Sharper Generalization Bounds for Transformer

In this paper, we establish a collection of covering number bounds for linear function classes under various norm constraints on the inputs and matrices. We then combine these results with existing covering number bounds to derive improved estimates and, based on these estimates, develop generalization error bounds for single-layer Transformers. The resulting generalization bounds improve upon several existing results in the literature and, in particular, are independent of the input sequence length. Moreover, our generalization error bound decays at the rate $O(1/\sqrt{n})$, where $n$ denotes the sample size, thereby improving upon existing bounds that scale as $O((\log n)/\sqrt{n})$. Furthermore, our covering number analysis explicitly incorporates rank constraints on the underlying matrix classes, allowing us to characterize how low-rank structures affect the metric entropy and, consequently, the resulting generalization bounds for Transformer architectures.

Understanding why trained Transformers generalize well is a fundamental problem in modern machine learning theory, and complexity-based generalization bounds provide a principled way to study this question. While existing norm-based bounds for Transformers remove the explicit polynomial dependence on the hidden dimension, they typically impose fixed norm constraints specified a priori and can exhibit unfavorable exponential dependence on depth. In this paper, we derive spectrum-adaptive post hoc generalization bounds for multi-layer Transformers. Under layerwise spectral norm control, the bounds are expressed in terms of layerwise Schatten quantities of the query-key, value, and feedforward weight matrices. Since the Schatten indices need not be fixed a priori and can instead be selected after training, separately for each matrix type and layer, the bounds adaptively trade off spectral complexity against the dimension- and depth-dependent factors according to the learned singular-value profiles. Empirical comparisons of BERT-adapted proxies for the leading complexity factors suggest that the proxies induced by our bounds grow more slowly with depth and hidden dimension than the corresponding norm-based proxies. Overall, our results provide a complexity-based perspective on how the spectral structure of trained Transformers is reflected in generalization analyses.

Transformer-based language models exhibit an astonishing capacity to generalize to longer and more difficult problem instances than those seen in training. However, theoretical understanding of this phenomenon still lags behind. Unlike most machine learning models, the generalisation abilities of transformers inherently require considering two axes. On one hand, one must examine in-distribution statistical generalisation, which concerns the ability of a model to broaden a function from training samples to novel samples of the same distribution. On the other hand, given the sequential nature of language data, one must also consider length generalisation, which reflects whether a model trained on inputs of a given length can extrapolate to longer ones. These two notions have mostly been studied separately, leaving open how they interact. In this work, we give a joint treatment of both axes for fixed-precision transformers. We give generalisation guarantees in terms of the parameter sizes of the involved models, as well as the quantization space and the alphabet size that supply the sequences. Finally, we illustrate how the requirements in the sample count and training length trade off. In particular, we find that increasing training length can be exponentially more efficient than increasing the sample size. Experiments support predictions of the theory.