# ECE521 Assignment 3: Neural Networks

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## Objectives:

The purpose of this assignment is to investigate the classification performance of neural networks.
In this assignment, you will gain some experience in training a neural network and will use an
effective way to avoid overfitting. All the implementations need to be done using Python and
TensorFlow. You are encouraged to look up TensorFlow APIs for useful utility functions, at:
https://www.tensorflow.org/api_docs/python/.

General Note:
 Full points are given for complete solutions, including justifying the choices or assumptions
you made to solve each question. Both a written report and your complete source code (as
an appendix and separate files) should be included in the final submission.

 Homework assignments are to be solved in groups of three. You are encouraged to discuss
the assignment with other students, but you must solve it within your own group. Make
sure to be closely involved in all aspects of the assignment. Please indicate the contribution
percentage from each group member at the beginning of your report.

## notMNIST Dataset

The dataset that we will use in this assignment is a permuted version of notMNIST1
, which contains
28-by-28 images of 10 letters (A to J) in different fonts. This dataset has 18720 instances, which
can be divided into different sets for training, validation and testing. The provided file is in .npz
format which is for Python. You can load this file as follows.
1http://yaroslavvb.blogspot.ca/2011/09/notmnist-dataset.html

## 1 NEURAL NETWORKS [25 PT.]

with np.load(“notMNIST.npz”) as data:
Data, Target = data [“images”], data[“labels”]
np.random.seed(521)
randIndx = np.arange(len(Data))
np.random.shuffle(randIndx)
Data = Data[randIndx]/255.
Target = Target[randIndx]
trainData, trainTarget = Data[:15000], Target[:15000]
validData, validTarget = Data[15000:16000], Target[15000:16000]
testData, testTarget = Data[16000:], Target[16000:]

## 1 Neural Networks [25 pt.]

In this part, we use a neural network to classify the letters in the dataset. In all of the tasks,
use ReLU activation functions, a cross-entropy cost function, and a softmax output layer. As an
estimate of the running time, training the following neural networks will not take more than an
hour on an Intel core i7 1.73-GHz CPU with 4 GB of RAM. Because you will be running a few
experiments, it is a good idea to save (“checkpoint”) your model during training at 25%, 50%,
75% and 100% of the training process, to four separate models. The function tf.saver can come in
handy for checkpointing and you may reload your model later for inspection or use.

1.1 Feedforward fully connected neural networks [9 pt.]
Implement a simple neural network with one hidden layer and 1000 hidden units. Train your
neural network on the entire notMNIST training set of ten classes. Because the neural network
loss functions are non-convex, a proper weights initialization scheme is crucial to prevent vanishing
gradient during back-propagation as a result of learning stuck at a plateau at the beginning of the
training. You will use the Xavier initialization to initialize the weight matrices for all the neural
networks in this assignment. That is, each weight matrix is initialized from zero-mean independent
Gaussians whose variance is 3/(#input units + #output units). Unlike the weight matrices, the
bias units will be initialized to zero.
1. layer-wise building block: Write a vectorized Tensorflow Python function that takes the

1.2 Effect of hyperparameters [5 pt.] 1 NEURAL NETWORKS [25 PT.]
hidden activations from the previous layer then return the weighted sum of the inputs(i.e. the
z) for the current hidden layer. You will also initialize the weight matrix and the biases in
the same function. You should use Xavier initialization for the weight matrix. Your function
should be able to compute the weighted sum for all the data points in your mini-batch at
once using matrix multiplication. It should not contain loops over the training examples in
the mini-batch. The function should accept two arguments, the input tensor and the number
of the hidden units. Include the snippets of the Python code. [3 pt.]

2. Learning: Use your function from the previous question to build your neural network model
with ReLU activation functions in TensorFlow and tf.nn.relu can be useful. For training your
network, you are supposed to find a reasonable value for your learning rate. You should train
your neural network for different values of learning rate and choose the one that gives you
the fastest convergence in terms of the training loss function. (You might want to “babysit”
your experiments and terminate a particular run prematurely as soon as you find out that
the learning rate value is not very good.)

Trying 3 different values should be enough. You
may also find it useful to apply a small amount of weight decay to prevent overfitting. (e.g.
λ = 3e − 4). On the training set, validation set and test set, record your classification errors
and cross-entropy losses after each epoch. Plot the training, validation, and test classification
error vs. the number of epochs. Make a second plot for the cross-entropy loss vs. the number
of epochs. Comment on your observations. [4 pt.]

3. Early stopping: Early stopping is the simplest procedure to avoid overfitting. Determine
and highlight the early stopping point on the classification error plot from question 1.1.2,
and report the training, validation and test classification error at the early stopping point.
Are the early stopping points the same on the two plots? Why or why not? Which plot
should be used for early stopping, and why? [2 pt.]

1.2 Effect of hyperparameters [5 pt.]
1. Number of hidden units: Instead of using 1000 hidden units, train different neural networks with [100, 500, 1000] hidden units. Find the best validation error for each one. Choose
the model which gives you the best result, and then use it for classifying the test set. Report
the test classification error. In one sentence, summarize your observation about the effect of
the number of hidden units on the final results. [2 pt.]

2. Number of layers: For this task, train a neural network with two hidden layers of 500
hidden units each (1000 total). Plot the training and validation errors (or training and
validation classification errors) vs. the number of epochs. What is the final validation
error (and the validation classification error) when training is complete? Using the test set,
compare this architecture with the one-layer case. [3 pt.]

1.3 Regularization and visualization [7 pt.]
Dropout is a powerful technique to reduce overfitting and to enhance the overall performance of
the neural network. Using the same architecture in Sec. 1.1.

1.4 Exhaustive search for the best set of hyperparameters [4 pt.]1 NEURAL NETWORKS [25 PT.]
1. Dropout: Introduce dropout on the hidden layer of the neural network (with dropout rate
0.5) and train you neural network. As you know, dropout should only be used in the training
procedure, and the “mean network” should be used instead during the evaluation. Plot the
number of training and validation errors (or training and validation classification errors) vs
the number of epochs. Compare the results with the case that we do not have any dropout.
Summarize the observed effect of dropout. (You may want to use the tf.nn.dropout utility
function.) [2 pt.]

2. Visualization: It is generally hard to figure out what the hidden neurons are doing in a
neural network. However, one can visualize the incoming weight vector to each hidden neuron
in the first hidden layer as an image and inspect what that neuron has learnt from the dataset.
For the neural networks we have trained in this assignment, we can visualize the values of
the 28×28 incoming weights of each hidden units in the first layer as a grey-scale image. For
the models trained with and without dropout, checkpoint the model during training at 25%,
50%, 75% and 100% of the early stopping point. For each of the checkpoints, make a figure
visualizing the 1000 neurons in the first hidden layer. Comment on the learning progression
of the hidden neurons, and comment on any difference between the dropout model and the
one without dropout. [5 pt.]

1.4 Exhaustive search for the best set of hyperparameters [4 pt.]
As you have seen in the previous tasks, hyperparameters play a very important role in neural
networks. So, finding the best set of hyperparameters is a critical step toward getting a good
result. The most reliable way is exhaustive search, which is trying many different sets of values
and picking the model with the lowest validation error. However, this procedure is computationally
expensive and it needs to be done with a GPU2
.

A GPU divides a large task into many smaller
ones and assigns them to different cores for parallel processing. Unfortunately, not all of you may
have access to a GPU, but fortunately we can still use the idea of parallel processing. The whole
class can be a GPU or a cluster server, and each student group will be one of its computation
nodes! To achieve this goal, each group will perform some experiments and report their results.
We will compare all the results and let you know the best model and the best test error rate that
can be achieved.

1. Random search: First, try to set the random seeds in Numpy and TensorFlow libraries
differently from other groups. (e.g. seed using the time of your experiments or some combination of your student IDs). Randomly sample the natural log of learning rate uniformly
between -7.5 and -4.5, the number of layers from 1 to 5, the number of hidden units per
layer between 100 and 500, and the natural log of weight decay coefficient uniformly from
the interval [−9, −6]. Also, randomly choose your model to use dropout or not. Using these
hyperparameters, train your neural network and report its validation and test classification
error. Repeat this task for five models, and report their results. [2 pt.]

2. Exchange ideas among the groups : Collaboration is the key ingredient of major scientific
progress and innovation. Advances in the fields of artificial intelligence and machine learning
2http://www.nvidia.ca/object/what-is-gpu-computing.html

1.4 Exhaustive search for the best set of hyperparameters [4 pt.]1 NEURAL NETWORKS [25 PT.]
tend to depend on the rapid sharing of ideas and datasets. You will now exchange and
compare your experimental results and the hyperparameter settings with other groups. (Yes,
this means you will have to talk to other students in the class in person or use Piazza). You
will now use the best hyperparameter you heard from someone who heard from someone else
and report the best test error rate that can be achieved under the hyperparameter space in
this question. Let us hope the wisdom the crowd will converge to a single best model. [2 pt.]