揭示梯度下降学习中的自指偏差与低秩特性,解释模型为何偏好特定解。
The Global Empirical NTK: Self-Referential Bias and Dimensionality of Gradient Descent Learning

- 提出全局经验NTK框架,分解为参数-状态与状态-状态交互算子。
- 证明多类模型(如RNN、Transformer)的NTK具可计算的克罗内克核结构。
- 发现初始状态会限制学习能力,导致低秩表示和偏差学习路径。
在梯度下降训练神经网络时,每次迭代均定义一个线性算子,控制模型内部状态变量的一阶更新。我们称此算子为全局经验神经正切核(Global Empirical NTK)。在有限宽度网络中,该核通常难以显式构造,以往研究多局限于输出追踪或无限宽度极限。本文研究多种模型的NTK结构,将模型状态视为单一全局隐式约束的解,推导出其由两个算子构成:K(参数-状态即时交互)与P(状态-状态内部依赖)。对于包括RNN和Transformer在内的广泛权重型模型,我们证明了通用克罗内克核定理,表明K可精确表示为权重位置变量的格拉姆矩阵。这一核心结构揭示了NTK的结构性瓶颈,限制其有效秩,并引发一种自指偏差,使梯度下降优先在联合隐藏状态与输入活动的主导模式中学习。对循环模型,我们分析了其在空间或时间上的谱特性,证明了偏置与低秩现象。进一步发现,初始化状态会制约学习,阻碍任务成分的有效提取。最后,我们证实自注意力Transformer的NTK同样受结构限制而呈低秩。整体上,该工作揭示了可解析的NTK结构,解释了梯度下降对任务解的偏好及低秩表示的涌现。为促进实际应用,我们构建了kpflow库,基于随机化矩阵自由数值线性代数实现高效计算。
原文摘要 · Abstract (English)
In training a neural network with gradient descent (GD), each iteration induces a linear operator that governs first-order updates to a model's internal state variables. We define this operator as the Global Empirical Neural Tangent Kernel (NTK). In finite-width networks, the NTK is typically intractable to form, leading prior work to focus on restrictive settings such as tracking outputs only or taking infinite-width limits. Here, we study the structure of the NTK for a range of models. Formulating the model state as the solution to a single global implicit constraint, we derive the NTK as a product of two operators: K, accounting for immediate parameter-to-state interactions, and P, describing internal state-to-state dependencies. For a broad class of weight-based models, including RNNs and transformers, we prove a universal Kronecker-core theorem showing that K admits an exact, computable form given by the Gram matrix of weight-site variables. This core structure reveals that the NTK is structurally bottlenecked, constraining its effective rank and giving rise to a self-referential bias whereby GD preferentially learns within dominant modes of joint hidden and input activity. For recurrent models, we examine the spectrum of the NTK and show when it is biased and low-rank in space or time under the proposed decomposition. We further demonstrate that model dynamics at initialization bias the NTK, restricting learning and preventing task components from being learned effectively. Finally, we show that the NTK associated with a self-attention transformer is likewise structurally constrained to be low-rank. Overall, we show that the NTK possesses tractable structure that explains GD bias toward task solutions and the emergence of low-rank representations. To enable use of the NTK as a practical metric, we build kpflow, a library relying on randomized matrix-free numerical linear algebra.
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