Paper: Tackling Byzantine Clients in Federated Learning (ICLR-2024)

Reviewer comment (Theory):
The results in this paper are under the condition in Definition 2 which requires that the number of Byzantine clients in each round (out of $\hat{n}$ total sampled clients) is no more than $\hat{b}$; I think this is a bit stringent. For e.g., it is hard for me to imagine that convergence will suddenly fail instead of becoming slightly worse if there are $\hat{b}+1$ bad clients in only one round (especially if the client updates are bounded). Alternatively, I feel that $\kappa$ in Definition 2 should be a function of $\hat{b}$; for e.g., it is mentioned that $\kappa$ for coordinate-wise trimmed mean is $O(\frac{\hat{b}}{\hat{n}})$. To show the dependence of $\hat{b}$ on $\kappa$, let us denote it as $\kappa(\hat{b})$ instead. In that case, it should be possible to obtain a convergence bound in terms of $\kappa(\hat{b}_1), \kappa(\hat{b}_2),\ldots, \kappa(\hat{b}_T)$ (the subscript denoting the round index).

Author response:
Re: Indeed, $\kappa$ is a function of $\hat{b}$ for most aggregation rules, including coordinate-wise trimmed mean. However, $\hat{b}$ needs to be set in advance as a parameter for the aggregation rule to effectively tolerate corrupted model updates sent by Byzantine clients. 
When the actual number of Byzantine clients surpasses $\hat{b}$, these clients could arbitrarily manipulate
the aggregation output, making it impossible (in general) to provide a learning guarantee. Parameter $\hat{b}$ is analogous to 
the breakdown point in the robust statistics literature [C]. 

To illustrate this,   consider a simple example using the trimmed mean aggregation rule. Suppose we have 5 sampled clients, of which 3 are honest and 2 are Byzantine, with $\hat{b}$ set to 1. If all honest clients report the same value $0$ and the Byzantine clients report some value $x$, the output of the trimmed mean will be ${x}/{3}$. This example demonstrates that when the actual number of Byzantine clients is more than $\hat{b}$, any value in $(-\infty, \infty)$ will be achievable for the Byzantine clients.



One potential way to mitigate this is to assume a uniform bound on the norm of correct gradients. Adding this assumption bounds the damage caused by the Byzantine clients even if they have full control over the output of the aggregation rule in some rounds. This assumption is, however, not desirable in the optimization literature as it has been shown not to hold in many scenarios [D]. We will add this remark to the camera-ready version of the paper.

[C] P. J. Huber and E. M. Ronchetti. Robust Statistics: Theory and Methods. Wiley Series in Probability and Statistics. John Wiley \& Sons, 2nd edition, 2009.

[D] L. Nguyen, P. Nguyen, M. van Dijk, P. Richtarik, K. Scheinberg and
M. Takac, SGD and Hogwild! Convergence without the Bounded Gradients Assumption, in International Conference
on Machine Learning (ICML 2018).

**Regarding your concern about our response to Q1:**
Sorry for the misunderstanding.
Let us denote by $\hat{b}_t$ the actual number of sampled Byzantine clients in learning round $t$. 
Integrating $\hat{b}_1, \ldots, \hat{b}_T$ in the convergence bound is actually far from trivial as $\kappa$ 
cannot be expressed as a function of the *actual* number of sampled Byzantine clients. It can only be expressed as a function of the *upper bound* on the number of sampled Byzantine clients which is a **known** parameter for the aggregation rule (see e.g., Allouah et al., 2023). This upper bound is denoted by $\hat{b}$ in our paper.

 
To obtain a convergence guarantee, we show (in Lemma 1) that if the number of subsampled clients is large enough, we have $\hat{b}_t \leq \hat{b}$ for all $t \in [T]$ with probability at least $p$. 
This is why i) our results hold in high probability and ii) $\hat{b}_1, \ldots, \hat{b}_T$ do not appear in the convergence rate. We agree that it is an interesting direction to incorporate $\hat{b}_1, \ldots, \hat{b}_T$ in the convergence guarantee. However, we believe it would require stronger assumptions.

Reviewer comment (Theory):
The statement of Theorem 1 needs clarification. There is an expectation term in the equation but the line above that says "*with probability at least $p$...*". Is the expectation only over the randomness in stochastic gradients and the randomness in the sampled clients, whereas the probability is over the randomness in the number of Byzantine clients in the set of sampled clients (across all rounds)?

Author response:
Re: The reviewer is correct regarding the sources of randomness for the high probability bound and the expectation. We will clarify this in the paper.

Reviewer comment (Theory):
The lower and upper bound for $\hat{n}$ in Lemma 2 and 4 depend on $T$, but how do you know $T$ in advance in practice?

Author response:
Re: 
In our analysis and our current presentation of the results, an upper bound on the number of rounds $T$, should be known to control the probability of failure. If the number of rounds exceeds this upper bound, the probability of failure increases. In practice, researchers may need to make reasonable estimations or use historical data to approximate an appropriate upper bound for $T.$ Alternatively one can interpret the results as computing the probability of failure as a function of $\hat{n}$ and $T$.  This provides a way to assess the impact of different choices of $T$ on the probability of failure, helping practitioners make informed decisions.

Reviewer comment (Theory):
In Section 5.2, the authors claim that reference Karimireddy et al., 2021 obtain a matching lower bound of $\Omega(\frac{b}{n}(\frac{\sigma^2}{K} + \zeta^2))$ but looking at their result, it appears that their result is for strongly convex problems and not non-convex problems. So the tightness of Corollary 1 is not clear.

Author response:
Re: To avoid confusion, note that the lower bound due to $\sigma$ is obtained by Karimireddy et al., 2021 (ICML), and the lower bound due to $\zeta$ is obtained by Karimireddy et al., 2022 (ICLR). As mentioned by the reviewer,
both these lower bounds have been obtained for the suboptimality of a smooth and $\mu$-strongly function $F$. Specifically, 

$$F(x_{out}) - F^* \in \Omega \left(\frac{b}{n} \cdot \frac{\sigma^2}{\mu}\right) \quad \text{and} \quad F(x_{out}) - F^* \in \Omega \left(\frac{b}{n} \cdot \frac{\zeta^2}{\mu}\right),$$
where $F^*$ is the minimum of $F(x)$.
But for a $\mu$-strongly function $F$, we have $\left\lVert F(x)\right\rVert^2 \geq 2 \mu (F(x) - F^*)$. Combining this with the above bounds, we obtain the following lower bounds on the norm of the gradient (as done in Theorem III of (Karimireddy et al., 2022)):
$$\left\lVert \nabla F(x_{out})\right\rVert^2 \in \Omega \left(\frac{b}{n}  {\sigma^2}\right) \quad \text{and} \quad \left\lVert \nabla F(x_{out})\right\rVert^2 \in \Omega \left(\frac{b}{n}  {\zeta^2}\right).$$
Note that a lower bound on the gradient norm for strongly convex functions also holds true for more general non-convex functions, as strong convexity is just an additional assumption. In other words, if a lower bound holds for a subset (strongly-convex smooth functions), it also holds for the superset (all smooth functions) unless specifically contradicted by other assumptions, which is not the case in our analysis. Also, note that the additional factor of $K$ in the lower bound with respect to $\sigma$ comes from the fact that in FedRo each client computes $K$ local stochastic gradients (in each round) instead of just $1$.

Reviewer comment (Theory):
The $\zeta^2$ term in Corollary 1 doesn't decrease with the number of local steps $K$ and that is usually larger than $\sigma^2$.

Author response:
Re: 
Unfortunately, the $\zeta^2$ term is unavoidable even without client subsampling and local steps. In fact, the lower bound on $\zeta^2$ is a fundamental result for Byzantine learning that has been discussed in several previous works (Karimireddy et al., 2022; Allouah et al., 2023).

Reviewer comment (Experiments):
Apart from local steps and client sampling, how do communication compression and local data sampling impact FedRo?

Author response:
Re:  These are two fundamental aspects.  We discuss each of them below.


Communication Compression: Our paper primarily focuses on convergence properties and robustness in the presence of Byzantine clients. While communication compression is indeed an essential aspect of federated learning, its impact is somewhat orthogonal to the core contributions of our study. However, it is important to notice that compression can introduce additional noise in client-server communication, potentially exacerbating the challenges posed by Byzantine clients. This added noise could lead to an increased error rate, affecting the convergence properties. A similar observation has been made in the context of variance-reduced Byzantine learning with communication compression [A].

Data sampling: The analysis we propose in the paper considers a uniform sampling strategy by the honest clients as it is the most common assumption in the literature [B]. In this case, increasing the local sample size decreases the variance of the stochastic noise $\sigma$ leading to a faster convergence.  Nevertheless, exploring different local data sampling strategies and their impact on Byzantine robustness and learning efficiency is an area we plan to explore in the future. 

[A] E. Gorbunov, S. Horváth, P. Richtárik, and G. Gidel. Variance reduction is an
antidote to byzantines: Better rates, weaker assumptions and communication compression as a
cherry on the top. In The Eleventh International Conference on Learning Representations (ICLR 2023).

[B] X. Li, K. Huang, W. Yang, S. Wang, and Z. Zhang. On the Convergence of FedAvg on non-iid Data. In International Conference on Learning Representations (ICLR 2020).

Reviewer comment (Theory):
Though increasing the number of local update steps reduces error, the total error is vanishing even with optimal sampling. I’m wondering if the result of Theorem 1 can be improved perhaps with additional mild assumptions.

Author response:
There seems to be a small typo in the review, and we believe the reviewer meant that the total error is **not** vanishing. Our response below is based on this latter interpretation, but please do let us know if this is not the case.

Re: The suggestion of the reviewer is appealing. Unfortunately, the non-vanishing error due to $\zeta$ is a fundamental lower bound for Byzantine learning even without client subsampling and local steps. It has been discussed in some previous works (Karimireddy et al. 2022; Allouah et al. 2023). 
Some prior research, such as the work by Karimireddy et al. 2022, proposed methods to mitigate this lower bound by changing the assumptions. However, this approach, 
which we believe is applicable to our scheme,  significantly reduces the fraction of tolerable Byzantine clients, often much below $1/2$.

Reviewer comment (Novelty):
The paper assumes a Byzantine-defensive aggregation scheme is being used and thus does not propose any truly novel strategy beyond improved sampling (which apparently does not necessarily lead to full convergence).

Author response:
Re:  The reviewer is correct: we do not propose any new specific aggregation scheme. The contribution of our paper is to precisely characterize 
 the impact of two important and widely used techniques in federated learning. More specifically, the novelty of our paper lies in the detailed analysis of (1) client sampling and (2) local steps in the context of a generic Byzantine-robust federated learning scheme (namely FedRo), which encompasses a large number of aggregation techniques.
Our results provide several new insights for the FL community (in the context of Byzantine robustness), including (1) a 
lower bound on the sample size to ensure a learning guarantee, (2) the phenomenon of diminishing return, i.e., the sample size does not improve the asymptotic error (significantly) beyond a certain threshold, and (3) the favorable dependence of the asymptotic error to the number of local steps.

Reviewer comment (Experiments):
Further empirical corroboration of the proposed theory is likely needed to convince the FL community to seriously explore subsampling strategies.

Author response:
Re: Indeed, we will add more experiments to the camera-ready version. In fact, we have been running new experiments, evaluating FedRo on the CIFAR-10 dataset, that are consistent with the results we had on the FEMNIST dataset. We already included some of these new results in the revised version of the paper which can be found on page 33, Section C.1.