arXiv subjects

Hanlin Gu

Publications and source records attributed to Hanlin Gu.

At least 37 records · Page 2Linked to original sources

arXiv2025

Handling Spatial-Temporal Data Heterogeneity for Federated Continual Learning via Tail Anchor

Federated continual learning (FCL) allows each client to continually update its knowledge from task streams, enhancing the applicability of federated learning in real-world scenarios. However, FCL needs to address not only spatial data heterogeneity between clients but also temporal data heterogeneity between tasks. In this paper, empirical experiments demonstrate that such input-level heterogeneity significantly affects the model's internal parameters and outputs, leading to severe spatial-temporal catastrophic forgetting of local and previous knowledge. To this end, we propose Federated Tail Anchor (FedTA) to mix trainable Tail Anchor with the frozen output features to adjust their position in the feature space, thereby overcoming parameter-forgetting and output-forgetting. Three novel components are also included: Input Enhancement for improving the performance of pre-trained models on downstream tasks; Selective Input Knowledge Fusion for fusion of heterogeneous local knowledge on the server; and Best Global Prototype Selection for finding the best anchor point for each class in the feature space. Extensive experiments demonstrate that FedTA not only outperforms existing FCL methods but also effectively preserves the relative positions of features.

cs.CV↗

arXiv2025

Ten Challenging Problems in Federated Foundation Models

Federated Foundation Models (FedFMs) represent a distributed learning paradigm that fuses general competences of foundation models as well as privacy-preserving capabilities of federated learning. This combination allows the large foundation models and the small local domain models at the remote clients to learn from each other in a teacher-student learning setting. This paper provides a comprehensive summary of the ten challenging problems inherent in FedFMs, encompassing foundational theory, utilization of private data, continual learning, unlearning, Non-IID and graph data, bidirectional knowledge transfer, incentive mechanism design, game mechanism design, model watermarking, and efficiency. The ten challenging problems manifest in five pivotal aspects: ``Foundational Theory," which aims to establish a coherent and unifying theoretical framework for FedFMs. ``Data," addressing the difficulties in leveraging domain-specific knowledge from private data while maintaining privacy; ``Heterogeneity," examining variations in data, model, and computational resources across clients; ``Security and Privacy," focusing on defenses against malicious attacks and model theft; and ``Efficiency," highlighting the need for improvements in training, communication, and parameter efficiency. For each problem, we offer a clear mathematical definition on the objective function, analyze existing methods, and discuss the key challenges and potential solutions. This in-depth exploration aims to advance the theoretical foundations of FedFMs, guide practical implementations, and inspire future research to overcome these obstacles, thereby enabling the robust, efficient, and privacy-preserving FedFMs in various real-world applications.

cs.LG↗

arXiv2025

Ferrari: Federated Feature Unlearning via Optimizing Feature Sensitivity

The advent of Federated Learning (FL) highlights the practical necessity for the right to be forgotten for all clients, allowing them to request data deletion from the machine learning models service provider. This necessity has spurred a growing demand for Federated Unlearning (FU). Feature unlearning has gained considerable attention due to its applications in unlearning sensitive, backdoor, and biased features. Existing methods employ the influence function to achieve feature unlearning, which is impractical for FL as it necessitates the participation of other clients, if not all, in the unlearning process. Furthermore, current research lacks an evaluation of the effectiveness of feature unlearning. To address these limitations, we define feature sensitivity in evaluating feature unlearning according to Lipschitz continuity. This metric characterizes the model outputs rate of change or sensitivity to perturbations in the input feature. We then propose an effective federated feature unlearning framework called Ferrari, which minimizes feature sensitivity. Extensive experimental results and theoretical analysis demonstrate the effectiveness of Ferrari across various feature unlearning scenarios, including sensitive, backdoor, and biased features. The code is publicly available at https://github.com/OngWinKent/Federated-Feature-Unlearning

cs.LG↗

arXiv2024

Disentangling data distribution for Federated Learning

Federated Learning (FL) facilitates collaborative training of a global model whose performance is boosted by private data owned by distributed clients, without compromising data privacy. Yet the wide applicability of FL is hindered by entanglement of data distributions across different clients. This paper demonstrates for the first time that by disentangling data distributions FL can in principle achieve efficiencies comparable to those of distributed systems, requiring only one round of communication. To this end, we propose a novel FedDistr algorithm, which employs stable diffusion models to decouple and recover data distributions. Empirical results on the CIFAR100 and DomainNet datasets show that FedDistr significantly enhances model utility and efficiency in both disentangled and near-disentangled scenarios while ensuring privacy, outperforming traditional federated learning methods.

cs.DC↗

arXiv2024

Low driving-force stable bending cooling via fatigue-resistant hierarchical NiTi shape memory alloy

Elastocaloric cooling with shape memory alloys (SMAs) is emerging as a promising candidate for next-generation, environmentally friendly refrigeration. However, its development is hindered by the large driving force and low efficiency associated with uniaxial loading modes. In response, we present an innovative elastocaloric air cooling approach that utilizes the bending of NiTi beams, offering a low-force and energy-efficient solution. We achieve a continuous maximum temperature drop of 0.91 K and a dissipated energy of 15.1 N mm at a low specific driving force of 220 N. Notably, the specimen achieves over 5 million cycles under a maximum surface tensile strain of 1.94% for macroscopic cyclic bending, via a pre-strained, warm laser shock peening (pw-LSP) method. This unprecedented fatigue resistance originates from the formation of a hierarchical microstructure and a large compressive residual stress of over 1 GPa. This work demonstrates the great potential of bending induced elastocaloric cooling in the near future.

cond-mat.mtrl-sci↗

arXiv2024

FedMKT: Federated Mutual Knowledge Transfer for Large and Small Language Models

Recent research in federated large language models (LLMs) has primarily focused on enabling clients to fine-tune their locally deployed homogeneous LLMs collaboratively or on transferring knowledge from server-based LLMs to small language models (SLMs) at downstream clients. However, a significant gap remains in the simultaneous mutual enhancement of both the server's LLM and clients' SLMs. To bridge this gap, we propose FedMKT, a parameter-efficient federated mutual knowledge transfer framework for large and small language models. This framework is designed to adaptively transfer knowledge from the server's LLM to clients' SLMs while concurrently enriching the LLM with clients' unique domain insights. We facilitate token alignment using minimum edit distance (MinED) and then selective mutual knowledge transfer between client-side SLMs and a server-side LLM, aiming to collectively enhance their performance. Through extensive experiments across three distinct scenarios, we evaluate the effectiveness of FedMKT using various public LLMs and SLMs on a range of NLP text generation tasks. Empirical results demonstrate that FedMKT simultaneously boosts the performance of both LLMs and SLMs.

cs.CL↗

arXiv2024

Diffusion-Driven Data Replay: A Novel Approach to Combat Forgetting in Federated Class Continual Learning

Federated Class Continual Learning (FCCL) merges the challenges of distributed client learning with the need for seamless adaptation to new classes without forgetting old ones. The key challenge in FCCL is catastrophic forgetting, an issue that has been explored to some extent in Continual Learning (CL). However, due to privacy preservation requirements, some conventional methods, such as experience replay, are not directly applicable to FCCL. Existing FCCL methods mitigate forgetting by generating historical data through federated training of GANs or data-free knowledge distillation. However, these approaches often suffer from unstable training of generators or low-quality generated data, limiting their guidance for the model. To address this challenge, we propose a novel method of data replay based on diffusion models. Instead of training a diffusion model, we employ a pre-trained conditional diffusion model to reverse-engineer each class, searching the corresponding input conditions for each class within the model's input space, significantly reducing computational resources and time consumption while ensuring effective generation. Furthermore, we enhance the classifier's domain generalization ability on generated and real data through contrastive learning, indirectly improving the representational capability of generated data for real data. Comprehensive experiments demonstrate that our method significantly outperforms existing baselines. Code is available at https://github.com/jinglin-liang/DDDR.

cs.LG↗

arXiv2024

FedAdOb: Privacy-Preserving Federated Deep Learning with Adaptive Obfuscation

Federated learning (FL) has emerged as a collaborative approach that allows multiple clients to jointly learn a machine learning model without sharing their private data. The concern about privacy leakage, albeit demonstrated under specific conditions, has triggered numerous follow-up research in designing powerful attacking methods and effective defending mechanisms aiming to thwart these attacking methods. Nevertheless, privacy-preserving mechanisms employed in these defending methods invariably lead to compromised model performances due to a fixed obfuscation applied to private data or gradients. In this article, we, therefore, propose a novel adaptive obfuscation mechanism, coined FedAdOb, to protect private data without yielding original model performances. Technically, FedAdOb utilizes passport-based adaptive obfuscation to ensure data privacy in both horizontal and vertical federated learning settings. The privacy-preserving capabilities of FedAdOb, specifically with regard to private features and labels, are theoretically proven through Theorems 1 and 2. Furthermore, extensive experimental evaluations conducted on various datasets and network architectures demonstrate the effectiveness of FedAdOb by manifesting its superior trade-off between privacy preservation and model performance, surpassing existing methods.

cs.CR↗

arXiv2024

Federated Domain-Specific Knowledge Transfer on Large Language Models Using Synthetic Data

As large language models (LLMs) demonstrate unparalleled performance and generalization ability, LLMs are widely used and integrated into various applications. When it comes to sensitive domains, as commonly described in federated learning scenarios, directly using external LLMs on private data is strictly prohibited by stringent data security and privacy regulations. For local clients, the utilization of LLMs to improve the domain-specific small language models (SLMs), characterized by limited computational resources and domain-specific data, has attracted considerable research attention. By observing that LLMs can empower domain-specific SLMs, existing methods predominantly concentrate on leveraging the public data or LLMs to generate more data to transfer knowledge from LLMs to SLMs. However, due to the discrepancies between LLMs' generated data and clients' domain-specific data, these methods cannot yield substantial improvements in the domain-specific tasks. In this paper, we introduce a Federated Domain-specific Knowledge Transfer (FDKT) framework, which enables domain-specific knowledge transfer from LLMs to SLMs while preserving clients' data privacy. The core insight is to leverage LLMs to augment data based on domain-specific few-shot demonstrations, which are synthesized from private domain data using differential privacy. Such synthetic samples share similar data distribution with clients' private data and allow the server LLM to generate particular knowledge to improve clients' SLMs. The extensive experimental results demonstrate that the proposed FDKT framework consistently and greatly improves SLMs' task performance by around 5\% with a privacy budget of less than 10, compared to local training on private data.

cs.CR↗

arXiv2024

Grounding Foundation Models through Federated Transfer Learning: A General Framework

Foundation Models (FMs) such as GPT-4 encoded with vast knowledge and powerful emergent abilities have achieved remarkable success in various natural language processing and computer vision tasks. Grounding FMs by adapting them to domain-specific tasks or augmenting them with domain-specific knowledge enables us to exploit the full potential of FMs. However, grounding FMs faces several challenges, stemming primarily from constrained computing resources, data privacy, model heterogeneity, and model ownership. Federated Transfer Learning (FTL), the combination of federated learning and transfer learning, provides promising solutions to address these challenges. In recent years, the need for grounding FMs leveraging FTL, coined FTL-FM, has arisen strongly in both academia and industry. Motivated by the strong growth in FTL-FM research and the potential impact of FTL-FM on industrial applications, we propose an FTL-FM framework that formulates problems of grounding FMs in the federated learning setting, construct a detailed taxonomy based on the FTL-FM framework to categorize state-of-the-art FTL-FM works, and comprehensively overview FTL-FM works based on the proposed taxonomy. We also establish correspondences between FTL-FM and conventional phases of adapting FM so that FM practitioners can align their research works with FTL-FM. In addition, we overview advanced efficiency-improving and privacy-preserving techniques because efficiency and privacy are critical concerns in FTL-FM. Last, we discuss opportunities and future research directions of FTL-FM.

cs.LG↗

arXiv2024

FedTracker: Furnishing Ownership Verification and Traceability for Federated Learning Model

Federated learning (FL) is a distributed machine learning paradigm allowing multiple clients to collaboratively train a global model without sharing their local data. However, FL entails exposing the model to various participants. This poses a risk of unauthorized model distribution or resale by the malicious client, compromising the intellectual property rights of the FL group. To deter such misbehavior, it is essential to establish a mechanism for verifying the ownership of the model and as well tracing its origin to the leaker among the FL participants. In this paper, we present FedTracker, the first FL model protection framework that provides both ownership verification and traceability. FedTracker adopts a bi-level protection scheme consisting of global watermark mechanism and local fingerprint mechanism. The former authenticates the ownership of the global model, while the latter identifies which client the model is derived from. FedTracker leverages Continual Learning (CL) principles to embed the watermark in a way that preserves the utility of the FL model on both primitive task and watermark task. FedTracker also devises a novel metric to better discriminate different fingerprints. Experimental results show FedTracker is effective in ownership verification, traceability, and maintains good fidelity and robustness against various watermark removal attacks.

cs.CR↗

arXiv2024

FedPDD: A Privacy-preserving Double Distillation Framework for Cross-silo Federated Recommendation

Cross-platform recommendation aims to improve recommendation accuracy by gathering heterogeneous features from different platforms. However, such cross-silo collaborations between platforms are restricted by increasingly stringent privacy protection regulations, thus data cannot be aggregated for training. Federated learning (FL) is a practical solution to deal with the data silo problem in recommendation scenarios. Existing cross-silo FL methods transmit model information to collaboratively build a global model by leveraging the data of overlapped users. However, in reality, the number of overlapped users is often very small, thus largely limiting the performance of such approaches. Moreover, transmitting model information during training requires high communication costs and may cause serious privacy leakage. In this paper, we propose a novel privacy-preserving double distillation framework named FedPDD for cross-silo federated recommendation, which efficiently transfers knowledge when overlapped users are limited. Specifically, our double distillation strategy enables local models to learn not only explicit knowledge from the other party but also implicit knowledge from its past predictions. Moreover, to ensure privacy and high efficiency, we employ an offline training scheme to reduce communication needs and privacy leakage risk. In addition, we adopt differential privacy to further protect the transmitted information. The experiments on two real-world recommendation datasets, HetRec-MovieLens and Criteo, demonstrate the effectiveness of FedPDD compared to the state-of-the-art approaches.

cs.IR↗

arXiv2024

A Theoretical Analysis of Efficiency Constrained Utility-Privacy Bi-Objective Optimization in Federated Learning

Federated learning (FL) enables multiple clients to collaboratively learn a shared model without sharing their individual data. Concerns about utility, privacy, and training efficiency in FL have garnered significant research attention. Differential privacy has emerged as a prevalent technique in FL, safeguarding the privacy of individual user data while impacting utility and training efficiency. Within Differential Privacy Federated Learning (DPFL), previous studies have primarily focused on the utility-privacy trade-off, neglecting training efficiency, which is crucial for timely completion. Moreover, differential privacy achieves privacy by introducing controlled randomness (noise) on selected clients in each communication round. Previous work has mainly examined the impact of noise level ($σ$) and communication rounds ($T$) on the privacy-utility dynamic, overlooking other influential factors like the sample ratio ($q$, the proportion of selected clients). This paper systematically formulates an efficiency-constrained utility-privacy bi-objective optimization problem in DPFL, focusing on $σ$, $T$, and $q$. We provide a comprehensive theoretical analysis, yielding analytical solutions for the Pareto front. Extensive empirical experiments verify the validity and efficacy of our analysis, offering valuable guidance for low-cost parameter design in DPFL.

cs.LG↗

arXiv2023

A Communication Theory Perspective on Prompting Engineering Methods for Large Language Models

The springing up of Large Language Models (LLMs) has shifted the community from single-task-orientated natural language processing (NLP) research to a holistic end-to-end multi-task learning paradigm. Along this line of research endeavors in the area, LLM-based prompting methods have attracted much attention, partially due to the technological advantages brought by prompt engineering (PE) as well as the underlying NLP principles disclosed by various prompting methods. Traditional supervised learning usually requires training a model based on labeled data and then making predictions. In contrast, PE methods directly use the powerful capabilities of existing LLMs (i.e., GPT-3 and GPT-4) via composing appropriate prompts, especially under few-shot or zero-shot scenarios. Facing the abundance of studies related to the prompting and the ever-evolving nature of this field, this article aims to (i) illustrate a novel perspective to review existing PE methods, within the well-established communication theory framework; (ii) facilitate a better/deeper understanding of developing trends of existing PE methods used in four typical tasks; (iii) shed light on promising research directions for future PE methods.

cs.CL↗

arXiv2023

Temporal Gradient Inversion Attacks with Robust Optimization

Federated Learning (FL) has emerged as a promising approach for collaborative model training without sharing private data. However, privacy concerns regarding information exchanged during FL have received significant research attention. Gradient Inversion Attacks (GIAs) have been proposed to reconstruct the private data retained by local clients from the exchanged gradients. While recovering private data, the data dimensions and the model complexity increase, which thwart data reconstruction by GIAs. Existing methods adopt prior knowledge about private data to overcome those challenges. In this paper, we first observe that GIAs with gradients from a single iteration fail to reconstruct private data due to insufficient dimensions of leaked gradients, complex model architectures, and invalid gradient information. We investigate a Temporal Gradient Inversion Attack with a Robust Optimization framework, called TGIAs-RO, which recovers private data without any prior knowledge by leveraging multiple temporal gradients. To eliminate the negative impacts of outliers, e.g., invalid gradients for collaborative optimization, robust statistics are proposed. Theoretical guarantees on the recovery performance and robustness of TGIAs-RO against invalid gradients are also provided. Extensive empirical results on MNIST, CIFAR10, ImageNet and Reuters 21578 datasets show that the proposed TGIAs-RO with 10 temporal gradients improves reconstruction performance compared to state-of-the-art methods, even for large batch sizes (up to 128), complex models like ResNet18, and large datasets like ImageNet (224*224 pixels). Furthermore, the proposed attack method inspires further exploration of privacy-preserving methods in the context of FL.

cs.LG↗

arXiv2023

FedZKP: Federated Model Ownership Verification with Zero-knowledge Proof

Federated learning (FL) allows multiple parties to cooperatively learn a federated model without sharing private data with each other. The need of protecting such federated models from being plagiarized or misused, therefore, motivates us to propose a provable secure model ownership verification scheme using zero-knowledge proof, named FedZKP. It is shown that the FedZKP scheme without disclosing credentials is guaranteed to defeat a variety of existing and potential attacks. Both theoretical analysis and empirical studies demonstrate the security of FedZKP in the sense that the probability for attackers to breach the proposed FedZKP is negligible. Moreover, extensive experimental results confirm the fidelity and robustness of our scheme.

cs.CR↗

arXiv2023

FedSOV: Federated Model Secure Ownership Verification with Unforgeable Signature

Federated learning allows multiple parties to collaborate in learning a global model without revealing private data. The high cost of training and the significant value of the global model necessitates the need for ownership verification of federated learning. However, the existing ownership verification schemes in federated learning suffer from several limitations, such as inadequate support for a large number of clients and vulnerability to ambiguity attacks. To address these limitations, we propose a cryptographic signature-based federated learning model ownership verification scheme named FedSOV. FedSOV allows numerous clients to embed their ownership credentials and verify ownership using unforgeable digital signatures. The scheme provides theoretical resistance to ambiguity attacks with the unforgeability of the signature. Experimental results on computer vision and natural language processing tasks demonstrate that FedSOV is an effective federated model ownership verification scheme enhanced with provable cryptographic security.

cs.CR↗

arXiv2023

Optimizing Privacy, Utility and Efficiency in Constrained Multi-Objective Federated Learning

Conventionally, federated learning aims to optimize a single objective, typically the utility. However, for a federated learning system to be trustworthy, it needs to simultaneously satisfy multiple/many objectives, such as maximizing model performance, minimizing privacy leakage and training cost, and being robust to malicious attacks. Multi-Objective Optimization (MOO) aiming to optimize multiple conflicting objectives at the same time is quite suitable for solving the optimization problem of Trustworthy Federated Learning (TFL). In this paper, we unify MOO and TFL by formulating the problem of constrained multi-objective federated learning (CMOFL). Under this formulation, existing MOO algorithms can be adapted to TFL straightforwardly. Different from existing CMOFL works focusing on utility, efficiency, fairness, and robustness, we consider optimizing privacy leakage along with utility loss and training cost, the three primary objectives of a TFL system. We develop two improved CMOFL algorithms based on NSGA-II and PSL, respectively, for effectively and efficiently finding Pareto optimal solutions, and we provide theoretical analysis on their convergence. We design specific measurements of privacy leakage, utility loss, and training cost for three privacy protection mechanisms: Randomization, BatchCrypt (An efficient version of homomorphic encryption), and Sparsification. Empirical experiments conducted under each of the three protection mechanisms demonstrate the effectiveness of our proposed algorithms.

cs.LG↗