Yuchang Sun

Yuchang Sun, Yuyi Mao, Jun Zhang · tencent-ai

Federated learning (FL) is a promising framework for privacy-preserving collaborative learning, where model training tasks are distributed to clients and only the model updates need to be collected at a server. However, when being deployed at mobile edge networks, clients may have unpredictable availability and drop out of the training process, which hinders the convergence of FL. This paper tackles such a critical challenge. Specifically, we first investigate the convergence of the classical FedAvg algorithm with arbitrary client dropouts. We find that with the common choice of a decaying learning rate, FedAvg oscillates around a stationary point of the global loss function, which is caused by the divergence between the aggregated and desired central update. Motivated by this new observation, we then design a novel training algorithm named MimiC, where the server modifies each received model update based on the previous ones. The proposed modification of the received model updates mimics the imaginary central update irrespective of dropout clients. The theoretical analysis of MimiC shows that divergence between the aggregated and central update diminishes with proper learning rates, leading to its convergence. Simulation results further demonstrate that MimiC maintains stable convergence performance and learns better models than the baseline methods.

Jiawei Shao, Yuchang Sun, Songze Li et al.

Federated learning (FL) strives to enable collaborative training of machine learning models without centrally collecting clients' private data. Different from centralized training, the local datasets across clients in FL are non-independent and identically distributed (non-IID). In addition, the data-owning clients may drop out of the training process arbitrarily. These characteristics will significantly degrade the training performance. This paper proposes a Dropout-Resilient Secure Federated Learning (DReS-FL) framework based on Lagrange coded computing (LCC) to tackle both the non-IID and dropout problems. The key idea is to utilize Lagrange coding to secretly share the private datasets among clients so that each client receives an encoded version of the global dataset, and the local gradient computation over this dataset is unbiased. To correctly decode the gradient at the server, the gradient function has to be a polynomial in a finite field, and thus we construct polynomial integer neural networks (PINNs) to enable our framework. Theoretical analysis shows that DReS-FL is resilient to client dropouts and provides privacy protection for the local datasets. Furthermore, we experimentally demonstrate that DReS-FL consistently leads to significant performance gains over baseline methods.

Zijian Li, Yuchang Sun, Jiawei Shao et al.

Federated learning (FL) has emerged as a privacy-preserving paradigm that trains neural networks on edge devices without collecting data at a central server. However, FL encounters an inherent challenge in dealing with non-independent and identically distributed (non-IID) data among devices. To address this challenge, this paper proposes a hard feature matching data synthesis (HFMDS) method to share auxiliary data besides local models. Specifically, synthetic data are generated by learning the essential class-relevant features of real samples and discarding the redundant features, which helps to effectively tackle the non-IID issue. For better privacy preservation, we propose a hard feature augmentation method to transfer real features towards the decision boundary, with which the synthetic data not only improve the model generalization but also erase the information of real features. By integrating the proposed HFMDS method with FL, we present a novel FL framework with data augmentation to relieve data heterogeneity. The theoretical analysis highlights the effectiveness of our proposed data synthesis method in solving the non-IID challenge. Simulation results further demonstrate that our proposed HFMDS-FL algorithm outperforms the baselines in terms of accuracy, privacy preservation, and computational cost on various benchmark datasets.

Jiawei Shao, Zijian Li, Wenqiang Sun et al.

Federated learning (FL) has emerged as a secure paradigm for collaborative training among clients. Without data centralization, FL allows clients to share local information in a privacy-preserving manner. This approach has gained considerable attention, promoting numerous surveys to summarize the related works. However, the majority of these surveys concentrate on FL methods that share model parameters during the training process, while overlooking the possibility of sharing local information in other forms. In this paper, we present a systematic survey from a new perspective of what to share in FL, with an emphasis on the model utility, privacy leakage, and communication efficiency. First, we present a new taxonomy of FL methods in terms of three sharing methods, which respectively share model, synthetic data, and knowledge. Second, we analyze the vulnerability of different sharing methods to privacy attacks and review the defense mechanisms. Third, we conduct extensive experiments to compare the learning performance and communication overhead of various sharing methods in FL. Besides, we assess the potential privacy leakage through model inversion and membership inference attacks, while comparing the effectiveness of various defense approaches. Finally, we identify future research directions and conclude the survey.

Yuchang Sun, Jiawei Shao, Yuyi Mao et al.

Federated learning (FL) has achieved great success as a privacy-preserving distributed training paradigm, where many edge devices collaboratively train a machine learning model by sharing the model updates instead of the raw data with a server. However, the heterogeneous computational and communication resources of edge devices give rise to stragglers that significantly decelerate the training process. To mitigate this issue, we propose a novel FL framework named stochastic coded federated learning (SCFL) that leverages coded computing techniques. In SCFL, before the training process starts, each edge device uploads a privacy-preserving coded dataset to the server, which is generated by adding Gaussian noise to the projected local dataset. During training, the server computes gradients on the global coded dataset to compensate for the missing model updates of the straggling devices. We design a gradient aggregation scheme to ensure that the aggregated model update is an unbiased estimate of the desired global update. Moreover, this aggregation scheme enables periodical model averaging to improve the training efficiency. We characterize the tradeoff between the convergence performance and privacy guarantee of SCFL. In particular, a more noisy coded dataset provides stronger privacy protection for edge devices but results in learning performance degradation. We further develop a contract-based incentive mechanism to coordinate such a conflict. The simulation results show that SCFL learns a better model within the given time and achieves a better privacy-performance tradeoff than the baseline methods. In addition, the proposed incentive mechanism grants better training performance than the conventional Stackelberg game approach.

Weijie Shi, Yanxi Chen, Zexi Li et al.

Reinforcement learning drives recent advances in LLM reasoning and agentic capabilities, yet current approaches struggle with both exploration and exploitation. Exploration suffers from low success rates on difficult tasks and high costs of repeated rollouts from scratch. Exploitation suffers from coarse credit assignment and training instability: Trajectory-level rewards penalize valid prefixes for later errors, and failure-dominated groups overwhelm the few positive signals, leaving optimization without constructive direction. To this end, we propose R$^3$L, Reflect-then-Retry Reinforcement Learning with Language-Guided Exploration, Pivotal Credit, and Positive Amplification. To synthesize high-quality trajectories, R$^3$L shifts from stochastic sampling to active synthesis via reflect-then-retry, leveraging language feedback to diagnose errors, transform failed attempts into successful ones, and reduce rollout costs by restarting from identified failure points. With errors diagnosed and localized, Pivotal Credit Assignment updates only the diverging suffix where contrastive signals exist, excluding the shared prefix from gradient update. Since failures dominate on difficult tasks and reflect-then-retry produces off-policy data, risking training instability, Positive Amplification upweights successful trajectories to ensure positive signals guide the optimization process. Experiments on agentic and reasoning tasks demonstrate 5\% to 52\% relative improvements over baselines while maintaining training stability. Our code is released at https://github.com/shiweijiezero/R3L.

Yuchang Sun, Yuexiang Xie, Bolin Ding et al.

Federated learning (FL) has emerged as a promising paradigm for fine-tuning foundation models using distributed data in a privacy-preserving manner. Under limited computational resources, clients often find it more practical to fine-tune a selected subset of layers, rather than the entire model, based on their task-specific data. In this study, we provide a thorough theoretical exploration of selective layer fine-tuning in FL, emphasizing a flexible approach that allows the clients to adjust their selected layers according to their local data and resources. We theoretically demonstrate that the layer selection strategy has a significant impact on model convergence in two critical aspects: the importance of selected layers and the heterogeneous choices across clients. Drawing from these insights, we further propose a strategic layer selection method that utilizes local gradients and regulates layer selections across clients. The extensive experiments on both image and text datasets demonstrate the effectiveness of the proposed strategy compared with several baselines, highlighting its advances in identifying critical layers that adapt to the client heterogeneity and training dynamics in FL.

Shumin Wang, Yuexiang Xie, Wenhao Zhang et al.

Entropy serves as a critical metric for measuring the diversity of outputs generated by large language models (LLMs), providing valuable insights into their exploration capabilities. While recent studies increasingly focus on monitoring and adjusting entropy to better balance exploration and exploitation in reinforcement fine-tuning (RFT), a principled understanding of entropy dynamics during this process is yet to be thoroughly investigated. In this paper, we establish a theoretical framework for analyzing the entropy dynamics during the RFT process, which begins with a discriminant expression that quantifies entropy change under a single logit update. This foundation enables the derivation of a first-order expression for entropy change, which can be further extended to the update formula of Group Relative Policy Optimization (GRPO). The corollaries and insights drawn from the theoretical analysis inspire the design of entropy control methods, and also offer a unified lens for interpreting various entropy-based methods in existing studies. We provide empirical evidence to support the main conclusions of our analysis and demonstrate the effectiveness of the derived entropy-discriminator clipping methods. This study yields novel insights into RFT training dynamics, providing theoretical support and practical strategies for optimizing the exploration-exploitation balance during LLM fine-tuning.

Wenhao Zhang, Yuexiang Xie, Yuchang Sun et al.

Supervised Fine-Tuning (SFT) and Reinforcement Learning (RL) are two prominent post-training paradigms for refining the capabilities and aligning the behavior of Large Language Models (LLMs). Existing approaches that integrate SFT and RL often face the risk of disrupting established response patterns and inducing overfitting to expert data. To address this, we present a novel investigation into the unified view of SFT and RL through an off-policy versus on-policy lens. We propose CHORD, a framework for Controllable Harmonization of On- and Off-Policy Reinforcement Learning via Dynamic Weighting, which reframes SFT not as a separate stage but as a dynamically weighted auxiliary objective within the on-policy RL process. Based on an analysis of off-policy expert data's influence at both holistic and granular levels, we incorporate a dual-control mechanism in CHORD. Specifically, the framework first employs a global coefficient to holistically guide the transition from off-policy imitation to on-policy exploration, and then applies a token-wise weighting function that enables granular learning from the expert, which promotes on-policy exploration and mitigates disruption from off-policy data. We conduct extensive experiments on mathematical reasoning problems and practical tool-use tasks, providing empirical evidence that CHORD achieves a stable and efficient learning process. By effectively harmonizing off-policy expert data with on-policy exploration, CHORD demonstrates significant improvements over baselines. We release the implementation at https://github.com/modelscope/Trinity-RFT/tree/main/examples/mix_chord to inspire further research.

Chaorui Yao, Yanxi Chen, Yuchang Sun et al.

Off-policy reinforcement learning (RL) for large language models (LLMs) is attracting growing interest, driven by practical constraints in real-world applications, the complexity of LLM-RL infrastructure, and the need for further innovations of RL methodologies. While classic REINFORCE and its modern variants like Group Relative Policy Optimization (GRPO) are typically regarded as on-policy algorithms with limited tolerance of off-policyness, we present in this work a first-principles derivation for group-relative REINFORCE without assuming a specific training data distribution, showing that it admits a native off-policy interpretation. This perspective yields two general principles for adapting REINFORCE to off-policy settings: regularizing policy updates, and actively shaping the data distribution. Our analysis demystifies some myths about the roles of importance sampling and clipping in GRPO, unifies and reinterprets two recent algorithms -- Online Policy Mirror Descent (OPMD) and Asymmetric REINFORCE (AsymRE) -- as regularized forms of the REINFORCE loss, and offers theoretical justification for seemingly heuristic data-weighting strategies. Our findings lead to actionable insights that are validated with extensive empirical studies, and open up new opportunities for principled algorithm design in off-policy RL for LLMs. Source code for this work is available at https://github.com/modelscope/Trinity-RFT/tree/main/examples/rec_gsm8k.

Yuchang Sun, Yanxi Chen, Yaliang Li et al.

Augmenting large language models (LLMs) with auxiliary tokens has emerged as a promising strategy for enhancing model performance. In this work, we introduce a lightweight method termed latent tokens; these are dummy tokens that may be non-interpretable in natural language but steer the autoregressive decoding process of a Transformer-based LLM via the attention mechanism. The proposed latent tokens can be seamlessly integrated with a pre-trained Transformer, trained in a parameter-efficient manner, and applied flexibly at inference time, while adding minimal complexity overhead to the existing infrastructure of standard Transformers. We propose several hypotheses about the underlying mechanisms of latent tokens and design synthetic tasks accordingly to verify them. Numerical results confirm that the proposed method noticeably outperforms the baselines, particularly in the out-of-distribution generalization scenarios, highlighting its potential in improving the adaptability of LLMs.

Xuchen Pan, Yanxi Chen, Yushuo Chen et al.

Trinity-RFT is a general-purpose, unified and easy-to-use framework designed for reinforcement fine-tuning (RFT) of large language models. It is built with a modular and decoupled design, consisting of (1) an RFT-core that unifies and generalizes synchronous/asynchronous, on-policy/off-policy, and online/offline modes of RFT; (2) seamless integration for agent-environment interaction with high efficiency and robustness; and (3) systematic data pipelines optimized for RFT. Trinity-RFT can be easily adapted for diverse application scenarios, and serves as a unified platform for development and research of advanced reinforcement learning paradigms at both macroscopic and microscopic levels. This technical report outlines the vision, features, design and implementations of Trinity-RFT, accompanied by extensive examples, applications and experiments that demonstrate its functionalities and user-friendliness.

Yuchang Sun, Xinran Li, Tao Lin et al.

Federated learning (FL) enables collaborative learning among decentralized clients while safeguarding the privacy of their local data. Existing studies on FL typically assume offline labeled data available at each client when the training starts. Nevertheless, the training data in practice often arrive at clients in a streaming fashion without ground-truth labels. Given the expensive annotation cost, it is critical to identify a subset of informative samples for labeling on clients. However, selecting samples locally while accommodating the global training objective presents a challenge unique to FL. In this work, we tackle this conundrum by framing the data querying process in FL as a collaborative decentralized decision-making problem and proposing an effective solution named LeaDQ, which leverages multi-agent reinforcement learning algorithms. In particular, under the implicit guidance from global information, LeaDQ effectively learns the local policies for distributed clients and steers them towards selecting samples that can enhance the global model's accuracy. Extensive simulations on image and text tasks show that LeaDQ advances the model performance in various FL scenarios, outperforming the benchmarking algorithms.

Yuchang Sun, Marios Kountouris, Jun Zhang

Federated learning (FL) has attracted vivid attention as a privacy-preserving distributed learning framework. In this work, we focus on cross-silo FL, where clients become the model owners after training and are only concerned about the model's generalization performance on their local data. Due to the data heterogeneity issue, asking all the clients to join a single FL training process may result in model performance degradation. To investigate the effectiveness of collaboration, we first derive a generalization bound for each client when collaborating with others or when training independently. We show that the generalization performance of a client can be improved only by collaborating with other clients that have more training data and similar data distribution. Our analysis allows us to formulate a client utility maximization problem by partitioning clients into multiple collaborating groups. A hierarchical clustering-based collaborative training (HCCT) scheme is then proposed, which does not need to fix in advance the number of groups. We further analyze the convergence of HCCT for general non-convex loss functions which unveils the effect of data similarity among clients. Extensive simulations show that HCCT achieves better generalization performance than baseline schemes, whereas it degenerates to independent training and conventional FL in specific scenarios.

Yuchang Sun, Zehong lin, Yuyi Mao et al.

Federated learning (FL) is a popular privacy-preserving distributed training scheme, where multiple devices collaborate to train machine learning models by uploading local model updates. To improve communication efficiency, over-the-air computation (AirComp) has been applied to FL, which leverages analog modulation to harness the superposition property of radio waves such that numerous devices can upload their model updates concurrently for aggregation. However, the uplink channel noise incurs considerable model aggregation distortion, which is critically determined by the device scheduling and compromises the learned model performance. In this paper, we propose a probabilistic device scheduling framework for over-the-air FL, named PO-FL, to mitigate the negative impact of channel noise, where each device is scheduled according to a certain probability and its model update is reweighted using this probability in aggregation. We prove the unbiasedness of this aggregation scheme and demonstrate the convergence of PO-FL on both convex and non-convex loss functions. Our convergence bounds unveil that the device scheduling affects the learning performance through the communication distortion and global update variance. Based on the convergence analysis, we further develop a channel and gradient-importance aware algorithm to optimize the device scheduling probabilities in PO-FL. Extensive simulation results show that the proposed PO-FL framework with channel and gradient-importance awareness achieves faster convergence and produces better models than baseline methods.

Wenqiang Sun, Sen Li, Yuchang Sun et al.

Federated learning (FL) attempts to train a global model by aggregating local models from distributed devices under the coordination of a central server. However, the existence of a large number of heterogeneous devices makes FL vulnerable to various attacks, especially the stealthy backdoor attack. Backdoor attack aims to trick a neural network to misclassify data to a target label by injecting specific triggers while keeping correct predictions on original training data. Existing works focus on client-side attacks which try to poison the global model by modifying the local datasets. In this work, we propose a new attack model for FL, namely Data-Agnostic Backdoor attack at the Server (DABS), where the server directly modifies the global model to backdoor an FL system. Extensive simulation results show that this attack scheme achieves a higher attack success rate compared with baseline methods while maintaining normal accuracy on the clean data.

Yuchang Sun, Jiawei Shao, Songze Li et al.

Federated learning (FL) has attracted much attention as a privacy-preserving distributed machine learning framework, where many clients collaboratively train a machine learning model by exchanging model updates with a parameter server instead of sharing their raw data. Nevertheless, FL training suffers from slow convergence and unstable performance due to stragglers caused by the heterogeneous computational resources of clients and fluctuating communication rates. This paper proposes a coded FL framework to mitigate the straggler issue, namely stochastic coded federated learning (SCFL). In this framework, each client generates a privacy-preserving coded dataset by adding additive noise to the random linear combination of its local data. The server collects the coded datasets from all the clients to construct a composite dataset, which helps to compensate for the straggling effect. In the training process, the server as well as clients perform mini-batch stochastic gradient descent (SGD), and the server adds a make-up term in model aggregation to obtain unbiased gradient estimates. We characterize the privacy guarantee by the mutual information differential privacy (MI-DP) and analyze the convergence performance in federated learning. Besides, we demonstrate a privacy-performance tradeoff of the proposed SCFL method by analyzing the influence of the privacy constraint on the convergence rate. Finally, numerical experiments corroborate our analysis and show the benefits of SCFL in achieving fast convergence while preserving data privacy.

Yuchang Sun, Jiawei Shao, Yuyi Mao et al.

Federated edge learning (FEEL) has attracted much attention as a privacy-preserving paradigm to effectively incorporate the distributed data at the network edge for training deep learning models. Nevertheless, the limited coverage of a single edge server results in an insufficient number of participated client nodes, which may impair the learning performance. In this paper, we investigate a novel framework of FEEL, namely semi-decentralized federated edge learning (SD-FEEL), where multiple edge servers are employed to collectively coordinate a large number of client nodes. By exploiting the low-latency communication among edge servers for efficient model sharing, SD-FEEL can incorporate more training data, while enjoying much lower latency compared with conventional federated learning. We detail the training algorithm for SD-FEEL with three main steps, including local model update, intra-cluster, and inter-cluster model aggregations. The convergence of this algorithm is proved on non-independent and identically distributed (non-IID) data, which also helps to reveal the effects of key parameters on the training efficiency and provides practical design guidelines. Meanwhile, the heterogeneity of edge devices may cause the straggler effect and deteriorate the convergence speed of SD-FEEL. To resolve this issue, we propose an asynchronous training algorithm with a staleness-aware aggregation scheme for SD-FEEL, of which, the convergence performance is also analyzed. The simulation results demonstrate the effectiveness and efficiency of the proposed algorithms for SD-FEEL and corroborate our analysis.

Yuchang Sun, Jiawei Shao, Yuyi Mao et al.

Federated edge learning (FEEL) has drawn much attention as a privacy-preserving distributed learning framework for mobile edge networks. In this work, we investigate a novel semi-decentralized FEEL (SD-FEEL) architecture where multiple edge servers collaborate to incorporate more data from edge devices in training. Despite the low training latency enabled by fast edge aggregation, the device heterogeneity in computational resources deteriorates the efficiency. This paper proposes an asynchronous training algorithm for SD-FEEL to overcome this issue, where edge servers can independently set deadlines for the associated client nodes and trigger the model aggregation. To deal with different levels of staleness, we design a staleness-aware aggregation scheme and analyze its convergence performance. Simulation results demonstrate the effectiveness of our proposed algorithm in achieving faster convergence and better learning performance.

Yuchang Sun, Jiawei Shao, Yuyi Mao et al.

Federated edge learning (FEEL) has emerged as an effective approach to reduce the large communication latency in Cloud-based machine learning solutions, while preserving data privacy. Unfortunately, the learning performance of FEEL may be compromised due to limited training data in a single edge cluster. In this paper, we investigate a novel framework of FEEL, namely semi-decentralized federated edge learning (SD-FEEL). By allowing model aggregation across different edge clusters, SD-FEEL enjoys the benefit of FEEL in reducing the training latency, while improving the learning performance by accessing richer training data from multiple edge clusters. A training algorithm for SD-FEEL with three main procedures in each round is presented, including local model updates, intra-cluster and inter-cluster model aggregations, which is proved to converge on non-independent and identically distributed (non-IID) data. We also characterize the interplay between the network topology of the edge servers and the communication overhead of inter-cluster model aggregation on the training performance. Experiment results corroborate our analysis and demonstrate the effectiveness of SD-FFEL in achieving faster convergence than traditional federated learning architectures. Besides, guidelines on choosing critical hyper-parameters of the training algorithm are also provided.