Data-Free Black-Box Federated Learning via Zeroth-Order Gradient Estimation

Abstract

Federated learning (FL) enables decentralized clients to collaboratively train a global model under the orchestration of a central server without exposing their individual data. However, the iterative exchange of model parameters between the server and clients imposes heavy communication burdens, risks potential privacy leakage, and even precludes collaboration among heterogeneous clients. Distillation-based FL tackles these challenges by exchanging low-dimensional model outputs rather than model parameters, yet it highly relies on a task-relevant auxiliary dataset that is often not available in practice. Data-free FL attempts to overcome this limitation by training a server-side generator to directly synthesize task-specific data samples for knowledge transfer. However, the update rule of the generator requires clients to share on-device models for white-box access, which greatly compromises the advantages of distillation-based FL. This motivates us to explore a data-free and black-box FL framework via Zeroth-order Gradient Estimation (FedZGE), which estimates the gradients after flowing through on-device models in a black-box optimization manner to complete the training of the generator in terms of fidelity, transferability, diversity, and equilibrium, without involving any auxiliary data or sharing any model parameters, thus combining the advantages of both distillation-based FL and data-free FL. Experiments on large-scale image classification datasets and network architectures demonstrate the superiority of FedZGE in terms of data heterogeneity, model heterogeneity, communication efficiency, and privacy protection.