Formant data, 309 Formants, 8, 306 Forward mapping, 258 Forward propagation, 271 Fractal-like structure, 397 Fraud detection, 334 Free energy of a system, 171 Free parameters of a network, 133 Free running, 185, 191 Frequency estimation noise subspace, 390 principal components, 390 Full energy, 190 Full free energy, 194 Fully recurrent networks, 269 Function approximation, 114, 121, 133, 243, 246, 247 linear basis functions, 246 radial basis functions, 246 Function estimation, 244 Functional level, 12, 336 Functional relation, 88 Functional units, 76 pattern recognition tasks, 76 Fuzzy adaptive resonance theory, 394 ARTMAP, 262 backpropagation learning law, 132 backpropagation networks, 135 learning, 54 logic, 23, 264, 334, 335, 391, 393 logic connectives, 394 logical operators, 394 nature of output, 291 neural networks, 122 numbers, 393 objective function, 393 representation, 132 sets, 393 uncertainty, 393

Gabor filter, 325 bandwidth, 325 complex sinusoidal grating, 325 Gaussian function, 325 oriented, 325 Gain control process, 259 Gain control unit, 261 Gain parameter, 156, 261 Games, 4 Gaussian basis function, 247, 254 Gaussian distribution, 152, 251, 360 mixture, 251, 361 mixture models, 326 multivariate, 249, 326 univariate, 360 Generalization, 7, 88, 121, 133, 241, 372 bound, 374 capability, 248 concept, 372 error, 374, 377 feature, 126, 308 in NN, 372, 377 i n pattern recognition tasks, 372 measure, 389 studies, 373 Generalization for classification, 241 mapping, 242 Generalization in FFNN, 377 architecture, 378 learning algorithm, 378 stopping criterion, 378 training set, 378

Subject Index
Generalized delta rule, 23, 63, 117, 123 Hebbian law, 210, 382 regression NN, 255 Genetic algorithms, 391 programming, 391 Geometric momenta, 285 Geometrical arrangement of units, 223 Geometric interpretation, 80 PR tasks by CLNN, 85 PR tasks by FBNN, 83 PR tasks by FFNN, 80 Geometrical interpretation of hard problems, 110 Geometrically restricted regions, 109 Gibb's distribution, 325 Global behaviour of ANN,68 energy, 169 features, 272 knowledge, 247 Lyapunov function, 71 minimum, 125 pattern behaviour, 158 pattern formation, 69 searching, 391 stability, 44 structure, 321 Gobally stable, 69 Goodness-of-fit function, 346, 347 Goodness-of-fit surface, 348 Graceful degradation, 344 Gradient descent methods, 116,125, 364 convergence issues, 125 LMS algorithm, 117, 251, 371 Newton's method, 116, 130, 368 steepest descent, 368 summary, 116, 371 Gradient error, 107 error measure, 192 mean-squared error, 365 quadratic form, 364 reuse method, 128 search, 116, 367 Gram-Schmidt orthogonalization, 382 Graph-bipartition problem, 279, 296 Graphs, 296 Green's function, 249 Group of instars, 30, 202, 206 Group similar patterns, 262 Grouping of SCV classes, 314 Growth function, 376

Hamming distance, 147, 150, 164, 241, 362 Hamming network, 281 Hand-drawn figures, 271 Hand-printed characters, 7, 86, 99 Hand-written characters, 271, 288, 321 Hard classification, 244 leaning problem, 88, 113, 165 pattern storage problem, 164 problem, 88, 108, 142, 149, 164, 183, 241 Hard-limiting threshold function, 48, 100 Hard-limiting threshold units, 108 Harmonic decomposition, 390 Heart in card game, 290 Hebb's law, 18, 21, 32, 95, 150, 173 Hebbian learning, 57, 58, 188, 381, 384 stochastic version, 59 Hebbian unlearning, 188 Hessian matrix, 129, 355 Heteroassociation, 6 Heteroassociative memory, 236 Heteroassociative network, 31, 236 Heuristic search methods, 1 Hidden layer, 88, 114 Hidden Markov model, 309, 324 Hidden units, 23,143,165,183,260, 343 Hierarchical structure of visual system, 271 Hierarchical structures, 391 Higher order connections, 387 correlation learning network, 386 neuron model, 386 statistical momenta, 387 statistics, 386 terms, 129, 155 unit, 386

Subject Index
Hindi, 312 Hinton diagram, 346 Historical development, 21-24 History of neurocomputing, 15 Table 1.1, 22 Hodgkin-Hwley cell equations, 50, 397 Hopfield model, 23, 149, 188 algorithm, 151 continuous, 149 discrete, 152 energy analysis, 143 energy equation, 170 energy function, 294 Human information processing, 1 1 memory, 341 players, 280 reasoning, 290 Hyperbolic tangent function, 124 Hypercube, 157, 351 area, 352 volume, 352 Hyperellipse, 366 Hypersphere, 352 Hypersurface, 110 Hypothesis, 345 Hypothesis space, 375 Implicit pattern behaviour, 126 Independent component analysis, 387 Independent events, 359 Indian languages, 280, 312 Individual level, 391 Inferencing mechanism, 4 Information access, 293 preservation, 22 retrieval, 279, 293 theoretic measure, 184, 188 theory, 22 Inhibitory, 18 connection, 317 external input, 46 feedback, 46, 49, 211 weights, 24 Initial state, 148 Initial weights, 126, 190, 191 Inner product, 154, 352 Input dimensionality, 143 layer, 90, 203 matrix, 90 vector, 90 Input-output pattern pairs, 88, 242 Instance pool, 317, 343 Instantaneous error, 62, 126, 129, 255 Instar, 30 group of instars, 31, 202 learning law, 34 network, 202 processing, 206 steady activation value, 205 structure, 257 Integer programming problem, 298 Intelligence, 2, 4 Intelligent decision, 333 Intelligent tasks, 2 Intensity-based methods, 324 Interactive and competition (IAC), 293, 341 Intercity distances, 298 Interconnections, 24 Intermediate layers, 114 Interneuron, 17 Interpolating function, 248 Interpolative, 7, 77 Interpolative recall, 73

IAC model, 293, 341 Identity matrix, 92 If-then rules, 333 Ill-posed problem, 132, 242 solutions, 132 Image degradation, 283 lattice, 303 pattern recall, 279, 292 segmentation, 280, 321, 323 smoothing, 279, 301 Image pixels, 303, 321 global structure, 321 local structure, 321 Image processing, 280, 321 Image-specific constraints, 325 Immunity net, 335 Implementation of Boltzmann learning, 188 issues, 188

Subject Zndez
Interpretation of Boltzmann learning, 190 1 Intersection of convex regions, 1 1 Intonation, 307 Invariance by structure, 285 by training, 285 Invariant feature extraction, 285 measures, 285 pattern recognition, 284 Inverse Kronecker delta function, 327 Inverse mapping, 258 Investment management, 333 Ising model, 22 Issues in Boltzmann learning, 190 annealing schedule, 190, 192 implementation of simulated annealing, 190 initial weights, 191 learning and unlearning, 190 learning pattern environment, 190 learning rate parameter, 191 local property, 190 recall of patterns, 191 Iteration index, 119 Label competition, 325, 326 Label-label interaction, 326 Lagrange multipliers, 357 Laplace transform, 305 Layers of processing units, 29 Leaky learning law, 221 Learning laws, 31, 53 algorithm for multilayer FFNN, 117 algorithms for PCA, 210 anti-Hebbian, 384 associated reward and penalty, 64 asymptotic behaviour, 377 backpropagation, 121 Boltzmann, 189 competitive, 222 correlation, 33, 68 curve, 377 delta, 32, 68 equation, 31 from exaniples, 372 function, 66 Hebb's, 32, 67 leaky, 221 Linsker, 231 LMS, 33 machine, 22, 374 methods, 57 models, 374 Oja, 208 online, 271 pattern environment, 190 perceptron, 32, 68 principal subspace, 382 rate parameter, 89, 97, 127, 221 reinforcement, 63 Sanger, 209 supervised, 32 temporal, 54 theory, 3% unsupervised, 32 Widrow-Hoff, 33, 68 with critic, 63 with teacher, 63 Learn matrix, 22 Learning vector quantization (LVQ), 222, 305 Learning with critic, 63, 122 Learning with teacher, 63 Least Mean Square (LMS) learning, 22

Jacobian matrix, 353 Jaw. 306

Kalman-type learning, '131 Karhunen-Loeve transformation, 380 Knowledge-based systems, 9 Kohonen learning, 223, 225 algorithm for implementation, 226 Kohonen mapping, 223 Kronecker delta function, 327 Kullback-Leibler measure, 363, 373

LMS algorithm, 370 convergence, 371 learning rate parameter, 371 trajectory of path, 371

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Subject Index
Mean of input data, 253 Mean squared error, 53, 91, 365 Mean-field algorithm, 196 annealing, 195 approximation, 172, 195, 295 energy, 195 free energy, 195 Medical diagnosis, 333 Mel-scale, 310 Membership function, 393 Membrane capacitance, 45 potential, 17, 42 resistance, 45 Memorizing, 7 Memory content addressable, 21 long term, 25 short term. 21, 25 Memory function, 235 1 Meshed regions, 1 1 Metric distance measures, 362 absolute value distance, 362 Chebyshev distance, 362 city block distance, 362 Euclidean distance, 362 Hamming distance, 362 maximum value distance, 362 Minkowski r-metric, 362 Metric transformation, 284 Metropolis algorithm, 190, 295 Mexican hat function, 224 Min-max learning, 65 Minimal ART, 262 learning, 221 Minimum error, 93, 146 Minimum error retrieval, 93 Minimum norm solution, 356 Mismatch of probabilities, 184 Mixture distribution (see Gaussian mixture) Models of activation dynamics, 42 computing, 1, 15 neural networks, 41 neuron, 26 synaptic dynamics, 52 Modular approach, 312, 313 Modular architecture, 134 Modular network, 312 Momentum constant, 129 Momentum term, 121 Monotonically increasing function, 156 Monte Carlo method, 194 Motor neuron, 17 Multilayer feed forward neural network (MLFFNN), 88, 114 Multiclass problem, 106 Multidimensional patterns, 110 Multidirectional associative memory (MAM), 236, 239 Multidirectionally stable, 240 Multilayer perceptron (MLP), 110, 113, 133, 241 Multilevel network hierarchy, 262 Multiple associations, 239 Multiple binary output units, 100 Multiple principal component extraction, 382 Multispectral band imagery, 331 Multivariate function approximation, 244 Multivariate Gaussian function, 249, 326 Murakami result, 94, 145 Mutual Hebbian rule, 385 Mutually exclusive events, 359 Mutually orthogonal vectors, 96

N-dimensional Euclidean geometry, 351 space, 157 Nasal tract, 306 Natural language processing, 1 Nearest neighbour recall, 73 stored pattern, 72 Negative definite matrix, 354 Negative reinforcement, 63 Negative semidefinite matrix, 364 Negative gradient, 107 Neighbouring pixel interaction, 324 Neighbouring units, 223 Neocognitron, 22, 271, 323 NETtalk, 280, 307 Nerve fibres, 16

Subject Index
Neural network architectures, 235 feedback, 142 feedforward, 88 models, 41 recall, 72 Neuro-evolutionary techniques, 335 Neuro-fuzzy systems, 335 Neuro-rough synergism, 335 Neuron firing, 17 number in brain, 18 structure of, 16 Neurotransmitter, 18 Newton's method, 116, 130, 367 Noise cancellation, 389 power, 94 subspace, 390 suppression, 216 vector, 93 Noise-saturation dilemma, 43, 204 Noisy image, 285 input, 93 pattern, 193 Nonautonomous dynamical system, 41 Noncwex regions, 1 1 1 Nonlinear basis function, 245, 255 convolution, 322 dynamical systems, 70, 269 error surface, 134 feature detector, 121 feature extraction, 133 filters, 318 hypersurfaces, 241 optimal filtering, 131 output function, 100, 131 PCNN, 387 plant dynamics, 269 processing units, 88, 99, 143 regression, 255, 333 system ideqtification, 122, 131 Nonlinearly separable classes, 241 Nonparametric nonlinear regression, 334 Nonparametric regression problem, 244 Nonquadratic error surface, 130 Nonstationary input, 117 Norm4 distribution (see Gaussian distribution) Normalization of features, 285 Normalized basis function, 252 Normalized radial distance, 245 Normalizing the weight, 208 Notrump in card game, 290 Number of cycles, 191 linearly separable classes, 107 linearly separable functions, 108 trials, 191

Objective function, 293 Odd parity, 241 Oder-limited, 109 Off-line learning, 54 Oja's learning, 208, 381 Oja's punit rule, 209 Olympic game symbols, 280 On-centre and off-surround, 48, 202 One-Class-One-Network (OCON), 313 On-line learning, 54, 271 Opening bid in card game, 280, 290 Operating range, 43 Operation of ANN,1 Operation of stochastic network, 175 Optical character recognition, 322 computers, 4 image processing, 296 Optimization, 279, 293, 391 criterion, 131 problems, 155, 293 Optimum choice of weights, 93 number of clusters, 254 set of weights, 117 weight matrix, 145 weight value, 104 weight vector, 116, 250 Order of a unit, 387 Orientational selectivity, 224 Orienting subsystem, 259

Subject Index
Orthogonal inputs, 98, 143 unit vectors, 209 vectors, 98, 353 Orthography, 309 Orthonormal, 96, 208 Oscillatory regions of equilibrium, 148 stable states, 69 state regions, 157 Outer product, 353 Output function, 25 binary, 27 bipolar, 32 continuous, 33 discrete, 32 linear range, 127 ramp, 26 saturation region, 127 sigmoid, 26 Output layer, 90 matrix, 90 pattern space, 80 signal, 26 state, 25 vector, 90 Outstar, 30 group of, 30 learning law, 34 structure, 257 Overall logical predicate, 108 Overdetermined, 356 Overlapping frames, 311 Overtraining, 378 PCNN learning, 381 PDP models, 36, 345 Parallel and Distributed Processing (PDP), 4, 20, 341 Parallel computers, 4 Parametric level matching, 9 Parity problem, 109 Partial information, 184 Partially recurrent models, 267 Partition function, 170 Partition process, 326 Partitioned graphs, 296 Parzen windows, 255 Passive decay rate, 45 decay term,56 sonar detection, 134 Pattern association, 6,76,77,98,184,187, 190 classification, 6, 76, 81, 88, 99, 100, 122, 251, 279, 280 clustering, 7, 76, 85, 202, 219 completion, 184, 190, 192, 265 environment, 143, 183 environment storage, 85, 183 grouping, 7 mapping, 7, 76, 83, 88, 113, 240 matching, 9 storage, 76, 84, 143, 146, 211 variability, 8, 271 Pattern and data, 4 Pattern recall, 183 Pattern recognition tasks, 76, 89 Patterns in data, 341 Perception, 2 by human beings, 2 by machines, 2 Perceptron, 27, 103 classification, 113 convergence, 28, 102, 113 learning law, 28,32,101,106,113 model, 27 multilayer, 110 network, 113 representation problem, 107, 113 single layer, 108, 241 Perceptron convergence theorem, 28, 102, 113 alternate proof, 104 discussion, 106 proof, 102

PCNN, 381 applications, 389 statistical data, 389 temporal data, 390 curve fitting, 389 data compression, 389 feature extraction, 389 generalization measure, 389 misalignment of image, 389 noise suppression, 390 preprocessor, 389 summary, 390 surface fitting, 389

Subject index
Perceptron learning continuous, 33 discrete, 32 gradient descent, 106, 113 Performance measure, 107 Performance of backpropagation learning, 121, 126 moddar network, 315 subnets, 315 Periodic regions of equilibrium, 148 stability, 148 Perkel's model, 46 Peterson and Barney data, 309 Phoneme classifier, 309 code, 307 Phoneme-like units, 308 Phonetic decoding, 309 description, 313 transcription, 308 typewriter, 267, 280, 308 Pitch period, 307 Pixels, 281, 303, 325 Place of articulation, 314 Plain Hebbian learning, 207 Plant dynamics, 305 Plant transfer function, 305 Plasticity in ART, 259 Plosive source, 307 Polarization, 18 Pools of units, 342 Poor generalization, 133 Population-based problem solving, 391 Positional errors, 272 Positive definite, 354 Post-processor, 313 Post-synaptic neuron, 18 Post-synaptic potential, 18 Postal addresses, 323 Power spectrum, 325 Prediction of time series, 265 Preprocessing of image, 285 Preprocessing of input, 241 Principal axes;366 Principal component neural network, 379 Principal component learning, 66, 209, 381 Principle Component Analysis (PCA), 209, 379 Principle of orthogonality, 380 Printed characters, 7, 279, 287 Printed text symbols, 265 Prior knowledge, 126, 247 Probabilistic neural networks, 121, 135, 255, 392 uncertainty, 393 update, 23, 152, 165 Probability, 357 a posteriori, 358 a priori, 358 axioms, 358 definition, 358 properties, 358 Probability density function (see distribution) Probability distribution, 168, 359 expectation, 359 mean, 359 variance, 359 Probability distribution of states, 168, 176 Probability estimation, 122 Probability of error, 149, 152 error in recall, 178 firing, 165 occurrence of patterns, 184 transition, 158 Probability theory, 248 Probably Approximate Correct (PAC) learning, 375 Problem level, 10, 11, 336 Problem of false minima, 163 Processing unit, 24 Production rules, 262 Projection matrix, 357 Proof of convergence, 126 Prototype vector, 259 Pseudoinverse of a matrix, 92, 144, 250 Puzzles, 4

Quadratic error function, 130, 366 error surface, 130

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Subject Index
Signal processing, 390 Signal separation, 387 Similarity matrix, 316 measure, 260, 361 Simulated annealing, 22, 65, 143, 165, 178, 179, 349, 392 Single layer perceptron, 106, 241 Singular subspaces, 385 Singular value decomposition (SVD), 92, 144, 355 Singular vectors left, 355, 385 right, 355, 385 Size-normalization, 321 Skin diseases diagnosis, 334 Slow convergence, 134 Slow learning, 143 Smoothed surface, 301 Smoothness constraint, 244, 247 Smoothness in mapping function, 242 Smoothness property, 242 Soft constraints, 299 Software, 2 Softwiring, 224 SOM network, 225, 392 Sonar, 134, 390 Sound units in speech, 265, 307 Space displacement neural networks, 324 Space filling characteristic, 227 Spade in card game, 290 Sparse data, 285 Sparse encoding, 65 Spatial correlation, 321 pattern, 235, 265 relations in features, 147 transformation, 285 Spatio-temporal pattern, 235, 266, 397 Speaker identification, 307 Spectral features, 307 Spectral vector, 310 Speech, 1, 4, 99, 134, 306, 390 production knowledge, 318 recognition, 307 spectra, 7 synthesis, 134, 307 Speech-like signals, 267 Speed, 19

S-cells, 272 SCV classes, 312, 314 SVD expression for pseudoinverse,94 SVD of crosscorrelation matrix, 385 Sample function, 167, 364 set, 357 space, 357 Sanger's rule, 209, 382 Saturation model, 48 Scaling, 99, 122, 280 Search methods controlled, 391 global, 392 gradient-descent, 364-371, 392 parallel, 391 stochastic, 391 Second order derivatives, 131 methods, 122 statistics, 253 Segmental features, 307 Selective attention feature, 272 Self-amplification, 382 Self-feedback, 188 Self-organization, 22, 202, 262 learning, 379 network, 225, 300 Self-stabilizing, 262 &ensor array imaging, 281 Sensory mechanism, 5 Sensory units, 27 Sequence of patterns, 265 Bequence recognition, 265 Sequence reproduction, 265 Sequential model, 8 Set of inequalities, 100 Shattering, 376 Shifted patterns, 271 Short time memory (STM), 25, 40, 85, 202, 212 Short-time characteristics, 307 Short-time segment, 307 Shunting activation, 48, 50, 204 general form, 50 summary, 51 Sigmoid function, 26, 112, 155 Sigmoidal nonlinearity, 124 Signal power, 371

Subject Index
Spin glasses. 22 Spontaneous generalization, 344 Spurious stable states, 183 Square norm, 92 Stability, 68 chaotic, 69, 397 fixed point, 69, 157 in ART, 259 in stochastic networks, 172 of patterns, 69 oscillatory, 69, 397 theorems, 42 thermal equilibrium, 172 Stability and convergence, 42, 68 Stability-plasticity dilemma, 8, 258, 396 Stable state, 55, 69, 150 State at thermal equilibrium, 170 State of energy minima, 148 State of network, 147 State space, 25 depth of energy minima, 148 relative spacings of energy minima, 148 State transition diagram, 158, 179 probability matrix, 181 Static equilibrium, 167 pattern, 310 spatial pattern, 265 Stationary probabilities, 170, 295 probability distribution, 177 random process, 364 Statistical machines, 23 Statistical mechanics, 170 Steady activation stat., 40, 55 state, 45, 55 weight state, 40 Steepest descent method, 368 Stereovision matching, 296 Stochastic, 25, 42, 51, 165,324, 330, 391 activation models, 51 differential equation, 59 equilibrium, 168 gradient descent, 62,121, 134,371 learning algorithms, 134 learning, 54, 65 network, 165, 167, 175 process, 51 scalar, 51 vector, 51 relaxation, 299 unit, 22 update, 143, 164, 165, 295 update law, 167 Stock prices, 334 Stop-Consonant-Vowel (SCW atteraqces, 312 Stopping criterion, 121, 126, 378 Storage capacity, 53, 151, 157 Strange attractom, 397 Stretching operation, 397 Structural learning, 54 stability, 42, 44 Subjective computation, 393 Submatrices, 93 Subnet, 313 Suboptimal solution, 117, 250 Subsampling, 323 Subsignals, 387 Subspace decomposition, 380 Summary of backpropagation learning algorithm, 121 gradient search methods, 116 perceptron learning, 113 Summing part, 24 Supervised learning, 6, 32 Supervised vector quantization, 223 Supervisory mode, 115 Suprasegmental features, 307 Surface fitting, 389 Syllable, 310 Symbolic processing, 5 Symmetric matrix, 366 weights, 149, 153 Synapse, 16 Synaptic connection, 18 Synaptic dynamics, 25, 40, 52 discrete-time implementation, 56 model, 52 Synaptic equilibrium, 59 Synaptic junctions, 16 Synaptic strength, 18 Synchronous update, 150, 237 Syntactic pattern recognition, 9 System identification, 134

Subject Index
Total error, 91 Total error surface, 117 Tongue, 306 Trace of a square matrix, 92 Tracking frequency components, 390 Training, 127 batch mode, 127 instars of CPN, 257 outstars of CPN, 257 pattern mode, 127 process, 89 samples, 89, 377 Training data, 117, 378 Trajectory, 25,53,147,167,176,368 Transformation invariant object recognition, 288 Transient phenomenon, 176 region, 176 Transition probabilities, 180 Translation, 99, 280 Travelling salesman problem, 279, 298 elastic ring method, 300 optimization method, 296 Traversal in the landscape, 167 Trends in computing, 2 Trial solutions, 391 Truck backer-upper problem, 270 Turbulent flow, 307 Two-class problem, 101 Two-layer networks, 110

Tapped delay line, 265 Tasks with backpropagation, 122 Taylor series, 129, 354 multidimensional, 354 Temperature parameter, 166, 181 Template matching, 9 Temporal association, 265 aseociative memory, 240 correlations, 265 learning, 54 pattern, 8, 265 pattern recognition, 265 pattern vectors, 240 sequence, 265 Temporary pattern storage, 85, 212 lbrminology of ANN,24 Test patterns, 9 Test error, 378 Texture classes, 326 Texture classification, 279, 321, 324 Texture features, 324 deterministic modelling, 324 stochastic modelling, 324 Texture label, 326 Texture segmentation, 324 Texture-based scheme, 324 Theorems for function approximation, 246 Theoretical machine, 22 Thermal averages, 170 Thermal equilibrium, 168, 181, 295 Threshold function linear, 138 polynomial, 138 quadratic, 138 Threshold value, 101 Time constant, 18 Time correlation, 265 Time registration, 266 Time sequences, 271 Time-delay neural networks (TDNN), 311 Time-series prediction, 269 Top-down outstar learning, 259 Top-down weights, 259 Topological mapping, 224 Topology of ANN, 29 % Topology preserving map, 2

Unaspirated, 312 Unclamped condition, 195 Uncommitted units, 259 Unconditionally stable, 238 Unconstrained optimization,121,131 Understanding, 5 Uniform distribution, 190, 360 Unique solution, 100 Unit higher-order, 386 sensory, 27 Universal approximation theorem, 133, 247 Unrepresentable problems, 108 Unstable states, 153

Subject Index
Unstable weight values, 208 Unsupemised learning, 7, 32 Unvoiced, 307, 314 Update, 25 asynchronous, 25 deterministic, 25 stochastic, 25 synchronous, 25 Upper subnet, 282 Vowel classification, 279, 309 Vowels, 314

Validation, 373 VLSI, 3 VC dimension, 122, 375 Variance maximization, 380 Variance of input data, 127 Vector quantization (VQ), 86, 279, 304 Vigilance parameter, 259 Vigilance test, 260 Visible units, 183, 343 Vision, 1 Visual clues, 284 Visual pattern recognition, 271 Vocal folds, 306 Vocal tract, 306 Voiced, 306, 312

Weak constraints, 299, 345 Weight decay, 248 matrix, 90, 95, 236 sharing, 322 space, 25, 40, 53 state, 40 update, 107 vector, 25; 90, 207 Weighted inner product, 362 Weighted matching problem, 296 Weights by computation, 91 Well-posed problems, 242 Widrow's learning law, 97 Widrow-Hoffs LMS algorithm, 68 Winner, 202 Winning unit, 61, 202, 257, 284 Winner-take-all, 34, 60, 218, 261

XOR problem, 241

ARTIFICIAL NEURAL NETWORKS

B. YEGNAWARAYANA
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Designed as an.lntroductory level textbook on Artif~aial Neural Networks at the postgraduate and senior undergraduate IweJs in m brench of engineering, y this self-contalned and well-organized book highlights the nmd for new models of computing based on the fundamental principles of neural networks. Professor Yegnanarayana compresses, into the covers of a single volume, his several years of rich experience, in teaching and- research in the areas of speech processing, image processing, artiacjerl intelligence and neural networks. He gives a masterly analysis of such topics as Basics of artificial neutgi networks, Functional units of artificial neural networks far pattern recognition tasks, Feedfoward and Feedback neural networks, and Architectures for complex pattern recognition tasks. Throughout, the emphasis is on the pattern processing feature of the neural networks. Besides, the presentation of real-world applications provides a practical thrust to the discussion. The fairly large number of diagrams, the detailed Bibliography, and the provision of Review Questions and Problems at the end of each chapter should prove to be of considerable assistance to the reader. Besides students, practising engineers and research scientists would cherish this book which treats the emerging and exciting area of artificial neural networks in a rigorous yet lucid fashion. I
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B. YEGNANARAYANA, Ph.D., is Professor, Department of Computer Science and Engineering, lndian Institute of Technology Madras. A Fellow of the lndian National Science Academy, Fellow of the lndian Academy of Sciences and lndian National Academy of Engineering, Prof. Yegnanarayana has published several papers in reputed national and international journals. His areas of interest include signal processing, speech and image processing, and neural networks.
ISBN

8L-203-L253-8

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Rs. 275.00