面向非独立同分布数据的自适应联邦深度学习算法

张泽辉; 李庆丹; 富瑶; 何宁昕; 高铁杠

doi:10.16383/j.aas.c201018

面向非独立同分布数据的自适应联邦深度学习算法

doi: 10.16383/j.aas.c201018

1.
南开大学软件学院天津 300071

基金项目: 国家科技重大专项基金(2018YFB0204304), 天津市研究生科研创新基金(2019YJSB067)资助

详细信息

作者简介:
张泽辉：南开大学软件学院博士研究生. 2019年获得武汉理工大学硕士学位. 主要研究方向为联邦学习, 故障诊断和智能船舶控制. E-mail: zhangtianxia918@163.com

李庆丹：南开大学软件学院硕士研究生. 主要研究方向为图像加密, 信息安全. E-mail: lqd18812745024@163.com

富瑶：南开大学软件学院硕士研究生. 主要研究方向为云端数据完整性验证, 信息安全. E-mail: fuyao_tj@163.com

何宁昕：南开大学软件学院硕士研究生. 2020年获得河北经贸大学学士学位. 主要研究方向为信息安全, 联邦学习. E-mail: ningxinhe1998@163.com

高铁杠：南开大学软件学院教授. 1991年获华中理工大学应用数学专业硕士学位, 2005年获南开大学博士学位. 主要研究方向为联邦学习, 图像水印, 信息隐藏和云端数据安全. 本文通信作者. E-mail: gaotiegang@nankai.edu.cn

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出版历程
- 收稿日期: 2020-12-08
- 录用日期: 2021-03-19
- 网络出版日期: 2021-06-04
- 刊出日期: 2023-12-27

Adaptive Federated Deep Learning With Non-IID Data

1.
College of Software, Nankai University, Tianjin 300071

Funds: Supported by National Science and Technology Major Project of China (2018YFB0204304) and Tianjin Research Innovation Project for Postgraduate Students (2019YJSB067)

More Information

Author Bio:
ZHANG Ze-Hui　Ph.D. candidate at the College of Software, Nankai University. He received his master degree from Wuhan University of Technology in 2019. His research interest covers federated learning, fault diagnosis and intelligent ship control

LI Qing-Dan　Master student at the College of Software, Nankai University. Her research interest covers image encryption and information security

FU Yao　Master student at the College of Software, Nankai University. Her research interest covers cloud data integrity verification and information security

HE Ning-Xin　Master student at the College of Software, Nankai University. She received her bachelor degree from Hebei University of Economics and Business in 2020. Her research interest covers information security and federated learning

GAO Tie-Gang　Professor at the College of Software, Nankai University. He received his master degree in applied mathematics from Huazhong University of Science and Technology in 1991, and Ph.D. degree from Nankai University in 2005. His research interest covers federated learning, image watermarking, information hiding and cloud data security. Corresponding author of this paper

摘要

摘要: 近些年, 联邦学习(Federated learning, FL)由于能够打破数据壁垒, 实现孤岛数据价值变现, 受到了工业界和学术界的广泛关注. 然而, 在实际工程应用中, 联邦学习存在着数据隐私泄露和模型性能损失的问题. 为此, 首先对这两个问题进行数学描述与分析. 然后, 提出一种自适应模型聚合方案, 该方案能够设定各参与者的Mini-batch值和自适应调整全局模型聚合间隔, 旨在保证模型精度的同时, 提高联邦学习训练效率. 并且, 混沌系统被首次引入联邦学习领域中, 用于构建一种基于混沌系统和同态加密的混合隐私保护方案, 从而进一步提升系统的隐私保护水平. 理论分析与实验结果表明, 提出的联邦学习算法能够保证参与者的数据隐私安全. 并且, 在非独立同分布数据的场景下, 该算法能够在保证模型精度的前提下提高训练效率, 降低系统通信成本, 具备实际工业场景应用的可行性.
- 联邦学习 /
- 深度学习 /
- 隐私保护 /
- 同态加密 /
- 混沌系统
Abstract: In recent years, federated learning (FL) that can break data barriers and realize the value of isolated data, has been received wide-spread attention from industry and academia. However, in real industry applications, federated learning has problems with privacy leakage and model accuracy loss, which is analyzed through mathematical demonstration in this study. To solve the issues, this paper proposes an adaptive global model aggregation scheme that can adaptively set the Mini-batch value of each participant and the global model aggregation interval for the parameter server, which aims to improve the training efficiency while ensuring the accuracy of the model. Moreover, this paper introduces the chaos system into the federated learning field, which is used to construct a hybrid privacy-preserving scheme based on chaos system and homomorphic encryption, thereby further improving the privacy protection level. Theoretical analysis and experimental results show that the proposed approach can guarantee the data privacy security of participants. Moreover, in the non-independent and identically distributed (Non-IID) data scenario, the proposed method can improve the training efficiency and reduce communication cost while ensuring the model accuracy, which is feasible for real industrial applications.
- Federated learning (FL) /
- deep learning /
- privacy-preserving /
- homomorphic encryption /
- chaos system

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图 1 多层神经网络模型

Fig. 1 Multi-layer neural network model

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图 2 不同比例数据泄露的图片

Fig. 2 Images of different proportion data leakage

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图 3 本文所提出的联邦学习系统结构图

Fig. 3 The structure diagram of the proposed federated learning system

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图 4 联邦学习训练过程交互图

Fig. 4 Interaction diagram of the federated learning system

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图 5 加密参数的推理数据图

Fig. 5 Inferring data of the encrypted parameters

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图 6 在CIFAR10上不同联邦学习模型的实验曲线

Fig. 6 Experiment curves of the different federated learning models on CIFAR10

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图 7 在F-MNIST上不同联邦学习模型的实验曲线

Fig. 7 Experiment curves of the different federated learning models on F-MNIST

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图 8 在CIFAR10和F-MNIST数据集的Mini-batch设定消融实验曲线

Fig. 8 Experiment curves of the Mini-batch size setting on CIFAR10 and F-MNIST

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图 9 CIFAR10自适应模型更新间隔消融实验曲线

Fig. 9 Experiment curves of the adaptive model aggregation interval on CIFAR10

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图 10 F-MNIST自适应模型更新间隔消融实验曲线

Fig. 10 Experiment curves of the adaptive model aggregation interval on F-MNIST

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表 1 加密/解密算法的执行时间

Table 1 Execution time of the encryption/ decryption operations

操作类型	500个参数	2000个参数	54000个参数
随机数生成	12.05 ms	25.50 ms	0.40 s
CKKS 加密	9.37 ms	9.68 ms	0.54 s
CKKS 解密	1.56 ms	17.18 ms	0.03 s
CKKS 密文加法	0.15 ms	0.15 ms	0.02 s
Paillier 加密	3.82 s	14.61 s	410.32 s
Paillier 解密	1.06 s	4.22 s	115.92 s
Paillier 密文加法	7.87 ms	30.03 ms	0.87 s

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表 2 加密/解密算法的执行次数

Table 2 Execution numbers of the encryption/ decryption operations

模型更新间隔	50次	80次	100次
$\tau=1$^[18]	7800	12500	15600
$\tau=4$^[16]	1550	2480	3100
$\tau=15$^[33]	500	800	1000

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表 3 不同联邦学习方案的功能分析

Table 3 The functionality analysis of the different FLs

功能	PFL	AFL	MFL	APFL
隐私保护	√	×	×	√
自适应调整$\tau $	×	√	×	√
Mini-batch 设定	×	×	×	√
动量项加速	×	×	√	√

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表 4 CIFAR10上不同联邦学习模型的分类结果(%)

Table 4 Classification results of the different federated learning models on CIFAR10 (%)

方法	准确率	精准率	召回率	Dev_avg	聚合次数
CL	63.36	63.92	63.29	—	—
$ {\rm{FL} }\; (\tau= 15) $^[33]	25.76	9.34	25.87	49.91	250
${\rm{FL} }\; (\tau= 4)$^[16]	27.64	50.14	27.76	45.04	1100
$ {\rm{FL} }\; (\tau= 1) $^[18]	61.78	62.76	61.77	1.91	4400
APFL	63.66	63.49	63.64	2.02	2758

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表 5 F-MNIST上不同联邦学习模型的分类结果(%)

Table 5 Classification results of the different federated learning models on F-MNIST (%)

方法	准确率	精准率	召回率	Dev_avg	聚合次数
CL	90.15	90.07	90.15	—	—
${\rm{FL} }\; (\tau= 15)$^[33]	65.99	62.18	65.99	31.43	350
$ {\rm{FL} }\; (\tau= 4) $^[16]	72.77	65.24	72.77	23.16	1350
${\rm{FL} }\; (\tau= 1)$^[18]	89.10	89.25	89.10	0.88	5250
APFL	89.36	89.30	89.36	0.87	2339

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表 6 CIFAR10下的Mini-batch设定消融实验结果(%)

Table 6 Ablation experiment results of the Mini-batch size setting on CIFAR10 (%)

方法	Accuracy	Precision	Recall	Dev_avg
CL	63.36	63.92	63.29	—
${\rm{FL} }\; (\tau= 15)$^[33]	25.76	9.34	25.87	49.91
${\rm{FL} }\; (\tau= 15)+{\rm{mbs} }$	25.70	9.14	25.78	50.07
${\rm{FL} }\;(\tau= 4)$	27.64	50.14	27.76	45.04
${\rm{FL} }\;(\tau= 4)+{\rm{mbs} }$	63.66	60.93	36.06	32.90
${\rm{FL} }\;(\tau= 1)$^[18]	61.78	62.76	61.77	1.91
${\rm{FL} }\;(\tau= 1)+{\rm{mbs} }$	63.02	64.08	62.27	1.53

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表 7 F-MNIST下的Mini-batch设定消融实验结果(%)

Table 7 Ablation experiment results of the Mini-batch size setting on F-MNIST (%)

方法	Accuracy	Precision	Recall	Dev_avg
CL	90.15	90.07	90.15	—
${\rm{FL} }\; (\tau= 15)$^[33]	65.99	62.18	65.99	31.43
${\rm{FL} }\; (\tau= 15)+{\rm{mbs} }$	69.99	64.29	69.99	26.05
${\rm{FL} }\;(\tau= 4)$	27.76	50.14	27.76	45.04
${\rm{FL} }\;(\tau= 4)+{\rm{mbs} }$	76.23	84.84	76.23	14.85
${\rm{FL} }\;(\tau= 1)$^[18]	89.10	89.25	89.10	0.88
${\rm{FL} }\;(\tau= 1)+{\rm{mbs} }$	89.27	89.25	89.27	0.99

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表 8 CIFAR10下的自适应更新间隔消融实验结果(%)

Table 8 Ablation experiment results of the adaptive model aggregation interval on CIFAR10 (%)

方法	Accuracy	Precision	Recall	Dev_avg	聚合次数
CL	63.36	63.92	63.29	—	—
${\rm{FL} }\; (\tau= 15) $^[33]	25.76	9.34	25.87	49.91	250
${\rm{FL} }\; (\tau= 4) $^[16]	27.64	50.14	27.76	45.04	1100
${\rm{FL} }\; (\tau= 1)$^[18]	61.78	62.76	61.77	1.91	4000
APFL (no mbs)	61.10	62.00	61.36	3.27	1742

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表 9 F-MNIST下的自适应更新间隔消融实验结果(%)

Table 9 Ablation experiment results of the adaptive model aggregation interval on F-MNIST (%)

方法	Accuracy	Precision	Recall	Dev_avg	聚合次数
CL	90.15	90.07	90.15	—	—
${\rm{FL} }\; (\tau= 15) $^[33]	65.99	62.18	65.99	31.43	250
${\rm{FL} }\; (\tau= 4) $^[16]	72.77	65.24	72.77	23.16	1100
${\rm{FL} }\; (\tau= 1) $^[18]	89.10	89.25	89.10	0.88	4400
APFL (no mbs)	89.48	89.42	89.48	0.84	1336

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