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Title: Federated Learning: The Covenant of Distributed Witness
Revision: 3.0
Format: Section headings as keys, paragraph content as values
Footnote Convention: Parenthetical circumflex numerals (^N)
Main:
The Central Tension:
Machine learning's appetite for data confronts an immovable object:
data cannot always move. Privacy law, competitive interest, bandwidth
constraint, and sheer volume conspire to keep information tethered to
its origin. Federated learning resolves this impasse not by
circumventing the constraint but by inverting the paradigm---the model
travels to the data rather than data traveling to the model.

The architecture resembles less a central granary receiving tribute
than a network of scholars who study their local libraries, then
convene to synthesize insight without photocopying a single page.
The Allegory of the Cartographers Guild:
Consider a guild of cartographers scattered across an unmapped
continent. Each member surveys only their immediate territory---one
charts coastal inlets, another mountain passes, a third the meandering
courses of rivers. The guild master in the capital city seeks a
complete map but cannot compel members to ship their surveys; the
documents are too voluminous, too sensitive (revealing strategic
resources), and the roads too dangerous.

The solution: each cartographer studies their terrain, then distills
observations into improved techniques of mapmaking---better methods
for estimating elevation from shadow, superior conventions for
depicting vegetation density. These methodological refinements travel
to the capital. The guild master synthesizes them into an updated Ars
Cartographica, which returns to all members. No survey leaves its
province; yet every cartographer benefits from continental-scale
learning.

This is federated learning. The surveys are raw training data; the
methodological refinements are gradient updates or model weight deltas;
the Ars Cartographica is the global model; the guild master is the
aggregation function.
The Guild Master and the Ars Cartographica:
The guild master's responsibility accrues in several dimensions beyond
data assembly.

Policy arbitration: When cartographers submit conflicting
conventions---one preferring contour intervals of ten meters, another
of twenty---the guild master must adjudicate. Adjudication may follow
explicit rules (weight by surveyed area, defer to coastal expertise
for maritime regions) or require discretionary judgment when rules
prove insufficient.

Quality assurance: The guild master must detect corrupted or malicious
submissions. A cartographer who deliberately misrepresents terrain (a
poisoning attack in federated terms) degrades the Ars Cartographica
for all. Detection requires domain expertise, anomaly identification,
and sometimes human review of flagged contributions.

Versioning and provenance: Each edition of the Ars Cartographica must
trace to its contributing refinements. When errors surface, the guild
master must identify which contribution introduced the fault and
whether remediation requires full recomputation or targeted correction.

Governance communication: The guild master publishes criteria for
contribution acceptance, methodological standards, and dispute
resolution procedures. Members must understand expectations before
distilling surveys into refinements.

In automated systems, these responsibilities translate to algorithmic
design, monitoring infrastructure, and governance frameworks. In
developmental phases, human operators perform these functions
manually---designing aggregation logic, reviewing anomalous updates,
documenting provenance, drafting participation agreements. The guild
master function is an automation target requiring substantial prior
process maturation.
Architecture - Nodes, Aggregator, and the Circulation of Wisdom:
The federated architecture comprises three functional elements: local
nodes, the aggregation function, and the communication protocol
binding them.

Local nodes represent the computational instantiation of client
participation. Each client---whether a hospital system holding clinical
notes, an enterprise with proprietary documents, or a consumer device
with personal messages---operates one or more nodes. The distinction
is essential: the client is an organizational entity making governance
decisions (participation consent, data selection, privacy thresholds);
the node is the hardware-software system executing training
computations. Clients bear responsibility; nodes perform work.

The aggregation function coordinates learning rounds:

1. Distribution: Current global model parameters propagate to
participating nodes.

2. Local training: Each node fine-tunes on its private data, producing
weight updates---the mathematical residue of what local data taught.

3. Upload: Nodes transmit only the updates, the difference between
locally trained parameters and the starting point.

4. Aggregation: The aggregation function combines updates (commonly
via weighted averaging, as in FedAvg (^1)) to produce an improved
global model.

5. Iteration: The cycle repeats until convergence.

In mature deployments, steps 1-5 execute automatically. In practice,
organizations must first develop manual processes for each step:
defining participation criteria, validating update integrity, handling
node failures, adjudicating edge cases. Software automation
encapsulates these processes once well-understood. The aggregation
function represents substantial manual process development before
automation becomes feasible---policy must precede code.

Raw training data never crosses the node boundary. What circulates is
synthesized pattern---the model's learned adjustments, abstracted from
any individual example.
The Symbolism of the Threshold:
The node boundary operates as a threshold in the ritual sense: a
liminal space where transformation occurs. Raw experience---the
documents, images, and records held locally---cannot pass outward in
original form. It must first transmute into gradient, a mathematical
residue capturing what the data taught without preserving what the
data was.

This transmutation involves human decisions prior to automation: which
data to include in training, how to preprocess it, what privacy
thresholds to enforce. The threshold is not merely a software boundary
but a governance boundary requiring human policy before machine
execution.

The transmutation remains imperfect. Gradient updates can, under
adversarial conditions, leak information about training examples
(membership inference, model inversion attacks). Threshold guardians
are therefore enlisted:

Differential privacy: Noise injection into gradients, calibrated to
bound the influence any single example exerts on the final model---a
statistical veil ensuring plausible deniability.

Secure aggregation: Cryptographic protocols allowing the aggregation
function to compute the sum of updates without observing any
individual contribution---the guild master receives only synthesized
consensus, never any single cartographer's refinement.

The threshold metaphor illuminates the fundamental trade-off: more
rigorous privacy (thicker veil) degrades model utility; thinner veils
risk exposure. Federated learning occupies a regime between full
centralization (no veil, maximum utility, minimum privacy) and pure
isolation (impenetrable veil, no collective learning).
The Landscape of Non-Identical Distribution:
Centralized training draws from a heterogeneous data lake---a
commingled reservoir aggregating examples from diverse sources,
populations, and contexts. The lake's heterogeneity is managed through
shuffling, stratification, and sampling to approximate a coherent
training distribution.

Federated learning confronts a fragmented archipelago: each node's
data reflects a homogeneous local landscape with accentuated purpose.
The pediatric clinic sees only children; the geriatric ward sees only
the elderly; the occupational health center sees only working-age
adults with industrial exposures. Each local dataset is internally
consistent---homogeneous---but collectively, the archipelago exhibits
radical statistical heterogeneity (non-IID data).

The parable of the regional physicians: Three physicians train
diagnostic models. One practices in a pediatric clinic (patients under
12), another in a geriatric ward (patients over 70), the third in an
occupational health center (working-age adults exposed to industrial
hazards). Each local model becomes expert in its cohort but develops
blind spots---the pediatric model misinterprets arthritis; the
geriatric model underweights sports injuries.

Naive averaging of their updates produces a model that underperforms
on all three populations, a form of catastrophic forgetting at the
aggregate level. The global model lurches toward whichever node
trained longest or contributed largest gradients, leaving minority
cohorts underserved.

Solutions include:

FedProx (^2): A regularization term penalizing divergence from the
global model, preventing any node from straying too far.

Personalization layers: Maintaining shared backbone parameters while
allowing node-specific heads that adapt to local distribution.

Client selection strategies: Sampling nodes to balance representation
rather than weighting by data volume alone.

Each solution requires human judgment in design: which regularization
strength, which layers to share, which sampling criteria. Automation
follows process maturity.
Federated Learning for Large Language Models:
Scaling federated learning to LLM contexts introduces specific
challenges and opportunities.

The challenge of model size: A 7-billion-parameter model requires
approximately 14 GB in half-precision. Transmitting full weight
updates per round overwhelms most network connections. Mitigation
strategies include:

Low-rank adaptation (LoRA): Training only a small set of
rank-decomposed update matrices, reducing transmission volume by
orders of magnitude.

Gradient compression: Sparsification, quantization, and error-feedback
mechanisms to shrink update payloads.

Partial model updates: Training only select layers (attention heads,
embedding layers) per round.

The opportunity of personalization: LLMs trained federatively can
adapt to user-specific linguistic patterns, domain vocabularies, and
stylistic preferences without centralizing sensitive text. A keyboard
application learns individual typing habits across millions of
devices; the global model improves next-word prediction generally,
while local adaptation captures idiolect.

The tension of alignment: Federated fine-tuning for instruction-
following or value alignment faces a distributed principal problem:
whose values? If nodes represent heterogeneous populations with
conflicting preferences, the aggregated model may produce incoherent
or self-contradictory behaviors.
The Tension of Alignment Expanded:
The guild master synthesizes conflicting refinements into an Ars
Cartographica that may satisfy no faction fully---a political rather
than purely technical challenge. The guild master's discretion becomes
paramount:

Weighting policy: Should all nodes contribute equally, or should
contributions weight by data volume, data quality, or client
importance? Each choice encodes values.

Conflict resolution: When one client's update contradicts another's,
the guild master must decide: average (blur both), select (privilege
one), or reject (require clarification). No algorithm resolves this
without embedded human judgment.

Transparency obligations: Clients may demand to know how their
contributions influenced the final model. The guild master must
maintain audit trails and, in some regulatory contexts, provide
explanations.

Opt-out and remediation: When a client withdraws consent, can their
influence be removed from the model? Machine unlearning remains an
active research area; the guild master must define policy even where
technical solutions are immature.

These responsibilities illustrate why the aggregation function
requires substantial manual process development. Automation
encapsulates policy; policy must be designed, debated, and documented
by humans before code can execute it.
The Imagery of Flow and Fortress:
The federated network is a constellation of walled cities connected by
guarded roads. Within each city, citizens (data points) live and work;
their activities inform the local council (training process). The
council distills policy improvements (gradient updates) and dispatches
envoys to the capital (aggregation function). The capital publishes
revised statutes (updated global model), which envoys carry home.

No citizen ever leaves their city. No outsider enters. Yet the law of
the land improves through coordinated abstraction.

This imagery clarifies both the power and the limitation: federated
learning protects location of data but not necessarily influence of
data. An adversarial envoy (poisoned client) can inject malicious
updates; the capital must authenticate envoys and scrutinize
contributions. The guards at the gate represent validation logic,
anomaly detection, and---in developmental phases---human reviewers
inspecting suspicious updates.
Alternative Topologies Beyond Client-Server:
The guild-and-capital model assumes a trusted coordinator.
Decentralized (peer-to-peer) variants eliminate this single point of
trust:

Gossip protocols: Nodes exchange updates with neighbors, propagating
improvements virally without central aggregation.

Blockchain-Mediated Federated Learning (BCFL): Updates commit to a
distributed ledger, with aggregation computed by consensus algorithm.
The blockchain serves as an immutable audit trail and removes the need
for a trusted central aggregator, though at substantial computational
and latency cost.

These architectures trade coordination efficiency for trust
minimization---appropriate when no party should hold aggregation
power, but incurring higher communication overhead and convergence
latency.

Peer-to-peer variants require even more careful manual process design:
without a central guild master, every node must implement validation,
versioning, and conflict resolution. Decentralization distributes
responsibility but does not eliminate it.
Boundaries - What Federated Learning Cannot Claim:
Federated learning is not a panacea for privacy:

1. Model inversion remains possible: Sufficiently powerful adversaries
with access to the trained model can sometimes reconstruct training
data characteristics.

2. Membership inference: Attackers may determine whether a specific
example appeared in training, even without accessing raw data.

3. Gradient leakage: Without additional protections (differential
privacy, secure aggregation), transmitted gradients can reveal
surprising amounts of information.

Federated learning provides architectural privacy (data does not leave
node) but not informational privacy (protection against all
inference). The two must be distinguished; conflation breeds false
assurance.

Furthermore, federated learning does not eliminate the need for trust;
it redistributes trust. Clients must trust the aggregation function to
behave as specified. Nodes must trust that updates from peers are not
malicious. The guild master must trust that clients have not corrupted
their local data. Each trust assumption requires governance, audit,
and often human oversight before automation can reliably substitute.
The Covenant's Terms:
Federated learning constitutes a covenant among data custodians: we
shall improve our collective capacity for prediction and generation
without surrendering custody of our charges. The covenant succeeds to
the degree that:

Aggregation protocols resist adversarial manipulation.

Privacy-enhancing technologies bound information leakage.

Heterogeneous data distributions are accommodated rather than
suppressed.

Communication efficiency permits participation by resource-constrained
nodes.

The LLM instantiation of this covenant enables language models trained
on distributed private corpora---clinical notes, legal documents,
personal communications---without centralizing sensitive text. The
model learns the form of such writing, its patterns and regularities,
while the substance remains sequestered.
Coda:
The cartographers never ship their surveys. The physicians never share
their patient records. The citizens never leave their walled cities.
Yet knowledge propagates, models improve, and collective intelligence
emerges from the synthesis of distilled experience.

This outcome is not automatic. Experts guard their wisdom as
jealously as they guard their secrets---both represent competitive
advantage, hard-won insight, and irreplaceable investment. Why should
they contribute refinements to a shared Ars Cartographica when
hoarding preserves advantage?

The answer draws from an older disclosure tradition. In 1853, the
locksmith A. C. Hobbs addressed the objection that publishing
lock-picking techniques rewarded dishonesty: "Rogues are very keen in
their profession, and know already much more than we can teach them
respecting their several kinds of roguery... If a lock is not so
inviolable as it has hitherto been deemed to be, surely it is to the
interest of honest persons to know this fact, because the dishonest
are tolerably certain to be the first to apply the knowledge
practically; and the spread of the knowledge is necessary to give fair
play to those who might suffer by ignorance." (^3)

The same logic animates federated participation. Adversaries already
probe vulnerabilities; they already exploit model weaknesses; they
already aggregate what they can. The question is whether honest
parties---those with legitimate data, lawful purposes, and aligned
interests---will pool their methodological refinements to produce
defenses and capabilities that no isolated participant could achieve.
Withholding wisdom does not preserve it; it merely cedes the field to
those less scrupulous.

Participation in the covenant thus becomes a matter of enlightened
collective interest rather than naive generosity. The guild master
must demonstrate that contributors receive fair value: access to a
global model superior to any local training, audit rights confirming
their influence was incorporated, and governance mechanisms ensuring
the aggregation serves shared rather than extractive ends. Without
these assurances, the archipelago remains isolated, each island
hoarding its maps while adversaries chart the waters between.

Federated learning operationalizes the hard-won insight that wisdom
can travel while secrets stay home---but only when all parties
consent, when governance is credible, and when the exchange is
demonstrably equitable. The covenant holds not by assumption but by
design, maintenance, and ongoing renegotiation among those who
recognize that isolation, however comfortable, leaves honest parties
at the mercy of those who share no such restraint.
Glossary:
Node:
The computational instantiation through which an organizational
stakeholder (client) participates in federated learning. A node is
hardware and software; the client is the human organizational entity
that owns, operates, and governs that node. Nodes execute training;
clients determine policy, authorize participation, and bear
responsibility for data governance.
Client:
The organizational stakeholder---hospital system, enterprise, mobile
device user---whose data resides locally and who elects to
participate in federated learning. Clients make governance decisions;
nodes execute computational tasks. A client may operate multiple
nodes.
Aggregation Server:
The coordinating function that synthesizes weight updates from
participating nodes into an improved global model. In mature
deployments, this function is automated; in developmental phases,
substantial manual process design, validation, and oversight is
required. The aggregation server represents an automation target, not
an assumption of existing automation.
Gradient Update:
The mathematical difference between a model's parameters before and
after local training---a distillation of what the local data taught
without preserving the data itself. Gradients are the currency of
federated exchange.
Global Model:
The synthesized model incorporating aggregated updates from all
participating nodes. The collective artifact that no single client
could produce alone.
Differential Privacy:
A mathematical framework guaranteeing that the influence of any
single training example on the final model remains bounded, typically
through calibrated noise injection into gradient updates.
Secure Aggregation:
Cryptographic protocols enabling computation of aggregate statistics
(e.g., summed gradients) without revealing any individual
contribution to the aggregator.
Non-IID Data:
Non-identically and independently distributed data. In federated
contexts, each client's local data reflects distinct population
characteristics, temporal windows, or usage patterns---violating the
assumption of homogeneous sampling that centralized training enjoys.
FedAvg:
Federated Averaging. The canonical aggregation algorithm proposed by
McMahan et al. (^1), which computes weighted averages of client model
updates proportional to local dataset size.
FedProx:
A regularization-enhanced variant of FedAvg (^2) that penalizes
divergence between local and global models, mitigating the
pathological effects of heterogeneous data distributions.
Blockchain-Mediated Federated Learning (BCFL):
A decentralized federated learning architecture where model updates
are committed to a distributed ledger and aggregation is computed via
blockchain consensus mechanisms. BCFL eliminates the need for a
trusted central aggregator, providing immutable audit trails and
tamper-resistant update verification, at the cost of increased
computational overhead, energy consumption, and convergence latency.
LoRA (Low-Rank Adaptation):
A parameter-efficient fine-tuning technique that trains only small
rank-decomposed matrices rather than full model weights, reducing
communication costs in federated LLM training by orders of magnitude.
Model Inversion Attack:
An adversarial technique that reconstructs training data
characteristics from model parameters or outputs, demonstrating that
architectural privacy (data staying local) does not guarantee
informational privacy (protection against inference).
Membership Inference Attack:
An adversarial technique that determines whether a specific example
was included in a model's training data, exploiting subtle
differences in model behavior on seen versus unseen examples.
References:
  • Footnote: (^1)
    Citation:
    McMahan, H. B., et al. "Communication-Efficient Learning of Deep
    Networks from Decentralized Data." AISTATS 2017.
    URL: https://arxiv.org/abs/1602.05629
  • Footnote: (^2)
    Citation:
    Li, T., et al. "Federated Optimization in Heterogeneous Networks."
    MLSys 2020.
    URL: https://arxiv.org/abs/1812.06127
  • Footnote: (^3)
    Citation:
    Hobbs, A. C. "Rudimentary Treatise on the Construction of Locks."
    J. Weale, 1853, p. 2.
    URL: https://archive.org/details/locks00telerich