Personalized federated learning (PFL) has gained great success in tackling the scenarios where target datasets are heterogeneous across the local clients. However, the application of the existing PFL methods to real-world setting is hindered by the common assumption that the test data on each client is in-distribution (IND) with respect to its training data. Due to the bias of training dataset, the modern machine learning model prefers to rely on shortcut which can perform well on the training data but fail to generalize to the unseen test data that is out-of-distribution (OOD). This pervasive phenomenon is called shortcut learning and has attracted plentiful efforts in centralized situations. In PFL, the limited data diversity on federated clients makes mitigating shortcut and meanwhile preserving personalization knowledge rather difficult. In this paper, we analyse this challenging problem by formulating the structural causal models (SCMs) for heterogeneous federated clients. From the proposed SCMs, we derive two significant causal signatures which inspire a provable shortcut discovery and removal method under federated learning, namely FedSDR. Specifically, FedSDR is divided into two steps: 1) utilizing the available training data distributed among local clients to discover all the shortcut features in a collaborative manner. 2) developing the optimal personalized causally invariant predictor for each client by eliminating the discovered shortcut features. We provide theoretical analysis to prove that our method can draw complete shortcut features and produce the optimal personalized invariant predictor that can generalize to unseen OOD data on each client. The experimental results on diverse datasets validate the superiority of FedSDR over the state-of-the-art PFL methods on OOD generalization performance.
Learning Personalized Causally Invariant Representations for Heterogeneous Federated Clients
Xueyang Tang Song Guo Jie ZHANG Jingcai Guo