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Frontiers of Computer Science

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Front. Comput. Sci.    2024, Vol. 18 Issue (6) : 186356    https://doi.org/10.1007/s11704-024-40065-x
Artificial Intelligence
A comprehensive survey of federated transfer learning: challenges, methods and applications
Wei GUO1, Fuzhen ZHUANG1,2(), Xiao ZHANG3(), Yiqi TONG1, Jin DONG4
1. Institute of Artificial Intelligence, Beihang University, Beijing 100191, China
2. SKLSDE, School of Computer Science, Beihang University, Beijing 100191, China
3. School of Computer Science and Technology, Shandong University, Shandong 266237, China
4. Beijing Academy of Blockchain and Edge Computing, Beijing 100080, China
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Abstract

Federated learning (FL) is a novel distributed machine learning paradigm that enables participants to collaboratively train a centralized model with privacy preservation by eliminating the requirement of data sharing. In practice, FL often involves multiple participants and requires the third party to aggregate global information to guide the update of the target participant. Therefore, many FL methods do not work well due to the training and test data of each participant may not be sampled from the same feature space and the same underlying distribution. Meanwhile, the differences in their local devices (system heterogeneity), the continuous influx of online data (incremental data), and labeled data scarcity may further influence the performance of these methods. To solve this problem, federated transfer learning (FTL), which integrates transfer learning (TL) into FL, has attracted the attention of numerous researchers. However, since FL enables a continuous share of knowledge among participants with each communication round while not allowing local data to be accessed by other participants, FTL faces many unique challenges that are not present in TL. In this survey, we focus on categorizing and reviewing the current progress on federated transfer learning, and outlining corresponding solutions and applications. Furthermore, the common setting of FTL scenarios, available datasets, and significant related research are summarized in this survey.

Keywords federated transfer learning      federated learning      transfer learning      survey     
Corresponding Author(s): Fuzhen ZHUANG,Xiao ZHANG   
Just Accepted Date: 24 April 2024   Issue Date: 17 July 2024
 Cite this article:   
Wei GUO,Fuzhen ZHUANG,Xiao ZHANG, et al. A comprehensive survey of federated transfer learning: challenges, methods and applications[J]. Front. Comput. Sci., 2024, 18(6): 186356.
 URL:  
https://academic.hep.com.cn/fcs/EN/10.1007/s11704-024-40065-x
https://academic.hep.com.cn/fcs/EN/Y2024/V18/I6/186356
Fig.1  The overview of FTL
Fig.2  Categorizations of FTL
Symbol Definition Symbol Definition
n Number of instances m Number of domains
k Number of participants kˉ Actual number of participants
z Number of classes l Number of model layers
p Number of servers s Server
u Participant g Global
d Threshold f Decision function
x Feature vector y Label
e Communication round F Device
A Active participant B,C Passive participant
D Domain T Task
X Feature space Y Label space
X Instance space I Sample ID space
Y Label set corresponding to X S Source domain
T Target domain L Labeled instances
U Unlabeled instances L Loss function
R Relationship matrix M Model
E Extractor μ Mean
σ Variance λ Importance variable
δ Tradeoff parameter ρ Interpolation coefficient
Ω Structural risk θ Model parameters
Tab.1  The common notations
Fig.3  The challenges of FTL
Problem categorizationSettingReferenceDataset
HOFTLPrior shiftFixed ratio[2733]CIFAR-10

See cs.toronto.edu/~kriz/cifar.html website.

, CIFAR-100

See cs.toronto.edu/~kriz/cifar.html website.

, MNIST

See kaggle.com/datasets/hojjatk/mnist-dataset website.

, Tiny-Imagenet

See kaggle.com/c/tiny-imagenet website.

, ImageNet

See kaggle.com/c/tiny-imagenet website.

, FEMNIST

See github.com/wenzhu23333/Federated-Learning website.

, OFFICE [34], DIGIT [35], OpenImage [36], WESAD [37], KDD99

See kdd.ics.uci.edu/databases/kddcup99 website.

, SVHN

See ufldl.stanford.edu/housenumbers website.

, HAR

See github.com/xmouyang/FL-Datasets-for-HAR website.

, OFFICE-Caltech 10

See v7labs.com/open-datasets/office-caltech-10 website.

, MIMIC-III

See physionet.org/content/mimiciii-demo/1.4 website.

, Shakespeare [1], DomainNet

See ai.bu.edu/M3SDA website.

, NSL-KDD99

See s.uci.edu/dataset/227/nomao website.

, CINIC10 [38], CelebA [39], StackOverflow [40]
Natural partition[4157]
1 class/participant[37,5860]
> 1 classes/participant[1,48,59,61117]
Dirichlet Distribution[118121,121133], [32,81,93,112,134146]
JensenShannon divergence [147]
Half-normal distribution [47,148]
Log-normal distribution [79]
Covariate shift1 domain/participant[41,65,125,149151], [1,70,76,129,152156], [89,91,96,112,157166]
Mixed domain/participant[167,168]
Feature concept shift1 degree/participant[169]
Label concept shift[89,163]
Quantity shiftNatural[52,54,89,98,159,170,171], [109,114,161,172]
By data source[1,61,125,157]
By parameter[88]
HEFTLFeature space hetergeneityOverlapped feature[37,87,133,173175]CIFAR-10

See cs.toronto.edu/~kriz/cifar.html website.

, CIFAR-100

See cs.toronto.edu/~kriz/cifar.html website.

, MNIST

See kaggle.com/datasets/hojjatk/mnist-dataset website.

, MovieLens [176], ModelNet [177], FEMNIST

See github.com/wenzhu23333/Federated-Learning website.

NUS-WIDE [176]
Non-overlapped feature[176,178181]
Label space heterogeneity
Feature and label space heterogeneity
Tab.2  Data heterogeneity settings of HOFTL and HEFTL
Fig.4  The detailed description of system heterogeneity in FTL. In each round of global communication, due to the resource heterogeneity among the participants, partial participants could not participate in the global aggregation in time, which results in the actual optimization direction of the aggregated model dynamically changing and deviating from the global optimal optimization direction
Fig.5  The detailed description of incremental data in FTL. In each round of global communication, due to the increase in the local user data or class, the local data distribution of participants may change, causing the actual optimization direction of the aggregated model to constantly vary and deviate from the global optimal optimization direction
Fig.6  Data-based and model-based strategies of FTL
ReferenceFTL challengesArchitectureStrategy
DHFTLMAFTLSSFTLUSFTLHOFTLHEFTLHFLVFLCFLDFL
SystemIncrementalPSCSFCSLCSQSFSHLSHFLSH
[27,28,62]IA
[47]IA,MS,FC
[120]IA
[61]IA
[29]IA, KD
[121]IA, FC
[30,58]IS
[197]IS
[198]IS
[123]IS
[149]FA
[176]FA
[172]FA
[125]FA
[126]FM
[199]FM
[200]FM
[173]FC
[167]FC,CR
[37,175]FS
[174,178]FS
[49]FS
[181]FS
[179]FS
[65]FC,MC
[48]FS
[180]FS,MS
[150]FAI
[103]FAI
[201]FAI
[66]FAI,MC
[41]CR
[151]CR
[102]CR,MS
[50]CR,PD
[72]CR,PR
[67]DCR,KD
[128]DCR
[153]DCR
Tab.3  FTL frameworks
ReferenceFTL challengesArchitectureStrategy
DHFTLMAFTLSSFTLUSFTLHOFTLHEFTLHFLVFLCFLDFL
SystemIncrementalPSCSFCSLCSQSFSHLSHFLSH
[69]PS
[154]PS
[68,117]PS,PD
[202]PR
[75,77,78,130,131]PR
[74,76]PR
[73]PR,MI
[71]PR,MI
[63,79,80,83]PD
[155]PD
[81]PD
[84]PD
[82]PD
[156]PD
[110]PD,MI
[106]PD,MC
[133]PD,KD
[132]PD,PP,MS
[129]PD,PR,MI
[87]PP
[85]PP
[86]PP,MC
[134]PP,KD
[1]MW
[157]MW
[88]MW
[158]MW
[203]MW
[204]MW
[90]MW
[135]MW,CR
[89]MW,CR
[152]MW,PD
[122]MW,MC
[91]MS
[60,92,93,136,148]MS
[51]MS
[52]MS
Tab.4  FTL frameworks (continued)
ReferenceFTL challengesArchitectureStrategy
DHFTLMAFTLSSFTLUSFTLHOFTLHEFTLHFLVFLCFLDFL
SystemIncrementalPSCSFCSLCSQSFSHLSHFLSH
[53,55,95,97,137], [100,101,147]MS
[96]MS
[54,99]MS
[56]MS
[205]MS
[108,162,206]MS
[94]MS,MW
[98]MS,MW
[111]MS,MC
[42,45,46,59,64,127]MC
[43]MC
[169]MC
[160,168]MC
[170]MC
[145]MC
[159]MC
[107]MC
[171]MC
[207]MC
[109,161]MC
[44,104]MC,MI
[105]MC,KD
[112]MI
[31]MI
[116]MI
[163]KD
[32,119,138140], [33,57,141]KD
[113,115,144,166]KD
[164]KD
[124]KD
[114]KD
[118,142,143]KD
[165]KD
[146]KD
Tab.5  FTL frameworks (continued)
  
  
  
  
  
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