arXiv:2505.19888cs.LG2025-05

用正交变换实现黑盒大模型的联邦学习,兼顾泛化与个性化。

Generalized and Personalized Federated Learning with Black-Box Foundation Models via Orthogonal Transformations

  • 通过客户端独立的正交变换适配黑盒大模型,不修改内部参数。
  • 在数据异构下性能显著优于基线方法,梯度冲突理论受限。
  • 适合需保护数据隐私和模型知识产权的场景,如医疗、金融。

联邦学习(FL)可在保护数据隐私的同时实现分布式模型训练。然而,在非独立同分布(non-IID)环境下同时实现稳健泛化与有效个性化仍是重大挑战。此外,专有基础模型(FMs)的广泛应用带来双重隐私需求:(a) 保护敏感客户端数据,(b) 保护服务器宝贵知识产权,这要求严格黑盒访问。为应对这些多维度挑战,我们提出FedOT,一种专为黑盒基础模型优化的新型联邦学习框架。FedOT采用共享全局任务相关分类器,并通过客户端特定的正交变换对外部模型嵌入进行本地适配。该架构天然保证基础模型内部参数不可见且未被修改。通过强制正交性,FedOT有效缓解了不同客户端间的梯度冲突,其影响被理论约束,同时保持了基础模型表示的语义完整性,在显著数据异构条件下实现稳健性能。全局与局部参数的协同作用最优平衡了泛化与个性化,在多个基准上显著优于基线方法。大量实证分析,包括严格的多种子验证与可扩展性评估,证实了FedOT的鲁棒性、高效性与优越性能。

原文摘要 · Abstract (English)

Federated Learning (FL) facilitates decentralized model training while preserving data privacy. However, achieving both robust generalization and effective personalization simultaneously in heterogeneous (non-IID) environments remains a formidable challenge. Furthermore, the widespread adoption of proprietary Foundation Models (FMs) introduces a critical requirement for dual privacy: (a) protecting sensitive client data and (b) securing the server's valuable intellectual property. This mandates strictly black-box access to the FM. To address these multifaceted challenges, we introduce FedOT, a novel FL framework optimized for black-box FMs. FedOT employs a shared global task-dependent classifier while facilitating local adaptation through client-specific orthogonal transformations applied externally to the FM embeddings. This architecture inherently guarantees that the FM's internal parameters remain inaccessible and unmodified. By enforcing orthogonality, FedOT effectively mitigates gradient conflicts across diverse clients, which is theoretically bounded, preserves the semantic integrity of the FM representations, and achieves robust performance under significant data heterogeneity. The synergy of global and local parameters optimally balances generalization and personalization, markedly outperforming baseline FL methods across diverse benchmarks. Extensive empirical analysis, including rigorous multi-seed validation and scalability assessments, substantiates the robustness, efficiency, and superior performance of FedOT.

联邦学习黑盒模型正交变换个性化

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