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谁训练者 matters:在注册和参与选择偏差下的联邦学习

Who Trains Matters: Federated Learning under Enrollment and Participation Selection Biases

Centre for Brain, Mind and Markets(脑、心智与市场中心);University of Melbourne(墨尔本大学);Parkville, Victoria, Australia(维多利亚州帕克维尔)

Gota Morishita

AI总结:

本文研究了联邦学习中由于注册和参与选择偏差导致的偏差问题,提出FedIPW算法和校正方法,通过逆概率加权和有限信息聚合修正目标群体与训练目标的不匹配。

摘要:

联邦学习(FL)通过分布式客户端的更新训练共享模型,通常隐含假设贡献客户端能代表目标群体。在实践中,这种代表性假设可能在两个阶段失效,导致选择偏差。首先,资格规则如设备限制、软件要求或用户同意决定哪些客户端被注册并参与训练,导致注册偏差。其次,已注册客户端中,用户和系统因素如电池状态、网络状况和本地时间决定哪些客户端参与每次通信轮次,导致参与偏差。尽管现有工作已大致解决轮次级参与偏差,但对群体级注册偏差的关注较少,这可能导致训练目标与目标群体目标的持续不匹配。本文通过双阶段选择模型形式化FL,并推导出FedIPW算法,该算法在标准忽略性和正性假设下恢复目标群体的均值更新。由于非注册客户端的客户端级协变量通常不可用,我们还引入了有限信息聚合校正扩展,利用已知目标群体汇总信息重新加权注册样本,部分修正注册偏差。我们进一步在残差加权误差下提供算法无关的优化分析,并证明不完全选择校正可能导致非消失的偏差地板。最后,合成联邦逻辑回归实验验证了预测的目标不匹配,并显示注册校正在双阶段选择下减少了目标群体误差。

英文摘要:

Federated learning (FL) trains a shared model from updates contributed by distributed clients, often implicitly assuming that contributing clients are representative of the target population. In practice, this representativeness assumption can fail at two distinct stages, inducing selection bias. First, eligibility rules such as device constraints, software requirements, or user consent determine which clients are ever enrolled and reachable for training, inducing \emph{enrollment bias}. Second, among enrolled clients, user and system factors such as battery state, network status, and local time determine which clients participate in each communication round, inducing \emph{participation bias}. Although existing work has largely addressed round-level participation bias, it has paid far less attention to population-level enrollment bias, which can induce a persistent mismatch between the training objective and the target-population objective. We formalize FL under a two-stage selection model and derive \textsc{FedIPW}, an inverse-probability-weighted aggregation scheme that recovers the target-population mean update under standard ignorability and positivity assumptions. Because client-level covariates are often unavailable for non-enrolled clients, we also introduce a limited-information aggregate-calibration extension that uses known target-population summaries to reweight the enrolled sample, partially correcting enrollment bias. We further provide an algorithm-agnostic optimization analysis under residual weighting error and show that incomplete selection correction can induce a non-vanishing bias floor. Finally, experiments on synthetic federated logistic regression validate the predicted objective mismatch and show that enrollment correction reduces target-population error under two-stage selection.

机构、总结、中文摘要均由AI分析而来,可能存在错误,请以论文正文为准。

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