Federated learning (FL) is a machine learning technique in which clients never share the raw data but the gradient with the server. Exposing only the gradient would seem to protect the client’s privacy; however, several studies(Geiping et al., 2020; Yin et al., 2021) have shown that the gradient can recover the original image. One way of privacy protection is applying local differential privacy (LDP) (Evfimievski et al., 2003; Kasiviswanathan et al., 2011). LDP has been a widely accepted privacy standard that makes it hard to distinguish randomized responses crafted from any inputs to the extent that the privacy parameter quantifies it. Recent studies have been seeking a practical LDP mechanisms in FL (Bhowmick et al., 2018; Liu et al., 2020; Girgis et al., 2021).
, but the interpretations are still complicated and not enough for practitioners yet. To give more intuitive interpretations that enable us to assess guaranteed privacy, we have the following two issues; 1) how can we interpret the privacy level given by LDP mechanisms? 2) what types of attacks can we mitigate in practice? To answer these questions, we first introduce a privacy measurement test based on statistical discrimination between randomized responses under various adversaries. Based on the privacy measurement test, we tackle instantiations of adversaries in FL using locally differentially private stochastic gradient descent (LDP-SGD)Duchi et al. (2018); Erlingsson et al. (2020). As for the adversary instantiations, we consider various capabilities for crafting raw gradients (i.e., what types of information the adversary is allowed to access).
Figure 0(a) shows our empirical privacy measurement that is inspired by the hypothesis tests for measuring the lower bound of central DP (CDP) Nasr et al. (2021); Jagielski et al. (2020). The privacy test estimates how an adversary predicts if a reported randomized gradient was crafted from a raw gradient or . To realize such distinguishing game, we introduce crafter and distinguisher. Crafter (maliciously) generates and , then submits a randomized gradient of either one. Distinguisher attempts to discriminate the source of the randomized gradient. The empirical LDP is estimated over sufficient number of games.
As for the adversary instantiations, the main challenge is to actualize robust adversary attacks against the noise to achieve -LDP since the LDP mechanisms tend to inject exetemely larger noise than those of CDP. In addition, we also need to consider collusions between the server and the client. This paper tackles these challenges to realize the way to measure the lower bounds of LDP in FL, and demonstrates the measured ranging from the benign to the worst-case in Figure 0(b).
As a result of our solutions, this paper shows the following four facts: (a) adversaries who directly manipulate raw gradients (i.e., white-box distinguisher) can reach the theoretical upper bounds given by the privacy parameter , (b) even in white-box scenarios, the crafters with accessing only the input data and parameters but not the raw gradient have limited capability, (c) the distinguishers with referring only to the updated model but not any randomized gradient (i.e., black-box distinguisher) have limited capability, (d) collusion with the server, like malicious pre-training, increases the adversary’s capability. See the details in section 4.
Contributions. We here summarize our contributions as following three claims:
We establish the empirical privacy measurement test of LDP in distributed learning environments.
We introduce six types of adversary instantiations that helps practitioners interpret the privacy parameter . We also seek the worst-case attack in FL using LDP-SGD.
We demonstrate the empirical privacy levels (i.e., lower bounds of LDP) at various attack surfaces defined by the instantiated adversaries.
This study enables us to discuss appropriate privacy levels and their relaxations between the (unrealistic) worst-case scenario and the other weak adversaries. At the end, we also discuss the feasibility of the relaxation with introducing a trusted entity like secure aggregator.
Related work. (Liu et al., 2019; Jayaraman and Evans, 2019; Jagielski et al., 2020; Nasr et al., 2021) instantiated adversaries in machine learning under CDP. Liu et al.Liu et al. (2019) proposed an interpretation of the CDP by means of a hypothesis test. An adversary predicts whether the input data is or from the output. They quantified the success of the hypothesis test using precision-recall-relation. Jagielski et al. (Jagielski et al., 2020) were the first to attempt an empirical privacy measure using a hypothesis test. They analyzed the privacy level of training models privacy-protected with DP-SGD (Abadi et al., 2016; Bassily et al., 2014; Song et al., 2013) against membership inference (Yeom et al., 2018) and two poisoning attacks (Gu et al., 2017; Jagielski et al., 2020). Nasr et al. (Nasr et al., 2021) showed that theoretical and empirical are tight when a contaminated database is used for training in DP-SGD. As mentioned above, we follow the abstract framework proposed in (Nasr et al., 2021) but address further challenging issues to realize how to measure the lower bounds of LDP in FL. ML Privacy Meter (Murakonda and Shokri, 2020) verifies whether a mechanism guarantees privacy, while our study shows how a mechanism that already guarantees -LDP can withstand attacks.
This section introduces essential knowledge for understanding our proposal. We first describe local differential privacy. Then, we introduce LDP-SGD, a local privacy mechanism in distributed learning.
2.1 Local Differential Privacy
Definition 1 (-Local Differential Privacy).
A randomized algorithm satisfies -local differential privacy, if and only if for any pair of inputs and for any possible output :
Intuitively, we only obtain the indistinguishable information from even when the inputs differ.
2.2 Federated Learning using LDP-SGD
Federated learning (FL) (McMahan et al., 2017; Kairouz et al., 2021) is a decentralized machine learning technique. The major difference between traditional machine learning and FL is that client does not share her data with servers or other clients. However, in FL, it is pointed out that the images used in training the model can be restored from their gradients released by clients (Geiping et al., 2020; Yin et al., 2021). One way to prevent the restoration is to randomize gradients for satisfying LDP.
As shown in Figure. 0(a), FL assumed in this paper consists of an untrusted model trainer (server) and clients that own sensitive data. First, the client creates the gradient with the parameters distributed by the model trainer. The client then randomizes the gradient under LDP and sends it to the model trainer. The model trainer updates the parameters with the gradient collected from the client. We randomize the gradient using LDP-SGD (locally differentially private stochastic gradient descent) (Duchi et al., 2018; Erlingsson et al., 2020) as described in Algorithm 1 and 2. The client side algorithm (Algorithm 1) performs two gradient randomizations at line 2 and 3. We refer to the line 2 as gradient norm projection and the line 3 as random gradient sampling. We instantiate the adversary based on the following two facts:
Gradient norm projection (line 2): the smaller the norm of the gradient before randomization, the more likely the sign of the gradient is reversed.
Random gradient sampling (line 3): the gradient close to the gradient before randomization is likely to be generated when the privacy parameter is set large.
3 Measuring Lower Bounds of LDP
This section describes how to measure the empirical privacy level of FL under LDP.
3.1 Lower Bounding of LDP as Hypothsis Testing
Given a output of a randomized mechanism
, consider the following hypothesis testing experiment. We choose a null hypothesis as inputand alternative hypothesis as :
: came from a input
: came from a input
For a choice of a rejection region , the false positive rate(FP), when the null hypothesis is true but rejected, is defined as Pr. The false negative rate(FN), when the null hypothesis is false but retained, is defined as Pr where is the complement of . Mechanism satisfying -LDP is equivalent to satisfying the following conditions(Kairouz et al., 2015).
Theorem 1 (Empirical -Local Differential Privacy).
For any , a randomized mechanism is -differentially private if and only if the following conditions are satisfied for all pairs of input values and , and all rejection region :
Therefore, we can determine the empirical -local differential privacy as
For example, in 100 trials, suppose the false-positive rate, when the actual input was but the distinguisher guesses , was 0.1, and the false-negative rate, when the actual input was but the distinguisher guesses , was 0.2. Substitute in FP and FN in Equation 3 to obtain .
3.2 Instantiating the LDP Adversary in FL
To perform the privacy test based on the above hypothesis testing, we define the following entities:
Crafter produces two gradients, and , with the global model , corresponding to a malicious client in FL. This entity honestly randomizes one of gradients by Algorithm 1 and makes it . is sent to the model trainer and distinguisher.
Model trainer uses the received from the crafter to update the global model to by Algorithm 2. This entity corresponds to a untrusted server in FL.
Distinguisher predicts whether the randomized gradient was or . This entity has the data , that the crafter used to generate the gradient.
We divide the distinguisher into two classes, black-box distinguisher and white-box distinguisher. For each distinguisher, we propose two different privacy measurement tests, namely, black-box LDP test (Algorithm 3) and white-box LDP test (Algorithm 4).
3.3 Dinstinguisher Algorithms
Let black-box distinguisher be the distinguisher that cannot access the randomized gradient, but can access the global parameters updated with using it. That is, the black-box disntinguisher only observes the updates after each step of federated learning, but not see any details of inner process of the federated learning. For simplicity’s sake, we only consider the global model is updated using a single randomized gradient. The black-box distinguisher predicts the randomized gradient by computing the loss of (and ), then compare the differences before and after the model update. By default, the distinguisher employs the following inference against two choices:
This is based on that aims to degrade the model. However, the inference does not work well for all crafters. In section 3.4, we mention about the replacement for the inequality.
White-box distinguisher directly accesses a single randomized gradient . In addition, the white-box distinguisher can generate two raw gradients and as well as the client, then computes the similarity between and the raw gradients to estimate the origin of the
. Here, we employ the cosine similarity betweenand . The discrimination by the white-box distinguisher is defined as follows:
3.4 Crafter Algorithms
We propose several types of adversaries depending on the access level. We introduce six types of crafter algorithms Craft() in Algorithm 3 and 4. One crafter algorithm assumes collusion with the model trainer. The adversary setting proposed in this paper is summarized in Table 1.
|Benign||Benign.||Benign.||Eq. (6)||Eq. (5)|
|Input perturbation||Images.||Benign.||Eq. (4)||Eq. (5)|
|Parameter retrogression||Parameters.||Benign.||Eq. (4)||Eq. (5)|
|Gradient flip||Gradients.||Benign.||Eq. (4)||Eq. (5)|
|Collusion||Gradients||Parameters.||Eq. (4)||Eq. (5)|
|Dummy gradient||Gradients.||Benign.||Eq. (7)||Eq. (5)|
Benign setting. As the most realistic setting, suppose all entities are benign. In the benign setting, the crafter uses the global model distributed by the model trainer to generate gradients and from the images and . Thus, the two gradients are also crafted without malicious behaviors as:
In this scenario, the black-box distinguisher considers the reported randomized gradient as if
Input perturbation. This scenario assumes that the crafter produces malicious input data via perturbations. The crafter adds perturbation to the data to make it easier to distinguish the gradient. Although many studies have proposed perturbation algorithms (Papernot et al., 2016; Moosavi-Dezfooli et al., 2016; Papernot et al., 2017; Carlini and Wagner, 2017; Ford et al., 2019), we adopted the FGSM (Fast Gradient Sign Method) (Goodfellow et al., 2014), a well-known method for adversarial perturbations. For an input image, FGSM uses the gradients of the loss with respect to the input image to create a new image that maximizes the loss. Let be an adversary pertubed image crafted as 111We set ..
Parameter retrogression. Let us assume that the crafter has maliciously manipulated the parameters (Nasr et al., 2019). Generating a gradient from manipulated parameters results in a significant difference in norm compared to generating it from benign parameters. This setup suggests the ease of distinguishing between two gradients with very different norms. Let be the parameter updated in the direction of increasing loss as . Generate gradients from the benign parameter and from the retrograded parameter .
Gradient flip. In this setting, the crafter processes the raw gradient. The simplest method of processing a gradient to increase its discriminability is to flip the gradient sign (Nasr et al., 2019). As described in Section 2.2, in the random gradient sampling of LDP-SGD, when is set large, the sign of the gradient is unlikely to change, so we argue that such processing is effective. The crafter uses the global model distributed by the model trainer to generate gradients from the image . Let be a gradient with the sign of flipped.
Collusion. We here consider distributing a malicious model from the server to the clients. As explained in Section 2.2, in the gradient norm projection of LDP-SGD, the smaller the norm of the raw gradient, the easier it is for the sign to be flipped. Taking advantage of this property, we consider a setting where the crafter and the model trainer collude to make generating a gradient with a small norm challenging. With this setting, the model trainer intentionally creates a global model with a massive loss and distributes it to the crafter. The crafter flips a gradient in the same way as the gradient flipping. Thus the gradient is generated as . As a realization of this adversary, we introduce the following procedure. First the model trainer generates a malicious global model from only images with the same label and distribute it to the crafter. Second, the crafter utilizes the malicious model to generate gradients from the image . The label of is different from the label of the images used to generate the malicious model.
As well as the gradient flip, the adversary craft by flipping .
Dummy gradient. Here, we consider that the crafter produces a dummy gradient. LDP-SGD includes the gradient norm projection, which causes errors due to randomly flipping gradients. The intuition here is to craft a dummy gradient that never cause such errors. The simplest way to do this is to generate a gradient with a large norm, regardless of the image or model the crafter has. To craft the dummy gradient, we simply fill a constant into all the elements of the gradient as:
The norm of must be greater than or equal to the clipping threshold to avoid the gradient norm projection. Therefore, let be and be the dimension of the gradient. For another choice of the gradient, we also employ the gradient flipping to maximize the difference against the dummy gradient. Thus the gradient is generated as as well. In this scenario, the black-box distinguisher considers the reported randomized gradient as if
otherwise . This is due to that the crafter produces the dummy gradient by filling the positive constant. The combination of crafting the dummy gradient and flipping it is a worst-case attack for the LDP adversary. We give a proof below.
3.5 Analysis of the Worst-case Attack
In the above adversary instatiations with the crafter and the distinguisher, we can find a worst-case attack in FL using LDP-SGD. About the worst-case, we meet the following proposition.
The white-box distinguisher with the crafter producing a raw gradient whose -norm is larger than or equal to is a worst-case attack reaching the theoretical upper bound given by .
Recall that in LDP-SGD, the direction is reversed depending on the gradient norm and . First, since the sign is easily flipped when the norm of the gradient is small in the gradient norm projection, the norm of the gradient must be greater than or equal to . Hereafter, we assume that is a gradient with norm . Let be the flipped gradient of , and
be the outputs of the random gradient sampling, respectively. With probability of, the following equation holds on line 3.
Let be the gradient randomized of either or with probability of . Let us predict what be. The case can be divided by the cosine similarity between and as follows:
White-box distinguisher predicts for the original data of when the cosine similarity between and is positive, then the prediction is correct with probability . Likewise, white-box distinguisher predicts for the original data of when the cosine similarity between and is negative, then the prediction is correct with probability . Therefore, white-box distinguisher can distinguish and with probability . ∎
4 Numerical Observations
Here, we address an experimental study to observe numerical results of our LDP tests in FL.
4.1 Experimental Setup
For each adversary instantiations listed in Table 1, we run ten measurements and average over these measurement results. Each measurement consists of =10,000 trials by each distinguisher.
We have implemented our algorithms in Pytorch. For each dataset, we used cross-entropy as loss function. We used three layers convolutional neural network for all datasets. To train the models, we use LDP-SGD(Erlingsson et al., 2020) with clipping norm size =1. Guaranteed privacy level is set to 0.5, 1.0, 2.0 and 4.0.
We perform experimental evaluations on four datasets, namely MNIST(LeCun and Cortes, 2010)
, CIFAR-10(Krizhevsky et al., ), Fashion-MNIST (Xiao et al., 2017)
and SVHN(Netzer et al., 2011). Detail results of CIFAR-10, Fashion-MNIST and SVHN are in Appendix.
4.2 Observations of Empirical LDP
Figure 2 shows the measured () by our LDP test varying the privacy parameter .
Benign. In this most realistic setting, even if we set , the empirical privacy strength is , and the gap between the theoretical and the empirical is large. (Figure 1(a)) is equivalent to about in terms of the identifiable probability. White-box distinguisher has a higher than black-box distinguisher. Therefore it is easier to determine the randomized gradient itself than the parameter updated with the randomized gradient .
Input perturbation. From Figure 1(b), the probability of discrimination does not increase even if the gradient of the perturbed image is randomized. The gap between empirical and theoretical privacy strength in this setting is more expansive than in the benign setting. Therefore, even if the image changes slightly due to perturbation, the gradient will not be easy to distinguish.
Parameter retrogression. In this setup, we use a nonmalicious gradient and a generated from parameters that have been processed to increase loss. Since the norm of is larger than the norm of , we assume that discrimination would be easier if it were not randomized. However, Figure 1(c)
shows that the gradient norm has a negligible effect on the discrimination probability. This result is that in LDP-SGD, gradient clipping keeps large normed gradients below a threshold.
Gradient flip. The measured is shown in Figure 1(d). Discriminability was improved compared to the benign setting when the crafter flipped the gradient sign. In particular, when , shows 3.99, almost a theoretical value in white-box distinguisher. As shown in the worst-case proof, LDP-SGD keeps the direction roughly proportional to the guaranteed , so and , which reverses the sign of , are easy to distinguish.
Collusion. The experimental results in Figure 1(e) show that the collusion between the crafter and the model trainer narrows the gap between theoretical privacy and empirical privacy compared to the gradient flipping. In white-box distinguisher of this setting, the empirical reached the theoretical value at all the setting values . has the same meaning as successful discrimination with a probability of about . In the black-box setting, this collusion increased the empirical LDP against the weaker settings described in the above paragraphs.
Dummy gradient. From Figure 1(f), as with the collusion, this setting increases the probability of gradient discrimination. Figure 4 shows the effect of the norm on the discrimination probability: even with a dummy gradient, if the norm is smaller than the clipping size , the gap between the theoretical and measured becomes larger. Daring to generate the dummy gradients with large norm is not common in FL. However, it is clear that maximizing the norm of the gradient and sign flipping is the strongest attack.
Summary of Results. Figure 0(b), 3(a), and 3(b) summarizes the results for each dataset. Over the four datasets, adversaries who directly manipulate raw gradients can reach the theoretical upper bounds given by the privacy parameter . Even in white-box scenarios, adversaries who only access the input data and parameters but not the raw gradient have limited capability. Moreover, adversaries who only refer to the updated model but not any randomized gradient (i.e., black-box scenarios) have the limited capability, collusion with the server employing the malicious model, increases the adversary’s capability in the black-box setting.
4.3 Discussion towards Relaxations of Privacy Parameters
The white-box test resulted in tightly close to the theoretical bound defined by the privacy parameters . While the black-box test demonstrated stronger privacy levels that were far from the bound. To prevent the white-box attacks, we can install a secure aggregator based on such as multi-party computations and trusted execution environments (TEEs) (McKeen et al., 2013; Costan and Devadas, 2016). Using such secure aggregators for updating the global model, the process from reporting gradients to updating the global model is fully encrypted. The experimental results above do not allow any relaxation only with local randomizers, but with shuffler (Bittau et al., 2017; Erlingsson et al., 2019; Feldman et al., 2022; Liew et al., 2022) or aggregator implemented by such secure computations (Bonawitz et al., 2017; Kato et al., 2022), relaxation of can be reasonable in the view of empirical privacy risks. Even when the shuffler is untrusted and the gradient is randomized with a relaxed privacy parameter (like ), the empirical privacy risk against the shuffler might not be significant (like ). Another possible way is to prohibit gradient poisoning. As shown in the experiments, without directly manipulating gradients, the empirical privacy is significantly far from the given privacy bound. If the range of possible input training data is limited, we can introduce out-of-distribution detectors before randomizing raw gradients. In other words, by adding some restrictions to the crafter, the model trainer, and the distinguisher, it may also be possible to relax .
We introduced the empirical privacy test by measuring the lower bounds of LDP. We then instantiated six adversaries in FL under LDP to measure empirical LDP at various attack surfaces, including the worst-case attack that reached the theoretical upper bound of LDP. We also demonstrated numerical observations of the measured privacy in these adversarial settings. In the end, we discussed the possible relaxation of privacy parameter with using a trusted entity.
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Appendix A Experimental Details
This appendix provides details of the setup and additional experimental results.
a.1 Experimental Setup
Datasets. We run experiments on four datasets:
MNIST: We use the MNIST image dataset, which consists of 2828 handwritten grayscale digit images, and the task is to recognize the 10 class digits.
CIFAR-10: We use CIFAR10, a standard benchmark dataset consisting of 32
32 RGB images. The learning task is to classify the images into ten classes of different objects.
Fashion-MNIST: Each example of Fashion-MNIST is a 2828 grayscale image associated with a label from 10 classes.
SVHN: This dataset is obtained from house numbers in Google Street View images. SVHN consists of 3232 RGB images, and the task is to recognize the 10 class digits.
Neural Network Architecture. The neural network we use in the experiments is as in Table 3.
|Convolution||16 filters of 8
8, strides 2
|Max-Pooling||22 window, strides 2|
|Convolution||32 filters of 44, strides 2|
|Max-Pooling||22 window, strides 2|
|Number of clients||Measured|
a.2 Additional Observations
Dataset Perspectives. Figure 5, 6 and 7 show that the empirical privacy in federated learning in CIFAR-10, Fashion-MNIST, and SVHN datasets. The observation of using four datasets shows that is data-independent and has a similar trend. As in Section 4.2, the white-box LDP test is more potent than the black-box LDP test. Furthermore, the craft of dummy gradients is closest to the theoretical .
White-box test showed higher than black-box test. This is a natural result in black-box scenarios since the model trainer aggregate gradients such as averaging, learning rate multiplication, and -projection. The more clients used to update parameters in FL, the more pronounced this trend becomes. Table 3 shows that the black-box test for multiple clients becomes more difficult as the number of clients increases.
Input perturbation and parameter retrogression were not successful. As mentioned in Section 2.2, LDP-SGD includes the clipping gradient and the random gradient sampling. The clipping gradient ignores large differences between the norms of and . Furthermore, the random gradient sampling rotates the gradient by at most 90 degrees, so any slight difference in the direction of and is ignored.