Speech signals, whether represented as raw waveforms or extracted features like mel-spectrograms, are inherently sequential. The meaning of speech unfolds over time, and understanding or generating it requires models that can effectively capture temporal dependencies, often spanning long durations. While earlier sections reviewed foundational statistical models, deep learning provides powerful tools specifically designed for sequence modeling, forming the backbone of modern ASR and TTS systems. Feedforward networks, while useful for classification, lack the inherent structure to process variable-length sequences and maintain memory of past events. This section analyzes the architectures explicitly designed to handle sequential data, critical for advanced speech processing.

Recurrent Neural Networks (RNNs)

Recurrent Neural Networks (RNNs) were among the first deep learning architectures designed specifically for sequential data. The defining characteristic of an RNN is its recurrent connection: the output at a given timestep depends not only on the input at that timestep but also on the network's internal state (or "memory") from the previous timestep. This allows the network to retain information about past elements in the sequence.

Consider processing a sequence of audio feature vectors $x = (x_1, x_2, ..., x_T)$ . At each timestep $t$ , the RNN updates its hidden state $h_t$ based on the current input $x_t$ and the previous hidden state $h_{t-1}$ . A typical formulation is:

h_t = \tanh(W_{hh} h_{t-1} + W_{xh} x_t + b_h)

Where $W_{hh}$ and $W_{xh}$ are weight matrices, $b_h$ is a bias vector, and $\tanh$ is a common activation function. The output $y_t$ at timestep $t$ can then be computed based on the hidden state:

y_t = W_{hy} h_t + b_y

A simple RNN processing a sequence, unrolled through time. The hidden state $h_t$ depends on the current input $x_t$ and the previous hidden state $h_{t-1}$ .

While conceptually simple, standard RNNs struggle with learning long-range dependencies. During backpropagation through time (the process used to train RNNs), gradients can either vanish (become extremely small) or explode (become extremely large), making it difficult for the model to learn relationships between elements that are far apart in the sequence. This is a significant limitation for speech, where dependencies can span many frames (e.g., understanding context for disambiguation in ASR, or maintaining consistent prosody in TTS).

Gated RNN Variants: LSTM and GRU

To address the vanishing gradient problem and improve the ability to capture long-term dependencies, gated RNN variants were developed. The most prominent are Long Short-Term Memory (LSTM) and Gated Recurrent Unit (GRU).

Long Short-Term Memory (LSTM)

LSTMs introduce a more complex internal structure compared to simple RNNs. They incorporate a dedicated cell state ( $c_t$ ) alongside the hidden state ( $h_t$ ). Information flow into and out of the cell state, as well as updates to it, are controlled by three primary gates:

Forget Gate: Decides which information to throw away from the cell state.
Input Gate: Decides which new information to store in the cell state.
Output Gate: Decides what part of the cell state to output (combined with the current input and previous hidden state to form the new hidden state $h_t$ ).

These gates are essentially small neural networks (typically with sigmoid or tanh activations) that learn to selectively pass, block, or modify information based on the current input and previous state. This gating mechanism allows LSTMs to maintain relevant information over much longer time scales than simple RNNs.

Diagram of an LSTM cell, highlighting the cell state ( $c_t$ ) and the gates (Forget, Input, Output) that regulate information flow. Actual implementations involve specific matrix operations.

Gated Recurrent Unit (GRU)

GRUs are a newer, slightly simpler alternative to LSTMs. They also use gating mechanisms to control information flow but have only two gates and no separate cell state:

Update Gate: Analogous to the combination of the forget and input gates in LSTM. It decides how much of the previous hidden state to keep and how much of the new candidate hidden state to incorporate.
Reset Gate: Decides how much of the previous hidden state to ignore when computing the candidate hidden state.

GRUs often perform comparably to LSTMs on many tasks, including speech processing, while being computationally slightly less expensive due to their simpler structure. Both LSTMs and GRUs became standard building blocks in ASR acoustic models, language models, and various components of TTS systems before the rise of Transformer architectures.

Attention Mechanisms

While LSTMs and GRUs improved the handling of long sequences, sequence-to-sequence (Seq2Seq) models built with them (often used in ASR and TTS) typically relied on compressing the entire input sequence into a single fixed-size context vector. This vector, representing the "meaning" of the input, was then passed to the decoder to generate the output sequence. This fixed-size vector becomes an information bottleneck, especially for long input sequences common in speech.

Attention mechanisms provide a way to overcome this bottleneck. Instead of relying solely on a single context vector, the decoder is allowed to "attend" to different parts of the entire input sequence at each step of the output generation.

How it works (Conceptual):

At each decoding step $i$ , the decoder computes a set of attention weights or alignment scores based on its current state and all the hidden states of the encoder ( $h_1^{enc}, h_2^{enc}, ..., h_T^{enc}$ ).
These weights indicate how relevant each input timestep is for generating the current output element $y_i$ .
A context vector ( $c_i$ ) is computed as a weighted sum of the encoder hidden states, using the attention weights.
This context vector $c_i$ , specific to the current decoding step, is then used along with the decoder's state and the previous output to predict the current output $y_i$ .

This allows the decoder to dynamically focus on the most relevant parts of the input audio (for ASR) or input text (for TTS) as it generates the output sequence, significantly improving performance, especially for long utterances and complex alignments. Attention became a fundamental component in state-of-the-art encoder-decoder models for both ASR and TTS.

Transformers

The Transformer architecture, introduced initially for machine translation, revolutionized sequence modeling by demonstrating that recurrence is not strictly necessary. Transformers rely entirely on attention mechanisms, specifically self-attention, to model dependencies within the input and output sequences.

Key Components:

Self-Attention: Allows the model to weigh the importance of different words (or audio frames/phonemes) within the same sequence when computing the representation for each element. It calculates relationships between all pairs of elements in the sequence simultaneously.
Multi-Head Attention: Instead of computing attention once, this mechanism runs the self-attention process multiple times in parallel ("heads"). Each head learns different aspects of the relationships within the sequence. The results are then concatenated and linearly transformed.
Positional Encoding: Since the architecture contains no recurrence or convolution, it has no inherent notion of sequence order. Positional encodings (fixed or learned vectors) are added to the input embeddings to provide the model with information about the position of each element in the sequence.
Feed-Forward Networks: Each attention layer is followed by a position-wise feed-forward network, applied independently to each position.
Layer Normalization and Residual Connections: Used throughout the network to stabilize training and improve gradient flow.

Simplified structure of a single Transformer block, showing the Multi-Head Attention and Feed-Forward Network layers, each followed by residual connections and layer normalization.

Advantages:

Parallelizability: Computations within a Transformer layer (especially self-attention) can be performed largely in parallel, leading to significantly faster training times compared to RNNs on suitable hardware (GPUs/TPUs).
Long-Range Dependencies: Self-attention allows direct modeling of dependencies between any two positions in the sequence, regardless of their distance, making it highly effective for capturing long-range context crucial for speech tasks.

Transformers and their variants (like the Conformer, which combines Transformers with convolutions) have become the dominant architecture in state-of-the-art ASR systems (e.g., for acoustic modeling) and TTS systems (e.g., Transformer TTS for acoustic feature prediction). They form the basis for many of the advanced end-to-end models discussed in subsequent chapters.

Understanding these sequential architectures, from the foundational RNNs to the powerful Transformers, is essential. They provide the mechanisms to learn the complex temporal patterns inherent in speech signals and text sequences, enabling the development of sophisticated ASR and TTS systems capable of high performance and natural interaction. The specific ways these architectures are incorporated into end-to-end ASR models (Chapter 2) and advanced TTS models (Chapter 4) will build directly upon these concepts.