arXiv:2603.10935cs.LGcs.AI2026-03

通过球壳几何与聚类约束,理论保证VAE不发生后验崩溃。

Spherical VAE with Cluster-Aware Feasible Regions: Guaranteed Prevention of Posterior Collapse

  • 将数据映射到球壳空间,用K-means确定聚类区域。
  • 在重建损失范围内强制约束,数学上排除崩溃解。
  • 无需额外稳定条件,兼容任意神经网络结构。

变分自编码器(VAEs)常因后验坍缩导致隐变量无信息,近来研究指出坍缩是受数据协方差决定的相变现象。现有方法多旨在避免坍缩,而非彻底消除。本文提出新框架,利用球壳几何与聚类感知约束,理论保证非坍缩解存在。方法将数据转换至球壳,通过K-means计算最优聚类分配,并定义介于类内方差 $W$ 与坍缩损失 $δ_{ ext{collapse}}$ 之间的可行区域。证明当重建损失被限制在此区域内时,坍缩解被数学排除在可行参数空间外。关键创新在于引入范数约束机制,确保解码器输出与球壳几何兼容,同时不牺牲表示能力。相比以往方法,本方案提供严格理论保障,计算开销极低,且无需对解码器输出施加限制。合成与真实数据集实验显示,在传统VAE完全失败的条件下,本方法实现100%坍缩预防,重建质量达到或超过当前最优水平。无需显式稳定性条件(如 $σ^2 < λ_{ ext{max}}$),适用于任意神经架构。代码已公开于 https://github.com/tsegoochang/spherical-vae-with-Cluster。

原文摘要 · Abstract (English)

Variational autoencoders (VAEs) frequently suffer from posterior collapse, where the latent variables become uninformative as the approximate posterior degenerates to the prior. While recent work has characterized collapse as a phase transition determined by data covariance properties, existing approaches primarily aim to avoid rather than eliminate collapse. We introduce a novel framework that theoretically guarantees non-collapsed solutions by leveraging spherical shell geometry and cluster-aware constraints. Our method transforms data to a spherical shell, computes optimal cluster assignments via K-means, and defines a feasible region between the within-cluster variance $W$ and collapse loss $δ_{\text{collapse}}$. We prove that when the reconstruction loss is constrained to this region, the collapsed solution is mathematically excluded from the feasible parameter space. \textbf{Critically, we introduce norm constraint mechanisms that ensure decoder outputs remain compatible with the spherical shell geometry without restricting representational capacity.} Unlike prior approaches, our method provides a strict theoretical guarantee with minimal computational overhead without imposing constraints on decoder outputs. Experiments on synthetic and real-world datasets demonstrate 100\% collapse prevention under conditions where conventional VAEs completely fail, with reconstruction quality matching or exceeding state-of-the-art methods. Our approach requires no explicit stability conditions (e.g., $σ^2 < λ_{\max}$) and works with arbitrary neural architectures. The code is available at https://github.com/tsegoochang/spherical-vae-with-Cluster.

VAE后验坍缩理论保证球壳几何

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