# SubFLOT: Submodel Extraction for Efficient and Personalized Federated Learning via Optimal Transport

arXiv: https://arxiv.org/abs/2604.06631 · HTML: https://mlsanity.com/paper/2604.06631/

## Key facts

- Cited by 1 papers in the map (data through 14 Oct 2026).
- Builds on 28 of its 46 references that are in the map.
- First posted on arXiv 8 Apr 2026.

## Builds on (most cited first, 28 of 28)

- [Deep Residual Learning for Image Recognition](https://mlsanity.com/paper/1512.03385/) (2015)
- [Very Deep Convolutional Networks for Large-Scale Image Recognition](https://mlsanity.com/paper/1409.1556/) (2014)
- [Communication-Efficient Learning of Deep Networks from Decentralized Data](https://mlsanity.com/paper/1602.05629/) (2016)
- [Grad-CAM: Visual Explanations from Deep Networks via Gradient-based Localization](https://mlsanity.com/paper/1610.02391/) (2016)
- [MobileNetV2: Inverted Residuals and Linear Bottlenecks](https://mlsanity.com/paper/1801.04381/) (2018)
- [Character-level Convolutional Networks for Text Classification](https://mlsanity.com/paper/1509.01626/) (2015)
- [The Lottery Ticket Hypothesis: Finding Sparse, Trainable Neural Networks](https://mlsanity.com/paper/1803.03635/) (2018)
- [On the Convergence of FedAvg on Non-IID Data](https://mlsanity.com/paper/1907.02189/) (2019)
- [Bag of Tricks for Efficient Text Classification](https://mlsanity.com/paper/1607.01759/) (2016)
- [Personalized Federated Learning with Moreau Envelopes](https://mlsanity.com/paper/2006.08848/) (2020)
- [A Downsampled Variant of ImageNet as an Alternative to the CIFAR datasets](https://mlsanity.com/paper/1707.08819/) (2017)
- [HeteroFL: Computation and Communication Efficient Federated Learning for Heterogeneous Clients](https://mlsanity.com/paper/2010.01264/) (2020)
- [Personalized Federated Learning: A Meta-Learning Approach](https://mlsanity.com/paper/2002.07948/) (2020)
- [Personalized Cross-Silo Federated Learning on Non-IID Data](https://mlsanity.com/paper/2007.03797/) (2020)
- [Model Fusion via Optimal Transport](https://mlsanity.com/paper/1910.05653/) (2019)
- [DeepJDOT: Deep Joint Distribution Optimal Transport for Unsupervised Domain Adaptation](https://mlsanity.com/paper/1803.10081/) (2018)
- [Personalized Federated Learning with First Order Model Optimization](https://mlsanity.com/paper/2012.08565/) (2020)
- [Expanding the Reach of Federated Learning by Reducing Client Resource Requirements](https://mlsanity.com/paper/1812.07210/) (2018)
- [Unbalanced minibatch Optimal Transport; applications to Domain Adaptation](https://mlsanity.com/paper/2103.03606/) (2021)
- [FedRolex: Model-Heterogeneous Federated Learning with Rolling Sub-Model Extraction](https://mlsanity.com/paper/2212.01548/) (2022)
- [Efficient Model Personalization in Federated Learning via Client-Specific Prompt Generation](https://mlsanity.com/paper/2308.15367/) (2023)
- [Global and Local Prompts Cooperation via Optimal Transport for Federated Learning](https://mlsanity.com/paper/2403.00041/) (2024)
- [Eliminating Domain Bias for Federated Learning in Representation Space](https://mlsanity.com/paper/2311.14975/) (2023)
- [FedCP: Separating Feature Information for Personalized Federated Learning via Conditional Policy](https://mlsanity.com/paper/2307.01217/) (2023)
- [PACS: A Dataset for Physical Audiovisual CommonSense Reasoning](https://mlsanity.com/paper/2203.11130/) (2022)
- [FedP3: Federated Personalized and Privacy-friendly Network Pruning under Model Heterogeneity](https://mlsanity.com/paper/2404.09816/) (2024)
- [AdaptiveFL: Adaptive Heterogeneous Federated Learning for Resource-Constrained AIoT Systems](https://mlsanity.com/paper/2311.13166/) (2023)
- [FlexFL: Heterogeneous Federated Learning via APoZ-Guided Flexible Pruning in Uncertain Scenarios](https://mlsanity.com/paper/2407.12729/) (2024)

## Built on by (most cited first, 1 of 1)

- [MedVR: Annotation-Free Medical Visual Reasoning via Agentic Reinforcement Learning](https://mlsanity.com/paper/2604.08203/) (2026)

## Abstract (arXiv)

Federated Learning (FL) enables collaborative model training while preserving data privacy, but its practical deployment is hampered by system and statistical heterogeneity. While federated network pruning offers a path to mitigate these issues, existing methods face a critical dilemma: server-side pruning lacks personalization, whereas client-side pruning is computationally prohibitive for resource-constrained devices. Furthermore, the pruning process itself induces significant parametric divergence among heterogeneous submodels, destabilizing training and hindering global convergence. To address these challenges, we propose SubFLOT, a novel framework for server-side personalized federated pruning. SubFLOT introduces an Optimal Transport-enhanced Pruning (OTP) module that treats historical client models as proxies for local data distributions, formulating the pruning task as a Wasserstein distance minimization problem to generate customized submodels without accessing raw data. Concurrently, to counteract parametric divergence, our Scaling-based Adaptive Regularization (SAR) module adaptively penalizes a submodel's deviation from the global model, with the penalty's strength scaled by the client's pruning rate. Comprehensive experiments demonstrate that SubFLOT consistently and substantially outperforms state-of-the-art methods, underscoring its potential for deploying efficient and personalized models on resource-constrained edge devices.