1 Introduction
Generative Adversarial Networks (or GANs) are a promising techique for building flexible generative models (Goodfellow et al., 2014). There have been many successful efforts to scale them up to large datasets and new applications (Denton et al., 2015; Radford et al., 2015; Odena et al., 2016; Zhang et al., 2016; Karras et al., 2017; Miyato & Koyama, 2018). There have also been many efforts to better understand their training procedure, and in particular to understand various pathologies that seem to plague that training procedure (Metz et al., 2016; Arora et al., 2017; Heusel et al., 2017; Nagarajan & Kolter, 2017; Arjovsky & Bottou, 2017). The most notable of these pathologies — “mode collapse” — is characterized by a tendency of the generator to output samples from a small subset of the modes of the data distribution. In extreme cases, the generator will output only a few unique samples or even just the same sample repeatedly. Instead of studying this pathology and others from a probabilistic perspective, we study the distribution of the squared singular values of the inputoutput Jacobian of the generator. Studying this quantity allows us to characterize GANs in a new way — we find that it is predictive of other GAN performance measures. Moreover, we find that by controlling this quantity, we can improve averagecase performance measures while greatly reducing interrun variance of those measures. More specifically, this work makes the following contributions:

We study the squared singular values of the generator Jacobian at individual points in the latent space. We find that the Jacobian generally becomes illconditioned quickly at the beginning of training, after which it tends to fall into one of two clusters: a “good cluster” in which the condition number stays the same or even gradually decreases, and a “bad cluster”, in which the condition number continues to grow.

We discover a strong correspondence between the conditioning of the Jacobian and two other quantitative metrics for evaluating GAN quality: the Inception Score and the Frechet Inception Distance. GANs with better conditioning tend to perform better according to these metrics.

We provide evidence that the above correspondence is causal by proposing and testing a new regularization technique, which we call Jacobian Clamping. We show that you can constrain the conditioning of the Jacobian relatively cheaply^{1}^{1}1The Jacobian Clamping algorithm doubles the batch size. and that doing so improves the mean values and reduces interrun variance of the values for the Inception Score and FID.
2 Background and Notation
Generative Adversarial Networks:
A generative adversarial network (GAN) consists of two neural networks trained in opposition to one another. The generator
takes as input a random noise vector
and outputs a sample . The discriminatorreceives as input either a training sample or a synthesized sample from the generator and outputs a probability distribution
over possible sample sources. The discriminator is then trained to maximize the following cost:(1) 
while the generator is trained to minimize^{2}^{2}2 This formulation is known as a “NonSaturating GAN” and is the formulation in wide use, but there are others. See Goodfellow et al. (2014) for more details.:
(2) 
Inception Score and Frechet Inception Distance:
In this work we will refer extensively to two^{3}^{3}3 We elect not to use the technique described in Wu et al. (2016) for reasons explained in Grover et al. (2017). “scores” that have been proposed to evaluate the quality of trained GANs. Both make use of a pretrained image classifier. The first is the Inception Score (Salimans et al., 2016), which is given by:
(3) 
where is a GAN sample, is the probability for labels given by a pretrained classifier on , and is the overall distribution of labels in the generated samples (according to that classifier).
The second is the Frechet Inception Distance (Heusel et al., 2017). To compute this distance, one assumes that the activations in the coding layer of the pretrained classifier come from a multivariate Gaussian. If the activations on the real data are and the activations on the fake data are , the FID is given by:
(4) 
Mathematical Background and Notation:
Consider a GAN generator mapping from latent space with dimension to an observation space with dimension . We can define and so that we may write . At any , will have a Jacobian where . The object we care about will be the distribution of squared singular values of . To see why, note that the mapping takes any point to a symmetric and positive definite matrix of dimension and so constitutes a Riemannian metric. We will write as (and refer to
somewhat sloppily as the “Metric Tensor”). If we know
for all , we know most of the interesting things to know about the geometry of the manifold induced by . In particular, fix some pointand consider the eigenvalues
and eigenvectors
of . Then for and ,(5) 
Less formally, the eigenvectors corresponding to the large eigenvalues of at some point give directions in which taking a very small “step” in will result in a large change in (and analogously with the eigenvectors corresponding to the small eigenvalues). Because of this, many interesting things can be read out of the eigenspectrum of .
Unfortunately, working with the whole spectrum is unwieldy, so it would be nicer to work with some summary quantity. In this work, we choose to study the condition number of (the best justification we can give for this is that we noticed during exploratory analysis that the condition number was predictive of the Inception Score, but see the supplementary material for further justification of why we chose this quantity and not some other quantity). The condition number is defined for as . If the condition number is high, we say that the metric tensor is “poorly conditioned”. If it’s low, we say that the metric tensor is “well conditioned”.
Now note that the eigenvalues of are identical to the squared singular values of . This is why we care about the singular value spectrum of .
3 Analyzing the Local Geometry of GAN Generators
The Metric Tensor Becomes IllConditioned During Training:
We fix a batch of and examine the condition number of at each of those points as a GAN is training on the MNIST dataset. A plot of the results is in Figure 2, where it can be seen that starts off wellconditioned everywhere and quickly becomes poorly conditioned everywhere. There is considerable variance in how poor the conditioning is, with the logconditionnumber ranging from around 12 to around 20.
It is natural to ask how consistent this behavior is across different training runs. To that end, we train 10 GANs that are identical up to random initialization and compute the average logcondition number across a fixed batch of as training progresses (Figure 1 TopLeft). Roughly half of the time, the condition number increases rapidly and then stays high or climbs higher. The other half of the time, it increases rapidly and then decreases. This distribution of results is in keeping with the general understanding that GANs are “unstable”.
The condition number is informative and computing its average over many gives us a single scalar quantity that we can evaluate over time. However, this is only one of many such quantities that we can compute, and it obscures certain facts about the singular value spectrum of at various . For completeness, we also compute – following Hoffman (2017), who does the same for variational autoencoders – the spectrum of the average (across a batch of ) Jacobian. It’s not clear a priori what one should expect of these spectra, so to provide context we perform the same computation on 10 training runs of a variational autoencoder (Kingma & Welling, 2013; Rezende et al., 2014). See Figure 3 for more details. For convenience, we will largely deal with the condition number going forward.
Conditioning is Predictive of Other Quality Metrics:
One reason to be interested in this condition number quantity is that it corresponds strongly to other metrics used to evaluate GAN quality.
We take two existing metrics for GAN performance and measure how they correspond to the average log condition number of the metric tensor. The first measure is the Inception Score (Salimans et al., 2016) and the second measure is the Frechet Inception Distance (Heusel et al., 2017). We test GANs trained on three datasets: MNIST, CIFAR10, and STL10 (LeCun et al., 1998; Krizhevsky, 2009; Coates et al., 2011). On the MNIST dataset, we modify both of these scores to use a pretrained MNIST classifier rather than the Inception classifier. On the CIFAR10 and STL10 datasets, we use the scores as defined. We resized the STL10 dataset to
as has become standard in the literature about GANs. The hyperparameters we use are those from
Radford et al. (2015), except that we modified the generator where appropriate so that the output would be of the right size.We first discuss results on the MNIST dataset. The left column of Figure 1 corresponds to (the same) 10 runs of the GAN training procedure with different random initializations. From top to bottom, the plots show the mean (across the latent space) logcondition number, the classifier score, and the MNIST Frechet Distance. The correspondence between condition number and score is quite strong in both cases. For both the Classifier Score and the Frechet Distance, the 4 runs with the lowest condition number also have the 4 best scores. They also have considerably lower intrarun score variance. Note also that the dark purple run, which transitions over time from being in the illconditioned cluster to the wellconditioned cluster, also transitions between clusters in the score plots. Examples such as this provide evidence for the significance of the correspondence.
We conducted the same experiment on the CIFAR10 and STL10 datasets. The results from these experiments can be seen in the left columns of Figure 12 and Figure 13 respectively. The correspondence between condition number and the other two scores is also strong for these datasets. The main difference is that the failure modes on the larger datasets are more dramatic — in some runs, the Inception Score never goes above 1. For both datasets, however, we can see examples of runs with middling performance according to the score that also have moderate illconditioning: In the CIFAR10 experiments, the light purple run has a score that is in betweeen the “good cluster” and the “bad cluster”, and it also has a condition number that is between these clusters. In the STL10 experiments, both the red and light purple runs exhibit this pattern.
Should we be surprised by this correspondence? We claim that the answer is yes. Both the Frechet Inception Distance and the Inception Score are computed using a pretrained neural network classifier. The average condition number is a firstorder approximation of sensitivity (under the Euclidean metric) that makes no reference at all to this classifier.
Conditioning is Related to Missing Modes:
Both of the scores aim to measure the extent to which the GAN is “missing modes”. The Frechet Inception Distance arguably measures this in a more principled way than does the Inception Score, but both are designed with this pathology in mind. We might wonder whether the observed correspondence is partly due to a relationship between generator conditioning and the missingmodeproblem. As a coarsegrained way to test this, we performed the following computation: Using the same pretrained MNIST classifier that was used to compute the scores in Figure 1
, we drew 360 samples from each of the 10 models trained in that figure and examined the distribution over predicted classes. We then found the class for which each model produced the fewest samples. The illconditioned models often had 0 samples from the least sampled class, and the wellconditioned models were close to uniformly distributed. In fact, the correlation coefficient between the mean log condition number for the model and the number of samples in the model’s least sampled class was
.4 Jacobian Clamping
Given that the conditioning of corresponds to the Inception Score and FID, it is natural to wonder if there is a causal relationship between these quantities. The notion of causality is slippery and causal inference is an active field of research (see Pearl (2009) and Woodward (2005) for overviews from the perspective of computer science and philosophyofscience respectively) so we do not expect to be able to give a fully satisfactory answer to this question. However, we can perform one relatively popular method for inferring causality (Hagmayer et al., 2007; Eberhardt & Scheines, 2007), which is to do an intervention study. Specifically, we can attempt to control the conditioning directly and observe what happens to the relevant scores. In this section we propose a method for accomplishing this control and demonstrate that it both improves the mean scores and reduces variance of the scores across runs. We believe that this result represents an important step toward understanding the GAN training procedure.
Description of the Jacobian Clamping Technique:
The technique we propose here is the simplest technique that we could get working. We tried other more complicated techniques, but they did not perform substantially better. An informal description is as follows: We feed 2 minibatches at a time to the generator. One batch is noise sampled from , the other is identical to the first but with small perturbations added. The size of the perturbations is governed by a hyperparameter . We then take the norm of the change in outputs from batch to batch and divide it by the norm of the change in inputs from batch to batch and apply a penalty if that quotient becomes larger than some chosen hyperparameter or smaller than another hyperparameter . The rough effect of this technique should be to encourage all of the singular values of to lie within for all . See Algorithm 1 for a more formal description.
With respect to the goal of performing an intervention study, Jacobian Clamping is slightly flawed because it does not directly penalize the condition number. Unfortunately, directly penalizing the condition number during training is not straightforward due to issues efficiently estimating the smallest eigenvalue
(Golub & Van Loan, 1996). We choose not to worry about this too much; We are more interested in understanding how the spectrum of influences GAN training than in whether the condition number is precisely the right summary quantity to be thinking about.Jacobian Clamping Improves Mean Score and Reduces Variance of Scores:
In this section we evaluate the effects of using Jacobian Clamping. Our aim here is not to make claims of StateoftheArt scores^{4}^{4}4 We regard these claims as problematic anyway. One issue (among many) is that scores are often reported from a single run, while the improvement in score associated with a given method tends to be of the same scale as the interrun variance in scores. but to provide evidence of a causal relationship between the spectrum of and the scores. Jacobian Clamping directly controls the conditition number of . We show (across 3 standard datasets) that when we implement Jacobian Clamping, the condition number of the generator is decreased, and there is a corresponding improvement in the quality of the scores. This is evidence in favor of the hypothesis that illconditioning of “causes” bad scores.
Specifically, we train the same models as from the previous section using Jacobian Clamping with a of 20, a of 1, and of 1 and hold everything else the same. As in the previous section, we conducted 10 training runs for each dataset. Broadly speaking, the effect of Jacobian Clamping was to prevent the GANs from falling into the illconditioned cluster. This improved the average case performance, but didn’t improve the best case performance. For all 3 datasets, we show terminal log spectra of in Figure 4.
We first discuss the MNIST results. The right column of Figure 1 shows measurements from 10 runs using Jacobian Clamping. As compared to their “unregularized” counterparts in the left column, the runs using Jacobian Clamping all show condition numbers that stop growing early in training. The runs using Jacobian Clamping have scores similar to the best scores achieved by runs without. The scores also show lower intrarun variance for the “regularized runs”.
The story is similar for CIFAR10 and STL10, the results for which can be seen in the right columns of Figures 12 and 13 respectively. For CIFAR10, 9 out of 10 runs using Jacobian Clamping fell into the “good cluster”. The run that scored poorly also had a generator with a high condition number. It is noteworthy that the failure mode we observed was one in which the technique failed to constrain the quotient rather than one in which the quotient was constrained and failure occured anyway. It is also (weak) evidence in favor of the causality hypothesis (in particular, it is evidence against the alternative hypothesis that Jacobian Clamping acts to increase scores in some other way than by constraining the conditioning). For STL10, all runs fell into the good cluster.
It’s worth mentioning how we chose the values of the hyperparameters: For we chose a value of 1 and never changed it because it seemed to work well enough. We then looked at the empirical value of the quotient from Algorithm 1 during training without Jacobian Clamping. We set such that the runs that achieved good scores had mostly lying between those two values. We consider the ability to perform this procedure an advantage of Jacobian Clamping. Most techniques that introduce hyperparameters don’t come bundled with an algorithm to automatically set those hyperparameters.
We have observed that intervening to improve generator conditioning improves generator performance during GAN training. In the supplementary material, we discuss whether this relationship between conditioning and performance holds for all possible generators.
Jacobian Clamping Speeds Up StateoftheArt Models:
One limitation of the experimental results we’ve discussed so far is that they were obtained on a baseline model that does not include modifications that have very recently become popular in the GAN literature. We would like to know how Jacobian Clamping interacts with such modifications as the Wasserstein loss (Arjovsky et al., 2017), the gradient penalty (Gulrajani et al., 2017), and various methods of conditioning the generator on label information (Mirza & Osindero, 2014; Odena et al., 2016). Exhaustively evaluating all of these combinations is outside the scope of this work, so we chose one existing implementation to assess the generality of our findings.
We use the software implementation of a conditional GAN with gradient penalty from https://github.com/igul222/improved_wgan_training as our baseline because this is the model from Gulrajani et al. (2017) that scored the highest. With its default hyperparameters this model has little variance in scores between runs but is quite slow, as it performs 5 discriminator updates per generator update. It would thus be desirable to find a way to achieve the same results with fewer discriminator updates. Loosely following Bellemare et al. (2017), we jointly vary the number of discriminator steps and whether Jacobian Clamping is applied. Using the same hyperparameters as in previous experiments (that is, we made no attempt to tune for score) we find that reducing the number of discriminator updates and adding Jacobian Clamping more than halves the wallclock time with little degradation in score. See Figure 7 for more details.
5 Related Work
GANs and other Deep Generative Models: There has been too much work on GANs to adequately survey it here, so we give an incomplete sketch: One strand attempts to scale GANs up to work on larger datasets of high resolution images with more variability (Denton et al., 2015; Radford et al., 2015; Odena et al., 2016; Zhang et al., 2016; Karras et al., 2017; Miyato & Koyama, 2018; Zhang et al., 2018)
. Yet another focuses on applications such as imagetoimage translation
(Zhu et al., 2017), domain adaptation (Bousmalis et al., 2016), and superresolution
(Ledig et al., 2016). Other work focuses on addressing pathologies of the training procedure (Metz et al., 2016), on making theoretical claims (Arora et al., 2017) or on evaluating trained GANS (Arora & Zhang, 2017). In spectral normalization (Miyato et al., 2018), the largest singular value of the individual layer Jacobians in the discriminator is approximately penalized using the power method (see Golub & Van Loan (1996) for an explanation of this). If Jacobian Clamping is performed with , then it is vaguely similar to performing spectral normalization on the generator. See Goodfellow (2017) for a more full accounting.Geometry and Neural Networks:
Early work on geometry and neural networks includes the Contractive Autoencoder
(Rifai et al., 2011) in which an autoencoder is modified by penalizing norm of the derivatives of its hidden units with respect to its input. Bengio et al. (2012) discuss an interpretation of representation learning as manifold learning. More recently, Kumar et al. (2017)improved semisupervised learning results by enforcing geometric invariances on the classifier and
Pennington et al. (2017) study the spectrum of squared singular values of the inputoutput Jacobian for feedforward classifiers with random weights. Novak et al. (2018) explore the relationship between the norm of that Jacobian and the generalization error of the classifier. In a related vein, three similar papers (Arvanitidis et al., 2017; Chen et al., 2017; Shao et al., 2017) have explicitly studied variational autoencoders through the lens of geometry.Invertible Density Estimators and Adversarial Training: In Grover et al. (2017) and Danihelka et al. (2017), adversarial training is compared to maximum likelihood training of generative image models using an invertible decoder as in Dinh et al. (2014, 2016). They find that the decoder spectrum drops off more quickly when using adversarial training than when using maximum likelihood training. This finding is evidence that illconditioning of the generator is somehow fundamentally coupled with adversarial training techniques. Our work instead studies the variation of the conditioning among many runs of the same GAN training procedure, going on to show that this variation corresponds to the variation in scores and that intervening with Jacobian Clamping dramatically changes this variation. We also find that the illconditioning does not always happen for adversarial training — see Figure 4.
6 Conclusions and Future Work
We studied the dynamics of the generator Jacobian and found that (during training) it generally becomes illconditioned everywhere. We then noted a strong correspondence between the conditioning of the Jacobian and two quantitative metrics for evaluating GANs. By explicitly controlling the conditioning during training through a technique that we call Jacobian Clamping, we were able to improve the two other quantitative measures of GAN performance. We thus provided evidence that there is a causal relationship between the conditioning of GAN generators and the “quality” of the models represented by those GAN generators. We believe this work represents a significant step toward understanding GAN training dynamics.
Acknowledgements
We thank Ben Poole, Luke Metz, Jonathon Shlens, Vincent Dumoulin and Balaji Lakshminarayanan for commenting on earlier drafts. We thank Ishaan Gulrajani for sharing code for a baseline CIFAR10 GAN implementation. We thank Daniel Duckworth for help implementing an efficient Jacobian computation in TensorFlow. We thank Sam Schoenholz, Matt Hoffman, Nic Ford, Jascha SohlDickstein, Justin Gilmer, George Dahl, and Matthew Johnson for helpful discussions regarding the content of this work.
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Appendix A Why Compute the Condition Number?
There are many summary statistics one could compute from the spectrum of the Jacobian. It is not obvious a priori that it makes sense to focus on the ratio of the maximum eigenvalue to the minimum eigenvalue, so here we make some attempt to justify that decision.
If you were to just glance at the spectra figures provided in the main text, using the logdeterminant might seem like a reasonable thing to do. However, we note that (at least for the MNIST experiments) the largest singular values for the ‘well behaved’ runs are distinctly lower than those for the ‘poorly behaved’ ones. This suggests that the conditioning might be more pertinent than the determinant.
Even given that the conditioning is what’s relevant, one could imagine other measures of Jacobian conditioning that less strongly emphasize the extreme singular values. Indeed, computing such quantities would be a useful exercise, and we expect that they would also correlate with GAN performance, but we have kept the condition number because it is simple and wellunderstood. We also feel that the condition number most closely relates to what is being optimized by the Jacobian Clamping procedure.
Appendix B Additional Experimental Results
This section contains results that we have included for the purpose of completeness but which were not necessary for following the narrative of the paper. References to this section can be found in the main text.
b.1 Misbehaving Generators can be WellConditioned
We have observed that intervening to improve generator conditioning improves generator performance during GAN training. We also might like to know whether this relationship holds for all possible generators. Here we provide a counterexample of a deliberately pathological generator (not trained with a GAN loss) which is nonetheless wellconditioned. This suggests that the causal relationship we explore in the main text may relate to the GAN training process, and may not be an absolute property of generators in isolation.
We train a generator using the DCGAN architecture with a latent space of 64 dimensions. Rather than an adversarial loss, we train with an L2 reconstruction loss  in effect, teaching the generator to memorize the training examples it has seen. We select 10,000 examples to memorize: half of them (5,000) are random MNIST digits, and the other half are identical copies of a single MNIST sample (in this case, a four). We then establish a consistent but arbitrary mapping from 10,000 random values to the training examples. The generator is trained with an L2 reconstruction loss to map each memorized value to its associated training example. The generator’s behavior on nonmemorized values is not considered at training time. There is no discriminator involved in this training procedure. Figure 8 shows the generator’s output when provided the values it was trained to associate with specific samples, indicating that it succeeds at memorizing the halfrandom halfidentical data it was trained on.
At evaluation time, we provide random latent vectors, rather than the latent vectors the generator has been trained to memorize. Figure 9 shows the samples that this generator produces at evaluation time. This generator is clearly not wellbehaved: it suffers from mode collapse (i.e. it often reproduces the single four that made up half of its training data) and mode dropping (i.e. even when it produces a novel sample, it usually looks an indistinct four or nine, and seldom looks like any other class). Figure 10 shows the label distribution as measured by a pretrained classifier, confirming that this generator has a severe missing mode problem. This generator’s poor behavior is also confirmed by its scores. Its Classifier Score is 4.95 for memorized values and 2.22 on nonmemorized values. Its Frechet Distance is 118 for memorized values and 240 for nonmemorized values.
Figure 11 shows that this poorlybehaved generator nonetheless has a good condition number. Taken in isolation, the trajectory of this generator’s condition number would suggest that it belongs in the ”good cluster” of Figure 1.
In summary, we demonstrate a generator that is not trained with a GAN loss, with conspicuous mode collapse and mode dropping, which is nonetheless wellconditioned. This suggests that the relationship between generator conditioning and generator performance does not hold for all generators, and suggests that it may instead be a property of GAN training dynamics.


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