Clustered federated learning (CFL) can suffer from cluster collapse. In particular, under unfavorable initialization, early client assignments concentrate heterogeneous groups on one cluster model, which is then trained toward a pooled compromise, while another model receives no updates. Since the current models determine client routing and routing determines subsequent model updates, we formulate clustered federated learning as control of an unknown dynamical system, with cluster models as the evolving state, client routing patterns as the control input, and routing interventions as state dependent controllers. In a two group linear model, we identify an initialization region in which greedy routing makes collapse self reinforcing. We then derive finite horizon error dynamics showing how routing interventions can reverse collapse by repeatedly training the starved model, primarily with updates from its compatible group. Motivated by this condition, each client uses blocked EXP3 to choose between greedy routing and interventions that redirect updates toward unused models. Experiments show that with simpler predictors and faster specialist formation, autonomous controller selection recovers usable specialists from unfavorable starts that trap standard CFL baselines. In transformed FEMNIST, the synchronized-entry configuration with persistent commitment recovers usable specialists in settings where the autonomous controller configuration often does not. Code and scripts for reproducing the experiments and figures are available at https://github.com/prsinha1/FedRecover.
Figures & tables
Figure 1: Empirical frequency of initial common preference, membership in the certified starvation basin Bstarve , persistent greedy collapse, and terminal nonrecovery as functions of the initialization spread ρ .
Figure 2: Recovery from collapsed initialization in linear (a:d) and FEMNIST (e:h) settings.
Appendix figures & tables4 assets
Supplementary material from the paper’s appendix.
Appendix
Figure B.1: Linear controller adaptation over Greedy failure cells.
Figure B.2: FEMNIST predictive cost under executed routing.
Figure B.3: GMM terminal structure and loss across the initialization radius.
Clustered Federated Learning (FL) partitions a client population into groups of similar local distributions and trains one specialized model per cluster, mitigating client drift that degrades single-model methods under non-IID data. Prior methods discover cluster structure inside the training loop through gradient similarity, loss evaluation, or EM-style updates, thus increasing communication overhead, exposing gradients to inversion attacks, and providing no mechanism to assign clients absent from training. We propose RIPPLE, a clustered FL framework in which cluster assignment is computed entirely offline from a spectral characterization of each client's local data: a variance-weighted principal-component prototype embedded via the Wavelet Scattering Transform and decoded by a Gaussian Mixture VAE trained server-side on synthetic client populations before federation begins. Per-round communication cost matches FedAvg exactly, and a client absent from training obtains a personalized model from a single forward pass, without gradient computation, model evaluation, or extra communication round. We prove that the gap between RIPPLE's surrogate clustered objective and the oracle is bounded by a computable quantity decaying with client sample size and independent of federation duration; per-cluster convergence matches the minimax-optimal rate for non-convex smooth objectives. Across five benchmarks spanning controlled and realistic heterogeneity, RIPPLE consistently outperforms all baselines, with margins growing on the most realistic partitions.
Alessandro Licciardi
Department of Mathematical Sciences Politecnico di Torino, Turin, Italy
Federated Learning often suffers under non-independently and identically distributed data, where a single global model may fail to represent the diversity of client distributions. Clustered Federated Learning mitigates this issue by training specialized models for groups of similar clients, but existing approaches often couple cluster assignment with the main training loop, increasing computational and communication costs. We propose a lightweight clustering approach based on Random Network Distillation. Each client trains a compact Random Network Distillation predictor on its local data and uses its prediction error as a novelty signal to estimate similarity with other clients. This enables the discovery of meaningful client groups before federated training, without sharing raw data or repeatedly evaluating the main model. Crucially, the resulting federations emerge from local novelty estimates at runtime, making the method suitable for autonomous large-scale distributed systems where neither the number of clusters nor the collaboration structure can be specified a priori. Overall, by decoupling clustering from learning, the method provides a task-agnostic and efficient mechanism for autonomous collaboration under non-independently and identically distributed data.
Davide Domini, Gianluca Aguzzi, Ivana Dusparic +2
University of Bologna Cesena, Italy · Trinity College Dublin Dublin, Ireland
Federated Learning (FL) enables collaborative model training across distributed clients without sharing raw data, yet its performance deteriorates under statistical heterogeneity. Clustered Federated Learning addresses this challenge by grouping similar clients and training separate models per cluster. However, existing clustering strategies often rely on raw data statistics, model parameters, or heuristic similarity measures that fail to capture class-level semantic structure across heterogeneous domains and frequently require iterative coordination. We propose FMCL, a one-shot, class-aware client clustering framework that leverages foundation model representations to construct semantic client signatures. Using a frozen foundation model, FMCL computes class-level embedding prototypes for each client and measures similarity via cosine distance between their class-aware representations. Clustering is performed once prior to training, introducing no additional communication during federated optimization and remaining agnostic to the downstream model architecture. Extensive experiments across heterogeneous benchmarks demonstrate that FMCL improves federated performance and yields more stable clustering behavior compared to existing clustering-based methods under non-identically distributed data partitioning.
Mahad Ali, Laura J. Brattain
University of Central Florida, Orlando FL 32816, USA