Tao Fan

Tao Fan, Yan Kang, Guoqiang Ma et al.

Large Language Models (LLMs), such as ChatGPT, LLaMA, GLM, and PaLM, have exhibited remarkable performances across various tasks in recent years. However, LLMs face two main challenges in real-world applications. One challenge is that training LLMs consumes vast computing resources, preventing LLMs from being adopted by small and medium-sized enterprises with limited computing resources. Another is that training LLM requires a large amount of high-quality data, which are often scattered among enterprises. To address these challenges, we propose FATE-LLM, an industrial-grade federated learning framework for large language models. FATE-LLM (1) facilitates federated learning for large language models (coined FedLLM); (2) promotes efficient training of FedLLM using parameter-efficient fine-tuning methods; (3) protects the intellectual property of LLMs; (4) preserves data privacy during training and inference through privacy-preserving mechanisms. We release the code of FATE-LLM at https://github.com/FederatedAI/FATE-LLM to facilitate the research of FedLLM and enable a broad range of industrial applications.

Yan Kang, Tao Fan, Hanlin Gu et al.

Foundation Models (FMs) such as GPT-4 encoded with vast knowledge and powerful emergent abilities have achieved remarkable success in various natural language processing and computer vision tasks. Grounding FMs by adapting them to domain-specific tasks or augmenting them with domain-specific knowledge enables us to exploit the full potential of FMs. However, grounding FMs faces several challenges, stemming primarily from constrained computing resources, data privacy, model heterogeneity, and model ownership. Federated Transfer Learning (FTL), the combination of federated learning and transfer learning, provides promising solutions to address these challenges. In recent years, the need for grounding FMs leveraging FTL, coined FTL-FM, has arisen strongly in both academia and industry. Motivated by the strong growth in FTL-FM research and the potential impact of FTL-FM on industrial applications, we propose an FTL-FM framework that formulates problems of grounding FMs in the federated learning setting, construct a detailed taxonomy based on the FTL-FM framework to categorize state-of-the-art FTL-FM works, and comprehensively overview FTL-FM works based on the proposed taxonomy. We also establish correspondences between FTL-FM and conventional phases of adapting FM so that FM practitioners can align their research works with FTL-FM. In addition, we overview advanced efficiency-improving and privacy-preserving techniques because efficiency and privacy are critical concerns in FTL-FM. Last, we discuss opportunities and future research directions of FTL-FM.

Shu Zhou, Rui Ling, Junan Chen et al.

Scaling test-time compute through extended chains of thought has become a dominant paradigm for improving large language model reasoning. However, existing research implicitly assumes that longer thinking always yields better results. This assumption remains largely unexamined. We systematically investigate how the marginal utility of additional reasoning tokens changes as compute budgets increase. We find that marginal returns diminish substantially at higher budgets and that models exhibit ``overthinking'', where extended reasoning is associated with abandoning previously correct answers. Furthermore, we show that optimal thinking length varies across problem difficulty, suggesting that uniform compute allocation is suboptimal. Our cost-aware evaluation framework reveals that stopping at moderate budgets can reduce computation significantly while maintaining comparable accuracy.

Haochen Shi, Tianshi Zheng, Weiqi Wang et al.

Large Language Model (LLM) routing is a pivotal technique for navigating a diverse landscape of LLMs, aiming to select the best-performing LLMs tailored to the domains of user queries, while managing computational resources. However, current routing approaches often face limitations in scalability when dealing with a large pool of specialized LLMs, or in their adaptability to extending model scope and evolving capability domains. To overcome those challenges, we propose InferenceDynamics, a flexible and scalable multi-dimensional routing framework by modeling the capability and knowledge of models. We operate it on our comprehensive dataset RouteMix, and demonstrate its effectiveness and generalizability in group-level routing using modern benchmarks including MMLU-Pro, GPQA, BigGenBench, and LiveBench, showcasing its ability to identify and leverage top-performing models for given tasks, leading to superior outcomes with efficient resource utilization. The broader adoption of Inference Dynamics can empower users to harness the full specialized potential of the LLM ecosystem, and our code will be made publicly available to encourage further research.

Tao Fan, Guoqiang Ma, Yuanfeng Song et al.

Compressing Large Language Models (LLMs) into task-specific Small Language Models (SLMs) encounters two significant challenges: safeguarding domain-specific knowledge privacy and managing limited resources. To tackle these challenges, we propose PPC-GPT, a novel unified framework that systematically addresses both privacy preservation and model compression in federated settings. PPC-GPT works on a server-client federated architecture, where the client sends differentially private (DP) perturbed task-specific data to the server's LLM. The LLM then generates synthetic data along with their corresponding rationales. This synthetic data is subsequently used for both LLM pruning and retraining processes. Our framework's key innovation lies in its holistic integration of privacy-preserving mechanisms, synthetic data generation, and task-specific compression techniques, creating unique benefits through component interaction. Our experiments across diverse text generation tasks demonstrate that PPC-GPT successfully achieves dual objectives: maintaining competitive performance comparable to full-sized LLMs while ensuring robust privacy protection through its federated architecture. Our code has been contributed to the FATE open-source project and is now publicly accessible at \textit{https://github.com/FederatedAI/FATE-LLM/tree/main/python/fate_llm/algo/ppc-gpt}

Wei Guo, Siyuan Lu, Yiqi Tong et al.

Different from existing federated fine-tuning (FFT) methods for foundation models, hybrid heterogeneous federated fine-tuning (HHFFT) is an under-explored scenario where clients exhibit double heterogeneity in model architectures and downstream tasks. This hybrid heterogeneity introduces two significant challenges: 1) heterogeneous matrix aggregation, where clients adopt different large-scale foundation models based on their task requirements and resource limitations, leading to dimensional mismatches during LoRA parameter aggregation; and 2) multi-task knowledge interference, where local shared parameters, trained with both task-shared and task-specific knowledge, cannot ensure only task-shared knowledge is transferred between clients. To address these challenges, we propose H2Tune, a federated foundation model fine-tuning with hybrid heterogeneity. Our framework H2Tune consists of three key components: (i) sparsified triple matrix decomposition to align hidden dimensions across clients through constructing rank-consistent middle matrices, with adaptive sparsification based on client resources; (ii) relation-guided matrix layer alignment to handle heterogeneous layer structures and representation capabilities; and (iii) alternating task-knowledge disentanglement mechanism to decouple shared and specific knowledge of local model parameters through alternating optimization. Theoretical analysis proves a convergence rate of O(1/\sqrt{T}). Extensive experiments show our method achieves up to 15.4% accuracy improvement compared to state-of-the-art baselines. Our code is available at https://anonymous.4open.science/r/H2Tune-1407.

Tao Fan, Weijing Chen, Yan Kang et al.

Large Language Models (LLMs) have emerged as a transformative force in artificial intelligence, demonstrating exceptional proficiency across various tasks. However, their deployment in resource-constrained environments and concerns over user data privacy pose significant challenges. In contrast, Small Language Models (SLMs) offer computational efficiency but often lag in performance. To address these issues, we propose FedCoT, a federated framework designed for the Chain-of-Thought (CoT) distillation of knowledge from LLMs to SLMs, while ensuring the preservation of clients' data privacy. FedCoT ensures secure and efficient knowledge transfer from an LLM on a high-powered server to an SLM on a resource-constrained client, while adhering to privacy requirements. Leveraging perturbed prompts and rationales generated through the CoT approach, the framework enhances the performance of the client's SLM without compromising user data privacy within a multi-task learning framework. We propose two privacy protection strategies: the Exponential Mechanism Strategy and the Adaptive Exponential Mechanism Strategy, which balance user prompt privacy and the usability of rationales. Empirical evaluation on various text generation tasks demonstrates the effectiveness of FedCoT in training task-specific SLMs with enhanced performance while prioritizing data privacy protection. Our code has been contributed to the FATE open-source project and is now publicly accessible at \textit{https://github.com/FederatedAI/FATE-LLM/tree/main/python/fate_llm/algo/fedcot}

Tao Fan, Guoqiang Ma, Yuanfeng Song et al.

Federated fine-tuning of Large Language Models (LLMs) is obstructed by a trilemma of challenges: protecting LLMs intellectual property (IP), ensuring client privacy, and mitigating performance loss on heterogeneous data. Existing methods like Offsite-Tuning (OT) secure the LLMs IP by having clients train only lightweight adapters, yet our analysis reveals they suffer from a fundamental performance bottleneck, leaving a significant gap compared to centralized training. To bridge this gap, we introduce FedProxy, a new federated adaptation framework. FedProxy replaces weak adapters with a unified, powerful Proxy Small Language Model (SLM), compressed from the proprietary LLM, to serve as a high-fidelity surrogate for collaborative fine-tuning. Our framework systematically resolves the trilemma through a three-stage architecture: (i) Efficient Representation via server-guided compression to create a resource-friendly proxy; (ii) Robust Optimization through an interference-mitigating aggregation strategy to handle data heterogeneity; and (iii) Effortless Fusion via a training-free "plug-in" mechanism to integrate learned knowledge back into the LLM. Experiments show FedProxy significantly outperforms OT methods and approaches centralized performance, establishing a new benchmark for secure and high-performance federated LLM adaptation.

Tao Fan, Hanlin Gu, Xuemei Cao et al.

Federated Foundation Models (FedFMs) represent a distributed learning paradigm that fuses general competences of foundation models as well as privacy-preserving capabilities of federated learning. This combination allows the large foundation models and the small local domain models at the remote clients to learn from each other in a teacher-student learning setting. This paper provides a comprehensive summary of the ten challenging problems inherent in FedFMs, encompassing foundational theory, utilization of private data, continual learning, unlearning, Non-IID and graph data, bidirectional knowledge transfer, incentive mechanism design, game mechanism design, model watermarking, and efficiency. The ten challenging problems manifest in five pivotal aspects: ``Foundational Theory," which aims to establish a coherent and unifying theoretical framework for FedFMs. ``Data," addressing the difficulties in leveraging domain-specific knowledge from private data while maintaining privacy; ``Heterogeneity," examining variations in data, model, and computational resources across clients; ``Security and Privacy," focusing on defenses against malicious attacks and model theft; and ``Efficiency," highlighting the need for improvements in training, communication, and parameter efficiency. For each problem, we offer a clear mathematical definition on the objective function, analyze existing methods, and discuss the key challenges and potential solutions. This in-depth exploration aims to advance the theoretical foundations of FedFMs, guide practical implementations, and inspire future research to overcome these obstacles, thereby enabling the robust, efficient, and privacy-preserving FedFMs in various real-world applications.

Tao Fan, Yan Kang, Guoqiang Ma et al.

By adapting Large Language Models (LLMs) to domain-specific tasks or enriching them with domain-specific knowledge, we can fully harness the capabilities of LLMs. Nonetheless, a gap persists in achieving simultaneous mutual enhancement between the server's LLM and the downstream clients' Small Language Models (SLMs). To address this, we propose FedCoLLM, a novel and parameter-efficient federated framework designed for co-tuning LLMs and SLMs. This approach is aimed at adaptively transferring server-side LLMs knowledge to clients' SLMs while simultaneously enriching the LLMs with domain insights from the clients. To accomplish this, FedCoLLM utilizes lightweight adapters in conjunction with SLMs, facilitating knowledge exchange between server and clients in a manner that respects data privacy while also minimizing computational and communication overhead. Our evaluation of FedCoLLM, utilizing various public LLMs and SLMs across a range of NLP text generation tasks, reveals that the performance of clients' SLMs experiences notable improvements with the assistance of the LLMs. Simultaneously, the LLMs enhanced via FedCoLLM achieves comparable performance to that obtained through direct fine-tuning on clients' data.

Baixuan Xu, Chunyang Li, Weiqi Wang et al.

Designing effective collaboration structure for multi-agent LLM systems to enhance collective reasoning is crucial yet remains under-explored. In this paper, we systematically investigate how collaborative reasoning performance is affected by three key design dimensions: (1) Expertise-Domain Alignment, (2) Collaboration Paradigm (structured workflow vs. diversity-driven integration), and (3) System Scale. Our findings reveal that expertise alignment benefits are highly domain-contingent, proving most effective for contextual reasoning tasks. Furthermore, collaboration focused on integrating diverse knowledge consistently outperforms rigid task decomposition. Finally, we empirically explore the impact of scaling the multi-agent system with expertise specialization and study the computational trade off, highlighting the need for more efficient communication protocol design. This work provides concrete guidelines for configuring specialized multi-agent system and identifies critical architectural trade-offs and bottlenecks for scalable multi-agent reasoning. The code will be made available upon acceptance.

Tian Bai, Huiyan Ying, Kailong Suo et al.

This paper introduces the Text-to-TrajVis task, which aims to transform natural language questions into trajectory data visualizations, facilitating the development of natural language interfaces for trajectory visualization systems. As this is a novel task, there is currently no relevant dataset available in the community. To address this gap, we first devised a new visualization language called Trajectory Visualization Language (TVL) to facilitate querying trajectory data and generating visualizations. Building on this foundation, we further proposed a dataset construction method that integrates Large Language Models (LLMs) with human efforts to create high-quality data. Specifically, we first generate TVLs using a comprehensive and systematic process, and then label each TVL with corresponding natural language questions using LLMs. This process results in the creation of the first large-scale Text-to-TrajVis dataset, named TrajVL, which contains 18,140 (question, TVL) pairs. Based on this dataset, we systematically evaluated the performance of multiple LLMs (GPT, Qwen, Llama, etc.) on this task. The experimental results demonstrate that this task is both feasible and highly challenging and merits further exploration within the research community.

Tao Fan, Guoqiang Ma, Yan Kang et al.

Recent research in federated large language models (LLMs) has primarily focused on enabling clients to fine-tune their locally deployed homogeneous LLMs collaboratively or on transferring knowledge from server-based LLMs to small language models (SLMs) at downstream clients. However, a significant gap remains in the simultaneous mutual enhancement of both the server's LLM and clients' SLMs. To bridge this gap, we propose FedMKT, a parameter-efficient federated mutual knowledge transfer framework for large and small language models. This framework is designed to adaptively transfer knowledge from the server's LLM to clients' SLMs while concurrently enriching the LLM with clients' unique domain insights. We facilitate token alignment using minimum edit distance (MinED) and then selective mutual knowledge transfer between client-side SLMs and a server-side LLM, aiming to collectively enhance their performance. Through extensive experiments across three distinct scenarios, we evaluate the effectiveness of FedMKT using various public LLMs and SLMs on a range of NLP text generation tasks. Empirical results demonstrate that FedMKT simultaneously boosts the performance of both LLMs and SLMs.

Tao Fan, Weijing Chen, Guoqiang Ma et al.

Gradient boosting decision tree (GBDT) is an ensemble machine learning algorithm, which is widely used in industry, due to its good performance and easy interpretation. Due to the problem of data isolation and the requirement of privacy, many works try to use vertical federated learning to train machine learning models collaboratively with privacy guarantees between different data owners. SecureBoost is one of the most popular vertical federated learning algorithms for GBDT. However, in order to achieve privacy preservation, SecureBoost involves complex training procedures and time-consuming cryptography operations. This causes SecureBoost to be slow to train and does not scale to large scale data. In this work, we propose SecureBoost+, a large-scale and high-performance vertical federated gradient boosting decision tree framework. SecureBoost+ is secure in the semi-honest model, which is the same as SecureBoost. SecureBoost+ can be scaled up to tens of millions of data samples easily. SecureBoost+ achieves high performance through several novel optimizations for SecureBoost, including ciphertext operation optimization, the introduction of new training mechanisms, and multi-classification training optimization. The experimental results show that SecureBoost+ is 6-35x faster than SecureBoost, but with the same accuracy and can be scaled up to tens of millions of data samples and thousands of feature dimensions.

Kai Yang, Tao Fan, Tianjian Chen et al.

Data privacy and security becomes a major concern in building machine learning models from different data providers. Federated learning shows promise by leaving data at providers locally and exchanging encrypted information. This paper studies the vertical federated learning structure for logistic regression where the data sets at two parties have the same sample IDs but own disjoint subsets of features. Existing frameworks adopt the first-order stochastic gradient descent algorithm, which requires large number of communication rounds. To address the communication challenge, we propose a quasi-Newton method based vertical federated learning framework for logistic regression under the additively homomorphic encryption scheme. Our approach can considerably reduce the number of communication rounds with a little additional communication cost per round. Numerical results demonstrate the advantages of our approach over the first-order method.

Kewei Cheng, Tao Fan, Yilun Jin et al.

The protection of user privacy is an important concern in machine learning, as evidenced by the rolling out of the General Data Protection Regulation (GDPR) in the European Union (EU) in May 2018. The GDPR is designed to give users more control over their personal data, which motivates us to explore machine learning frameworks for data sharing that do not violate user privacy. To meet this goal, in this paper, we propose a novel lossless privacy-preserving tree-boosting system known as SecureBoost in the setting of federated learning. SecureBoost first conducts entity alignment under a privacy-preserving protocol and then constructs boosting trees across multiple parties with a carefully designed encryption strategy. This federated learning system allows the learning process to be jointly conducted over multiple parties with common user samples but different feature sets, which corresponds to a vertically partitioned data set. An advantage of SecureBoost is that it provides the same level of accuracy as the non-privacy-preserving approach while at the same time, reveals no information of each private data provider. We show that the SecureBoost framework is as accurate as other non-federated gradient tree-boosting algorithms that require centralized data and thus it is highly scalable and practical for industrial applications such as credit risk analysis. To this end, we discuss information leakage during the protocol execution and propose ways to provably reduce it.