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Federated Learning (FL) addresses the challenges posed by data silos, which arise from privacy, security regulations, and ownership concerns. Despite these barriers, FL enables these isolated data repositories to participate in collaborative learning without compromising privacy or security. Concurrently, the advancement of blockchain technology and decentralized applications (DApps) within Web 3.0 heralds a new era of transformative possibilities in web development. As such, incorporating FL into Web 3.0 paves the path for overcoming the limitations of data silos through collaborative learning. However, given the transaction speed constraints of core blockchains such as Ethereum (ETH) and the latency in smart contracts, employing one-shot FL, which minimizes client-server interactions in traditional FL to a single exchange, is considered more apt for Web 3.0 environments. This paper presents a practical one-shot FL system for Web 3.0, termed OFL-W3. OFL-W3 capitalizes on blockchain technology by utilizing smart contracts for managing transactions. Meanwhile, OFL-W3 utilizes the Inter-Planetary File System (IPFS) coupled with Flask communication, to facilitate backend server operations to use existing one-shot FL algorithms. With the integration of the incentive mechanism, OFL-W3 showcases an effective implementation of one-shot FL on Web 3.0, offering valuable insights and future directions for AI combined with Web 3.0 studies., Comment: VLDB 24 demo paper

Traditional Federated Learning (FL) follows a server-dominated cooperation paradigm which narrows the application scenarios of FL and decreases the enthusiasm of data holders to participate. To fully unleash the potential of FL, we advocate rethinking the design of current FL frameworks and extending it to a more generalized concept: Open Federated Learning Platforms, positioned as a crowdsourcing collaborative machine learning infrastructure for all Internet users. We propose two reciprocal cooperation frameworks to achieve this: query-based FL and contract-based FL. In this survey, we conduct a comprehensive review of the feasibility of constructing open FL platforms from both technical and legal perspectives. We begin by reviewing the definition of FL and summarizing its inherent limitations, including server-client coupling, low model reusability, and non-public. In particular, we introduce a novel taxonomy to streamline the analysis of model license compatibility in FL studies that involve batch model reusing methods, including combination, amalgamation, distillation, and generation. This taxonomy provides a feasible solution for identifying the corresponding licenses clauses and facilitates the analysis of potential legal implications and restrictions when reusing models. Through this survey, we uncover the current dilemmas faced by FL and advocate for the development of sustainable open FL platforms. We aim to provide guidance for establishing such platforms in the future while identifying potential limitations that need to be addressed., Comment: Download Appendix from https://github.com/morningD/Towards-Open-Federated-Learning-Platforms-Survey/blob/main/TKDE-Tex/APPENDIX.pdf

The emerging availability of trained machine learning models has put forward the novel concept of Machine Learning Model Market in which one can harness the collective intelligence of multiple well-trained models to improve the performance of the resultant model through one-shot federated learning and ensemble learning in a data-free manner. However, picking the models available in the market for ensemble learning is time-consuming, as using all the models is not always the best approach. It is thus crucial to have an effective ensemble selection strategy that can find a good subset of the base models for the ensemble. Conventional ensemble selection techniques are not applicable, as we do not have access to the local datasets of the parties in the federated learning setting. In this paper, we present a novel Data-Free Diversity-Based method called DeDES to address the ensemble selection problem for models generated by one-shot federated learning in practical applications such as model markets. Experiments showed that our method can achieve both better performance and higher efficiency over 5 datasets and 4 different model structures under the different data-partition strategies.

Federated Learning (FL) enables the multiple participating devices to collaboratively contribute to a global neural network model while keeping the training data locally. Unlike the centralized training setting, the non-IID, imbalanced (statistical heterogeneity) and distribution shifted training data of FL is distributed in the federated network, which will increase the divergences between the local models and the global model, further degrading performance. In this paper, we propose a flexible clustered federated learning (CFL) framework named FlexCFL, in which we 1) group the training of clients based on the similarities between the clients' optimization directions for lower training divergence; 2) implement an efficient newcomer device cold start mechanism for framework scalability and practicality; 3) flexibly migrate clients to meet the challenge of client-level data distribution shift. FlexCFL can achieve improvements by dividing joint optimization into groups of sub-optimization and can strike a balance between accuracy and communication efficiency in the distribution shift environment. The convergence and complexity are analyzed to demonstrate the efficiency of FlexCFL. We also evaluate FlexCFL on several open datasets and made comparisons with related CFL frameworks. The results show that FlexCFL can significantly improve absolute test accuracy by +10.6% on FEMNIST compared to FedAvg, +3.5% on FashionMNIST compared to FedProx, +8.4% on MNIST compared to FeSEM. The experiment results show that FlexCFL is also communication efficient in the distribution shift environment., Comment: Manuscript under review. arXiv admin note: substantial text overlap with arXiv:2010.06870

Federated learning (FL) is an emerging distributed machine learning paradigm that protects privacy and tackles the problem of isolated data islands. At present, there are two main communication strategies of FL: synchronous FL and asynchronous FL. The advantages of synchronous FL are that the model has high precision and fast convergence speed. However, this synchronous communication strategy has the risk that the central server waits too long for the devices, namely, the straggler effect which has a negative impact on some time-critical applications. Asynchronous FL has a natural advantage in mitigating the straggler effect, but there are threats of model quality degradation and server crash. Therefore, we combine the advantages of these two strategies to propose a clustered semi-asynchronous federated learning (CSAFL) framework. We evaluate CSAFL based on four imbalanced federated datasets in a non-IID setting and compare CSAFL to the baseline methods. The experimental results show that CSAFL significantly improves test accuracy by more than +5% on the four datasets compared to TA-FedAvg. In particular, CSAFL improves absolute test accuracy by +34.4% on non-IID FEMNIST compared to TA-FedAvg., Comment: This paper will be presented at IJCNN 2021

Federated Learning (FL) is a novel distributed machine learning which allows thousands of edge devices to train model locally without uploading data concentrically to the server. But since real federated settings are resource-constrained, FL is encountered with systems heterogeneity which causes a lot of stragglers directly and then leads to significantly accuracy reduction indirectly. To solve the problems caused by systems heterogeneity, we introduce a novel self-adaptive federated framework FedSAE which adjusts the training task of devices automatically and selects participants actively to alleviate the performance degradation. In this work, we 1) propose FedSAE which leverages the complete information of devices' historical training tasks to predict the affordable training workloads for each device. In this way, FedSAE can estimate the reliability of each device and self-adaptively adjust the amount of training load per client in each round. 2) combine our framework with Active Learning to self-adaptively select participants. Then the framework accelerates the convergence of the global model. In our framework, the server evaluates devices' value of training based on their training loss. Then the server selects those clients with bigger value for the global model to reduce communication overhead. The experimental result indicates that in a highly heterogeneous system, FedSAE converges faster than FedAvg, the vanilla FL framework. Furthermore, FedSAE outperforms than FedAvg on several federated datasets - FedSAE improves test accuracy by 26.7% and reduces stragglers by 90.3% on average., Comment: This paper will be presented at IJCNN 2021

Federated Learning (FL) enables the multiple participating devices to collaboratively contribute to a global neural network model while keeping the training data locally. Unlike the centralized training setting, the non-IID and imbalanced (statistical heterogeneity) training data of FL is distributed in the federated network, which will increase the divergences between the local models and global model, further degrading performance. In this paper, we propose a novel clustered federated learning (CFL) framework FedGroup, in which we 1) group the training of clients based on the similarities between the clients' optimization directions for high training performance; 2) construct a new data-driven distance measure to improve the efficiency of the client clustering procedure. 3) implement a newcomer device cold start mechanism based on the auxiliary global model for framework scalability and practicality. FedGroup can achieve improvements by dividing joint optimization into groups of sub-optimization and can be combined with FL optimizer FedProx. The convergence and complexity are analyzed to demonstrate the efficiency of our proposed framework. We also evaluate FedGroup and FedGrouProx (combined with FedProx) on several open datasets and made comparisons with related CFL frameworks. The results show that FedGroup can significantly improve absolute test accuracy by +14.1% on FEMNIST compared to FedAvg. +3.4% on Sentiment140 compared to FedProx, +6.9% on MNIST compared to FeSEM., Comment: This work will be presented at IEEE International Symposium on Parallel and Distributed Processing with Applications (ISPA) 2021. NOTE: This revision contains a crucial correction of the client cold start mechanism, please discard all previous manuscripts

Due to the mechanism of recording, the presence of multiple transactions at each recording time becomes a common feature for high-frequency data in financial market. Using random matrix theory, this paper considers the estimation of integrated covariance (ICV) matrices of high-dimensional diffusion processes based on multiple high-frequency observations. We start by studying the estimator, the time-variation adjusted realized covariance (TVA) matrix, proposed in Zheng and Li (2011) without microstructure noise. We show that in the high-dimensional case, for a class C of diffusion processes, the limiting spectral distribution (LSD) of averaged TVA depends not only on that of ICV, but also on the numbers of multiple transactions at each recording time. However, in practice, the observed prices are always contaminated by the market microstructure noise. Thus the limiting behavior of pre-averaging averaged TVA matrices is studied based on the noisy multiple observations. We show that for processes in class C, the pre-averaging averaged TVA has desirable properties that it eliminates the effects of microstructure noise and multiple transactions, and its LSD depends solely on that of the ICV matrix. Further, three types of nonlinear shrinkage estimators of ICV are proposed based on high-frequency noisy multiple observations. Simulation studies support our theoretical results and show the finite sample performance of the proposed estimators. At last, the high-frequency portfolio strategies are evaluated under these estimators in real data analysis.

Federated learning (FL) is a distributed deep learning method which enables multiple participants, such as mobile phones and IoT devices, to contribute a neural network model while their private training data remains in local devices. This distributed approach is promising in the edge computing system where have a large corpus of decentralized data and require high privacy. However, unlike the common training dataset, the data distribution of the edge computing system is imbalanced which will introduce biases in the model training and cause a decrease in accuracy of federated learning applications. In this paper, we demonstrate that the imbalanced distributed training data will cause accuracy degradation in FL. To counter this problem, we build a self-balancing federated learning framework call Astraea, which alleviates the imbalances by 1) Global data distribution based data augmentation, and 2) Mediator based multi-client rescheduling. The proposed framework relieves global imbalance by runtime data augmentation, and for averaging the local imbalance, it creates the mediator to reschedule the training of clients based on Kullback-Leibler divergence (KLD) of their data distribution. Compared with FedAvg, the state-of-the-art FL algorithm, Astraea shows +5.59% and +5.89% improvement of top-1 accuracy on the imbalanced EMNIST and imbalanced CINIC-10 datasets, respectively. Meanwhile, the communication traffic of Astraea can be 82% lower than that of FedAvg., Comment: Published as a conference paper at IEEE 37th International Conference on Computer Design (ICCD) 2019