The five priority fixes, in the PNAS draft and propagated to the
long-form document and results documentation:
1. The averaging proposition now proves what it claims: a FIRST-ORDER
cancellation of the multi-parent retention gain under output-mean
inheritance in the rare-item regime (n·p/K << 1), with the convexity
boundary stated (averaging's variance reduction can reduce extinction
outside that regime — the reviewer's argument) and the union
operator's renormalisation + oracle requirement explicit. "Adding
parents cannot help" deleted everywhere.
2. Grounding: g*~=0.05 restated as an operational threshold (equilibrium
smooth in g — no phase transition); m·p floor restated as
1−exp(−m·p) per-batch observation probability with
retention/occupancy/reintroduction distinguished; the deep-tail rule
de-categoricalised (stratified sampling; recombination recovers only
what parents retain).
3. Grounded INHERITANCE (data channel) separated from grounded
EVALUATION (fitness channel) in the society section; retitled to
"complementary contributions"; general joint necessity disclaimed.
Table 1 + v6 ledger updated.
4. Alignment contradiction removed everywhere ("cannot be an alignment
failure" -> the reviewer's formulation); abstract says "remaining
after permutation-and-rescaling alignment"; group = search space,
control recovery != global optimality; "specialisation is merge-safe"
-> "do not treat divergence/specialisation alone as evidence of
incompatibility".
5. Significance headline matched to the bounded evidence; seed-
dependence sensitivity added (per-seed rho stable +0.37..+0.53 for
functional measures, ~0 for geometry, gradient alignment
seed-UNSTABLE −0.11..−0.55 — reported as its own caveat; LOSO ranges
in stats script).
Presentation: review-process meta-language stripped; "exact" reserved
for closed forms ("analytic model" labels); headroom rule qualitative;
directed-sex phrasing per review; ratchet = consequence-level
correspondence; compact results table (Table 2) added. Response letter:
paper/response-to-review-3.md. Both PDFs rebuilt; 151 tests green.
Co-Authored-By: Claude Fable 5 <noreply@anthropic.com>
Claude-Session: https://claude.ai/code/session_01BkRLcc18rwT2Lysu6PbG7v
6.3 KiB
E13 — Real-weight model speciation (the alignment residual, now modulo the full symmetry group)
Claim tested. E12 predicts model speciation analytically: as two lineages diverge, recombination (merging) fails, via Bateson–Dobzhansky–Muller incompatibilities. E13 confirms it in real trained weights, separating the part of the merge barrier that is a mere coordinate artefact (removable by re-coordinating hidden units) from the residual that no alignment can remove — the true reproductive-isolation signal.
E13c hardening (2026 PNAS campaign). Recent work shows symmetry groups richer than permutations
remove more of the barrier between independently trained transformers (arXiv:2606.23607;
neuron-identifiability LMC). We therefore align modulo the full function-preserving unit symmetry
group of a plain ReLU MLP — per-unit positive rescaling (scale canonicalisation, exact) composed
with Git Re-Basin permutation matching (neural/rebasin.py; the sanity gate recovers a permuted
and rescaled copy to exact weight identity). Both residuals are reported: residual (permutation
only) and residual_scale (full group).
Setup. No-BatchNorm MLPs (784–512–512–10) on MNIST. Children forked/trained per condition; weight-average merge; linear-mode-connectivity error barrier before/after alignment; midpoint (merged-model) accuracy recorded alongside. 3 replicates (decomposition/cliff), 4 (emergent). Statistically reproducible (seeded); the alignment itself is deterministic NumPy/scipy.
Results — the decomposition (mean over divergence, reps)
| condition | naive barrier | residual (permutation) | residual (full symmetry group) | merged acc |
|---|---|---|---|---|
shared (same task, shared fork) |
0.000 | 0.000 | 0.000 | 0.964 |
independent (same task, different init) |
0.044 | 0.001 | 0.001 | 0.960 (= parents) |
conflict (contradictory label maps) |
0.502 | 0.502 | 0.497 | 0.037 (inviable) |
independent: the barrier is a coordinate artefact — permutations already remove ~98%, and the full symmetry group confirms (residual 0.001). The aligned merge performs at parent level (0.960): same species, different basis.conflict: permutation+rescaling alignment removes essentially nothing (0.502 → 0.497), and the hybrid is functionally dead (accuracy 0.037). The tested alignment removes the same-task barrier but leaves the conflict-associated barrier largely unchanged — supporting a functional-conflict interpretation without proving optimal alignment (control recovery validates a special case; removable = lower bound, residual = upper bound).- Formal floor (SI note S1,
paper/si-notes.md): for label maps conflicting on massμ(S), any single merged model errs at rate ≥μ(S)/2against at least one parent, under any alignment group and merge operator — hybrid disadvantage is information-theoretic, and endpoints/chord are invariant to all function-preserving transformations.
Results — the isolation cliff (speciation_real_cliff/)
Sweeping the fraction of conflicting classes (residual = full-symmetry alignment; t_div=800):
| conflict fraction | 0.0 | 0.2 | 0.4 | 0.6 | 0.8 | 1.0 |
|---|---|---|---|---|---|---|
| residual barrier | 0.000 | 0.122 | 0.187 | 0.278 | 0.406 | 0.506 |
| merged (hybrid) accuracy | 0.968 | 0.764 | 0.586 | 0.396 | 0.199 | 0.034 |
residual_scale ≈ residual at every point (±0.005): the cliff is functional isolation under the full
symmetry group. Read as hybrid fitness, the merged model's accuracy falls 0.97 → 0.03 — the
real-weight image of E12's compatible → outbreeding depression → hybrid inviability trajectory.
Results — emergent divergence does NOT speciate (speciation_real_emergent/, E13b)
The conflict condition imposes contradiction; a true BDM incompatibility is emergent. Two
pre-registered conditions with no conflicting training signal anywhere: disjoint (child A trains
only on classes 0–4, child B on 5–9) and augment (same labels, inputs rolled ±3 px), swept to
t_div = 3200 (children trained 6.4× longer than the shared base):
- Residual barrier = 0.000 at every divergence, both conditions (naive barrier is 0 too — the children never leave the shared basin).
- The
disjointparents decay to 0.535/0.474 on the full task (each forgets the other's classes), while the merged model holds ≈ 0.955 at every divergence — a sustained ~40-point Fisher–Muller rescue of two catastrophically-forgetting specialists, at zero barrier.augmentshows the same shape (parents 0.65/0.73, merge ≈ 0.90).
Honest conclusion (the pre-registered second reading): in this regime — shared ancestry, same
architecture, compatible tasks, divergence up to 3200 steps — model speciation does not emerge
spontaneously; reproductive isolation requires functional conflict. Trained networks are more
merge-compatible than the biological analogy predicts, and the design rule sharpens: merge freely
across divergently-specialised lineages of shared ancestry — the danger is conflicting conventions,
not specialisation per se. Scope caveat: small MLPs, one fork depth; whether long-horizon
over-specialisation at LLM scale erodes mergeability (as the expert-training-duration literature
suggests, arXiv:2607.11997) is exactly the Phase-3 llm_speciation question.
Positioning
Git Re-Basin / Entezari (barriers as coordinate artefacts), the richer-symmetry LMC results
(2606.23607 and neuron-identifiability, 2026), Frankle (fork instability), Pari 2024 (route don't
fuse), Zhou 2026 / 2601.22285 (predict mergeability from divergence/geometry), 2603.09463
(merge-collapse capacity theory). E13's contribution is the synthesis they lack: a controlled
decomposition where alignment — modulo the full symmetry group — cleanly partitions the merge
barrier into a removable coordinate artefact and a functional reproductive-isolation residual that
rises with task conflict, is absent under compatible specialisation, and carries an
information-theoretic floor. Falsifiers (none triggered): alignment failing on independent
(would invalidate the residual); conflict showing no residual; the richer symmetry group dissolving
the conflict residual (it removed 0.005 of 0.502); emergent conditions showing residual attributable
to alignment failure.