Multimodal Deep Learning (Học sâu đa phương thức) - Matthias Aßenmacher

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Contents Preface v Foreword 1 1 Introduction 3 1.1 Introduction to Multimodal Deep Learning . . . . . . . . . . 3 1.2 Outline of the Booklet . . . . . . . . . . . . . . . . . . . . . . 4 2 Introducing the modalities 7 2.1 State-of-the-art in NLP . . . . . . . . . . . . . . . . . . . . . 9 2.2 State-of-the-art in Computer Vision . . . . . . . . . . . . . . 33 2.3 Resources and Benchmarks for NLP, CV and multimodal tasks 54 3 Multimodal architectures 83 3.1 Image2Text . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86 3.2 Text2Image . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100 3.3 Images supporting Language Models . . . . . . . . . . . . . . 125 3.4 Text supporting Vision Models . . . . . . . . . . . . . . . . . 146 3.5 Models for both modalities . . . . . . . . . . . . . . . . . . . 159 4 Further Topics 181 4.1 Including Further Modalities . . . . . . . . . . . . . . . . . . . 181 4.2 Structured + Unstructured Data . . . . . . . . . . . . . . . . . 197 4.3 Multipurpose Models . . . . . . . . . . . . . . . . . . . . . . 209 4.4 Generative Art . . . . . . . . . . . . . . . . . . . . . . . . . . 226 5 Conclusion 235 6 Epilogue 237 6.1 New influential architectures . . . . . . . . . . . . . . . . . . . 237 6.2 Creating videos . . . . . . . . . . . . . . . . . . . . . . . . . 238 7 Acknowledgements 239 iii

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Preface Author: Matthias Aßenmacher FIGURE 1: LMU seal (left) style-transferred to Van Gogh’s Sunflower painting (center) and blended with the prompt - Van Gogh, sunflowers - via CLIP+VGAN (right). In the last few years, there have been several breakthroughs in the methodolo- gies used in Natural Language Processing (NLP) as well as Computer Vision (CV). Beyond these improvements on single-modality models, large-scale multi- modal approaches have become a very active area of research. In this seminar, we reviewed these approaches and attempted to create a solid overview of the field, starting with the current state-of-the-art approaches in the two subfields of Deep Learning individually. Further, modeling frameworks are discussed where one modality is transformed into the other Chapter 3.1 and Chapter 3.2), as well as models in which one modality is utilized to enhance representation learning for the other (Chapter 3.3 and Chapter 3.4). To conclude the second part, architectures with a focus on handling both modalities simultaneously are introduced (Chapter 3.5). Finally, we also cover other modalities (Chapter 4.1 and Chapter 4.2) as well as general-purpose multi-modal models (Chapter 4.3), which are able to handle different tasks on different modalities within one unified architecture. One interesting application (Generative Art, Chapter 4.4) eventually caps off this booklet. v

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vi Preface FIGURE 2: Creative Commons License This book is licensed under the Creative Commons Attribution- NonCommercial-ShareAlike 4.0 International License.

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Foreword Author: Matthias Aßenmacher This book is the result of an experiment in university teaching. We were inspired by a group of other PhD Students around Christoph Molnar, who conducted another seminar on Interpretable Machine Learning in this format. Instead of letting every student work on a seminar paper, which more or less isolated from the other students, we wanted to foster collaboration between the students and enable them to produce a tangible outout (that isn’t written to spend the rest of its time in (digital) drawers). In the summer term 2022, some Statistics, Data Science and Computer Science students signed up for our seminar entitled “Multimodal Deep Learning” and had (before kick-off meeting) no idea what they had signed up for: Having written an entire book by the end of the semester. We were bound by the examination rules for conducting the seminar, but otherwise we could deviate from the traditional format. We deviated in several ways: 1. Each student project is a chapter of this booklet, linked contentwise to other chapers since there’s partly a large overlap between the topics. 2. We gave challenges to the students, instead of papers. The challenge was to investigate a specific impactful recent model or method from the field of NLP, Computer Vision or Multimodal Learning. 3. We designed the work to live beyond the seminar. 4. We emphasized collaboration. Students wrote the introduction to chapters in teams and reviewed each others individual texts. Technical Setup The book chapters are written in the Markdown language. The simulations, data examples and visualizations were created with R (R Core Team, 2018). To combine R-code and Markdown, we used rmarkdown. The book was compiled 1

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2 0 Foreword with the bookdown package. We collaborated using git and github. For details, head over to the book’s repository.

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1 Introduction Author: Nadja Sauter Supervisor: Matthias Aßenmacher 1.1 Introduction to Multimodal Deep Learning There are five basic human senses: hearing, touch, smell, taste and sight. Possessing these five modalities, we are able to perceive and understand the world around us. Thus, “multimodal” means to combine different channels of information simultaneously to understand our surroundings. For example, when toddlers learn the word “cat”, they use different modalities by saying the word out loud, pointing on cats and making sounds like “meow”. Using the human learning process as a role model, artificial intelligence (AI) researchers also try to combine different modalities to train deep learning models. On a superficial level, deep learning algorithms are based on a neural network that is trained to optimize some objective which is mathematically defined via the so-called loss function. The optimization, i.e. minimizing the loss, is done via a numerical procedure called gradient descent. Consequently, deep learning models can only handle numeric input and can only result in a numeric output. However, in multimodal tasks we are often confronted with unstructured data like pictures or text. Thus, the first major problem is how to represent the input numerically. The second issue with regard to multimodal tasks is how exactly to combine different modalities. For instance, a typical task could be to train a deep learning model to generate a picture of a cat. First of all, the computer needs to understand the text input “cat” and then somehow translate this information into a specific image. Therefore, it is necessary to identify the contextual relationships between words in the text input and the spatial relationships betweent pixels in the image output. What might be easy for a toddler in pre-school, is a huge challenge for the computer. Both have to learn some understanding of the word “cat” that comprises the meaning and appearance of the animal. A common approach in modern deep learning is to generate embeddings that represent the cat numerically as a vector in some latent space. However, to achieve this, different approaches and algorithmic 3

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4 1 Introduction architectures have been developed in recent years. This book gives an overview of the different methods used in state-of-the-art (SOTA) multimodal deep learning to overcome challenges arising from unstructured data and combining inputs of different modalities. 1.2 Outline of the Booklet Since multimodal models often use text and images as input or output, methods of Natural Language Processing (NLP) and Computer Vision (CV) are intro- duced as foundation in Chapter 2. Methods in the area of NLP try to handle text data, whereas CV deals with image processing. With regard to NLP (sub- section 2.1), one concept of major importance is the so-called word embedding, which is nowadays an essential part of (nearly) all multimodal deep learning architectures. This concept also sets the foundation for transformer-based models like BERT (Devlin et al., 2018a), which achieved a huge improvement in several NLP tasks. Especially the (self-)attention mechanism (Vaswani et al., 2017a) of transformers revolutionized NLP models, which is why most of them rely on the transformer as a backbone. In Computer Vision (subsection 2.2) different network architectures, namely ResNet (He et al., 2015), EfficientNet (Tan and Le, 2019a), SimCLR (Chen et al., 2020a) and BYOL (Grill et al., 2020b), will be introduced. In both fields it is of great interest to compare the different approaches and their performance on challenging benchmarks. For this reason, the last subsection 2.3 of Chapter 2 gives an overall overview of different data sets, pre-training tasks and benchmarks for CV as well as for NLP. The second Chapter (see 3) focuses on different multimodal architectures, covering a wide variety of how text and images can be combined. The presented models combine and advance different methods of NLP and CV. First of all, looking at Img2Text tasks (subsection 3.1), the data set Microsoft COCO for object recognition (Lin et al., 2014a) and the meshed-memory transformer for Image Captioning (M2 Transformer) (Cornia et al., 2019) will be presented. Contrariwise, researchers developed methods to generate pictures based on a short text prompt (subsection 3.2). The first models accomplishing this task were generative adversarial networks (GANs) (Goodfellow et al., 2014b) and Variational Autoencoders (VAEs) (Kingma and Welling, 2019). These methods were improved in recent years and today’s SOTA transformer architectures and text-guided diffusion models like DALL-E (Ramesh et al., 2021a) and GLIDE (Nichol et al., 2021a) achieve remarkable results. Another interesting question is how images can be utilized to support language models (subsection 3.3). This can be done via sequential embeddings, more advanced grounded embeddings or, again, inside transformers. On the other hand, one can also look at text

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1.2 Outline of the Booklet 5 supporting CV models like CLIP (Radford et al., 2021b), ALIGN (Jia et al., 2021a) and Florence (Yuan et al., 2021) (subsection 3.4). They use foundation models meaning reusing models (e.g. CLIP inside DALL-E 2) as well as a contrastive loss for connecting text with images. Besides, zero-shooting makes it possible to classify new and unseen data without expensive fine-tuning. Especially the open-source architecture CLIP (Radford et al., 2021b) for image classification and generation attracted a lot of attention last year. In the end of the second chapter, some further architectures to handle text and images simultaneously are introduced (subsection 3.5). For instance, Data2Vec uses the same learning method for speech, vision and language and in this way aims to find a general approach to handle different modalities in one architecture. Furthermore, VilBert (Lu et al., 2019a) extends the popular BERT architecture to handle both image and text as input by implementing co-attention. This method is also used in Google’s Deepmind Flamingo (Alayrac et al., 2022). In addition, Flamingo aims to tackle multiple tasks with a single visual language model via few-shot learning and freezing the pre-trained vision and language model. In the last chapter (see 4), methods are introduced that are also able to handle modalities other than text and image, like e.g. video, speech or tabular data. The overall goal here is to find a general multimodal architecture based on challenges rather than modalities. Therefore, one needs to handle problems of multimodal fusion and alignment and decide whether you use a join or coordinated representation (subsection 4.1). Moreover we go more into detail about how exactly to combine structured and unstructured data (subsection 4.2). Therefore, different fusion strategies which evolved in recent years will be presented. This is illustrated in this book by two use cases in survival analysis and economics. Besides this, another interesting research question is how to tackle different tasks in one so called multi-purpose model (subsection 4.3) like it is intended to be created by Google researchers (Barham et al., 2022) in their “Pathway” model. Last but not least, we show one exemplary application of Multimodal Deep Learning in the arts scene where image generation models like DALL-E (Ramesh et al., 2021a) are used to create art pieces in the area of Generative Arts (subsection 4.4).

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2 Introducing the modalities Authors: Cem Akkus, Vladana Djakovic, Christopher Benjamin Marquardt Supervisor: Matthias Aßenmacher Natural Language Processing (NLP) has existed for about 50 years, but it is more relevant than ever. There have been several breakthroughs in this branch of machine learning that is concerned with spoken and written language. For example, learning internal representations of words was one of the greater advances of the last decade. Word embeddings (Mikolov et al. (2013a), Bojanowski et al. (2016)) made it possible and allowed developers to encode words as dense vectors that capture their underlying semantic content. In this way, similar words are embedded close to each other in a lower-dimensional feature space. Another important challenge was solved by Encoder-decoder (also called sequence-to-sequence) architectures Sutskever et al. (2014), which made it possible to map input sequences to output sequences of different lengths. They are especially useful for complex tasks like machine translation, video captioning or question answering. This approach makes minimal assumptions on the sequence structure and can deal with different word orders and active, as well as passive voice. A definitely significant state-of-the-art technique is Attention Bahdanau et al. (2014), which enables models to actively shift their focus – just like humans do. It allows following one thought at a time while suppressing information irrelevant to the task. As a consequence, it has been shown to significantly improve performance for tasks like machine translation. By giving the decoder access to directly look at the source, the bottleneck is avoided and at the same time, it provides a shortcut to faraway states and thus helps with the vanishing gradient problem. One of the most recent sequence data modeling techniques is Transformers (Vaswani et al. (2017b)), which are solely based on attention and do not have to process the input data sequentially (like RNNs). Therefore, the deep learning model is better in remembering context-induced earlier in long sequences. It is the dominant paradigm in NLP currently and even makes better use of GPUs, because it can perform parallel operations. Transformer architectures like BERT (Devlin et al., 2018b), T5 (Raffel et al., 2019a) or GPT-3 (Brown et al., 2020) are pre-trained on a large corpus and can be fine-tuned for specific language tasks. They have the capability to generate stories, poems, code and much more. With the help of the aforementioned 7

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8 2 Introducing the modalities breakthroughs, deep networks have been successful in retrieving information and finding representations of semantics in the modality text. In the next paragraphs, developments for another modality image are going to be presented. Computer vision (CV) focuses on replicating parts of the complexity of the human visual system and enabling computers to identify and process objects in images and videos in the same way that humans do. In recent years it has become one of the main and widely applied fields of computer science. However, there are still problems that are current research topics, whose solutions depend on the research’s view on the topic. One of the problems is how to optimize deep convolutional neural networks for image classification. The accuracy of classification depends on width, depth and image resolution. One way to address the degradation of training accuracy is by introducing a deep residual learning framework (He et al., 2015). On the other hand, another less common method is to scale up ConvNets, to achieve better accuracy is by scaling up image resolution. Based on this observation, there was proposed a simple yet effective compound scaling method, called EfficientNets (Tan and Le, 2019a). Another state-of-the-art trend in computer vision is learning effective visual representations without human supervision. Discriminative approaches based on contrastive learning in the latent space have recently shown great promise, achieving state-of-the-art results, but the simple framework for contrastive learning of visual representations, which is called SimCLR, outperforms pre- vious work (Chen et al., 2020a). However, another research proposes as an alternative a simple “swapped” prediction problem where we predict the code of a view from the representation of another view. Where features are learned by Swapping Assignments between multiple Views of the same image (SwAV) (Caron et al., 2020). Further recent contrastive methods are trained by reducing the distance between representations of different augmented views of the same image (‘positive pairs’) and increasing the distance between representations of augmented views from different images (‘negative pairs’). Bootstrap Your Own Latent (BYOL) is a new algorithm for self-supervised learning of image representatios (Grill et al., 2020b). Self-attention-based architectures, in particular, Transformers have become the model of choice in natural language processing (NLP). Inspired by NLP successes, multiple works try combining CNN-like architectures with self- attention, some replacing the convolutions entirely. The latter models, while theoretically efficient, have not yet been scaled effectively on modern hardware accelerators due to the use of specialized attention patterns. Inspired by the Transformer scaling successes in NLP, one of the experiments is applying a standard Transformer directly to the image (Dosovitskiy et al., 2020b). Due to the widespread application of computer vision, these problems differ and are constantly being at the center of attention of more and more research. With the rapid development in NLP and CV in recent years, it was just a question of time to merge both modalities to tackle multi-modal tasks. The

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2.1 State-of-the-art in NLP 9 release of DALL-E 2 just hints at what one can expect from this merge in the future. DALL-E 2 is able to create photorealistic images or even art from any given text input. So it takes the information of one modality and turns it into another modality. It needs multi-modal datasets to make this possible, which are still relatively rare. This shows the importance of available data and the ability to use it even more. Nevertheless, all modalities are in need of huge datasets to pre-train their models. It’s common to pre-train a model and fine-tune it afterwards for a specific task on another dataset. For example, every state-of-the-art CV model uses a classifier pre-trained on an ImageNet based dataset. The cardinality of the datasets used for CV is immense, but the datasets used for NLP are of a completely different magnitude. BERT uses the English Wikipedia and the Bookscorpus to pre-train the model. The latter consists of almost 1 billion words and 74 million sentences. The pre-training of GPT-3 is composed of five huge corpora: CommonCrawl, Books1 and Books2, Wikipedia and WebText2. Unlike language model pre-training that can leverage tremendous natural language data, vision-language tasks require high-quality image descriptions that are hard to obtain for free. Widely used pre-training datasets for VL-PTM are Microsoft Common Objects in Context (COCO), Visual Genome (VG), Conceptual Captions (CC), Flickr30k, LAION-400M and LAION-5B, which is now the biggest openly accessible image-text dataset. Besides the importance of pre-training data, there must also be a way to test or compare the different models. A reasonable approach is to compare the performance on specific tasks, which is called benchmarking. A nice fea- ture of benchmarks is that they allow us to compare the models to a human baseline. Different metrics are used to compare the performance of the mod- els. Accuracy is widely used, but there are also some others. For CV the most common benchmark datasets are ImageNet, ImageNetReaL, CIFAR- 10(0), OXFORD-IIIT PET, OXFORD Flower 102, COCO and Visual Task Adaptation Benchmark (VTAB). The most common benchmarks for NLP are General Language Understanding Evaluation (GLUE), SuperGLUE, SQuAD 1.1, SQuAD 2.0, SWAG, RACE, ReCoRD, and CoNLL-2003. VTAB, GLUE and SuperGLUE also provide a public leader board. Cross-modal tasks such as Visual Question Answering (VQA), Visual Commonsense Reasoning (VCR), Natural Language Visual Reasoning (NLVR), Flickr30K, COCO and Visual Entailment are common benchmarks for VL-PTM. 2.1 State-of-the-art in NLP Author: Cem Akkus Supervisor: Matthias Aßenmacher

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10 2 Introducing the modalities 2.1.1 Introduction Natural Language Processing (NLP) exists for about 50 years, but it is more relevant than ever. There have been several breakthroughs in this branch of machine learning that is concerned with spoken and written language. In this work, the most influential ones of the last decade are going to be pre- sented. Starting with word embeddings, which efficiently model word semantics. Encoder-decoder architectures represent another step forward by making mini- mal assumptions about the sequence structure. Next, the attention mechanism allows human-like focus shifting to put more emphasis on more relevant parts. Then, the transformer applies attention in its architecture to process the data non-sequentially, which boosts the performance on language tasks to exceptional levels. At last, the most influential transformer architectures are recognized before a few current topics in natural language processing are discussed. 2.1.2 Word Embeddings As mentioned in the introduction, one of the earlier advances in NLP is learning word internal representations. Before that, a big problem with text modelling was its messiness, while machine learning algorithms undoubtedly prefer structured and well-defined fixed-length inputs. On a granular level, the models rather work with numerical than textual data. Thus, by using very basic techniques like one-hot encoding or bag-of-words, a text is converted into its equivalent vector of numbers without losing information. In the example depicting one-hot encoding (see Figure 2.1), there are ten simple words and the dark squares indicate the only index with a non-zero value. FIGURE 2.1: Ten one-hot encoded words (Source: Pilehvar and Camacho- Collados (2021)) In contrast, there are multiple non-zero values while using bag-of-words, which is another way of extracting features from text to use in modelling where we measure if a word is present from a vocabulary of known words. It is called

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2.1 State-of-the-art in NLP 11 bag-of-words because the order is disregarded here. Treating words as atomic units has some plausible reasons, like robustness and simplicity. It was even argued that simple models on a huge amount of data outperform complex models trained on less data. However, simple techniques are problematic for many tasks, e.g. when it comes to relevant in-domain data for automatic speech recognition. The size of high-quality transcribed speech data is often limited to just millions of words, so simply scaling up simpler models is not possible in certain situations and therefore more advanced techniques are needed. Additionally, thanks to the progress of machine learning techniques, it is realistic to train more complex models on massive amounts of data. Logically, more complex models generally outperform basic ones. Other disadvantages of classic word representations are described by the curse of dimensionality and the generalization problem. The former becomes a problem due to the growing vocabulary equivalently increasing the feature size. This results in sparse and high-dimensional vectors. The latter occurs because the similarity between words is not captured. Therefore, previously learned information cannot be used. Besides, assigning a distinct vector to each word is a limitation, which becomes especially obvious for languages with large vocabularies and many rare words. To combat the downfalls of simple word representations, word embeddings enable to use efficient and dense representations in which similar words have a similar encoding. So words that are closer in the vector space are expected to be similar in meaning. An embedding is hereby defined as a vector of floating point values (with the length of the vector being a hyperparameter). The values for the embedding are trainable parameters which are learned similarly to a model learning the weights for a dense layer. The dimensionality of the word representations is typically much smaller than the number of words in the dictionary. For example, Mikolov et al. (2013a) called dimensions between 50-100 modest for more than a few hundred million words. For small data sets, dimensionality for the word vectors could start at 8 and go up to 1024 for larger data sets. It is expected that higher dimensions can rather pick up intricate relationships between words if given enough data to learn from. For any NLP tasks, it is sensible to start with word embeddings because it allows to conveniently incorporate prior knowledge into the model and can be seen as a basic form of transfer learning. It is important to note that even though embeddings attempt to represent the meaning of words and do that to an extent, the semantics of the word in a given context cannot be captured. This is due to the words having static precomputed representations in traditional embedding techniques. Thus, the word "bank" can either refer to a financial institution or a river bank. Contex-

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12 2 Introducing the modalities FIGURE 2.2: Three-dimensional word embeddings (Source: Pilehvar and Camacho-Collados (2021)). tual embedding methods offer a solution, but more about them will follow later. It should be noted that words can have various degrees of similarity. In the context of inflectional languages, it becomes obvious because words are adjusted to articulate grammatical categories. For example, in a subspace of the original vector, nouns that have similar endings can be found. However, it even exceeds simple syntactic regularities. With straightforward operations on the word vectors, it can be displayed that vector(King)−vector(Man) +vector(Woman) equals a vector that is closest in vector space (and therefore in meaning) to the word "Queen". A simple visualization of this relationship can be seen in the left graph below (see Figure 2.3). The three coordinate systems are representations of higher dimensions that are depicted in this way via dimension reduction techniques. Furthermore, the verb-to-tense relationship is expressed in the middle graphic, which extends the insight from before referring to the word endings being similar because in this instance the past tenses of both verbs walking and swimming are not similar in structure. Additionally, on the right side of the figure, there is a form of the commonly portrayed and easily understood Country-Capital example (see Mikolov et al. (2013a)). FIGURE 2.3: Three types of similarities as word embeddings (Source: Google (2022)).

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2.1 State-of-the-art in NLP 13 Another way of using vector representations of words is in the field of transla- tions. It has been presented that relations can be drawn from feature spaces of different languages. In below, the distributed word representations of numbers between English and Spanish are compared. In this case, the same numbers have similar geometric arrangements, which suggests that mapping linearly between vector spaces of languages is feasible. Applying this simple method for a larger set of translations in English and Spanish led to remarkable results - achieving almost 90 % precision. FIGURE 2.4: Representations of numbers in English and Spanish (Source: Mikolov et al. (2013c)). This technique was then used for other experiments. One use case is the detection of dictionary errors. Taking translations from a dictionary and computing their geometric distance returns a confidence measure. Closely evaluating the translations with low confidence and outputting an alternative (one that is closest in vector space) results in a plain way to assess dictionary translations. Furthermore, training the word embeddings on a large corpora makes it possible to give sensible out-of-dictionary predictions for words. This was tested by randomly removing a part of the vocabulary before. Taking a look at the predictions revealed that they were often to some extent related to the translations with regard to meaning and semantics. Despite the accomplishments in other tasks, translations between distant languages exposed shortcomings of word embeddings. For example, the accuracy for translations between English and Vietnamese seemed signif- icantly lower. This can be ascribed to both languages not having a good one-to-one correspondence because the concept of a word is different than in English. In addition, the used Vietnamese model contains numerous syn- onyms, which complicates making exact predictions (see Mikolov et al. (2013c)). Turning the attention to one of the most impactful embedding techniques, word2vec. It was proposed by Mikolov et al. (2013a) and is not a singular algorithm. It can rather be seen as a family of model architectures and op- timizations to learn word representations. Word2vec’s popularity also stems from its success on multiple downstream natural language processing tasks.

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14 2 Introducing the modalities It has a very simple structure which is based on a basic feed forward neural network. They published multiple papers (see Mikolov et al. (2013a)], Mikolov et al. (2013c), Mikolov et al. (2013d)) that are stemming around two different but related methods for learning word embeddings (see Figure 2.5). Firstly, the Continuous bag-of-words model aims to predict the middle word based on surrounding context words. Hence, it considers components before and after the target word. As the order of words in the context is not relevant, it is called a bag-of-words model. Secondly, the Continuous skip-gram model only considers the current word and predicts others within a range before and after it in the same sentence. Both of the models use a softmax classifier for the output layer. FIGURE 2.5: CBOW and Skip-gram architecture (Source: Mikolov et al. (2013a)). Then, Bojanowski et al. (2016) built on skip-gram models by accounting for the morphology (internal structure) of words. A different classical embedding architecture that has to be at least mentioned is the GloVe model, which does not use a neural network but incorporates local context information with global co-occurrence statistics. 2.1.3 Encoder-Decoder The field of natural language processing is concerned with a variety of different tasks surrounding text. Depending on the type of NLP problem, the network may be confronted with variable length sequences as input and/or output. This is the case for many compelling applications, such as question answering, dialogue systems or machine translation. In the following, many examples will explore machine translations in more detail, since it is a major problem domain. Regarding translation tasks, it becomes obvious that input sequences need to be mapped to output sequences of different lengths. To manage this

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