Neural network based modeling and architectures for automatic speech recognition and machine translation

Zeyer, Albert; Ney, Hermann (Thesis advisor); Watanabe, Shinji (Thesis advisor); Leibe, Bastian (Thesis advisor)

Aachen : RWTH Aachen University (2022, 2023)
Dissertation / PhD Thesis

Dissertation, RWTH Aachen University, 2022


Our work aims to advance the field and application of neural networks, to advance sequence-to-sequence architectures by extending and developing new approaches, and to advance training methods. We perform the first comprehensive study of long short-term memory (LSTM) acoustic models and improve over our feed-forward neural network (FFNN) baseline by 16% relative. We are among the first to apply bidirectional LSTMs (BLSTMs) for online recognition. We successfully train convolutional neural network (CNN) models (ResNet and layer-wise context expansion with attention (LACE)) which are competitive with our BLSTM model. We are the first to compare different layer-normalized (LN) LSTM variants, to perform direct and comprehensive studies, and to study the effect on training stability, convergence and variance. We get improvements of 10% relative over the standard LSTM baseline. We further perform a comprehensive study on Transformer models in comparison to LSTMs, and we study Transformer language models and reach state-of-the-art results with 6% relative improvements over the best LSTM. We aim to advance the status quo which is the hybrid neural network (NN)-hidden Markov model (HMM) by investigating alternative sequence-to-sequence architectures such as attention-based encoder-decoder models. We develop state-of-the-art attention-based models for machine translation and speech recognition, operating on byte-pair encoding (BPE) subword labels. With the motivation to introduce monotonicity and potential streaming, we propose a simple local windowed attention variant. We extend this work further through a principled approach of having an explicit latent variable, and introduce latent attention models with hard attention as a special case, which are a novel class of segmental models. We discover the equivalence of segmental and transducer models, and propose a novel class of generalized and extended transducer models, which perform and generalize better than our attention models. We perform a comprehensive study on all existing variants from the literature as special cases of our generalized and extended model and show the effectiveness of our extensions. We observe that training strategies play the most important role in good performance. We investigate training criteria, optimization techniques, learning rate scheduling, pretraining, regularization and data augmentation. We propose novel pretraining schemes for LSTM and end-to-end models, where we grow the depth and width of the neural network. We investigate different types of training variance due to randomness in the training caused by varying random seeds and non-deterministic training algorithms. We are among the first to observe and document the high impact of the number of training epochs. We propose a novel generalized training procedure for hybrid NN-HMMs where we calculate the full sum over all alignments, and we identify connectionist temporal classification (CTC) as a special case of this. We further provide a mathematical analysis of the peaky behavior of CTC, making this the first work to explain the peaky behavior and convergence properties on a mathematical level. We develop large parts of RETURNN as an efficient and flexible software framework including beam search to perform all the experiments. This framework and most of our results and baselines are widely used among the team and beyond. All of our work is published and all code and setups are available online.


  • Department of Computer Science [120000]
  • Chair of Computer Science 6 (Machine Learning and Reasoning) [122010]