Formal verification of tree-based machine learning models for lateral spreading
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Abstract (arXiv)
Machine learning models for geotechnical hazard prediction can achieve high accuracy while learning physically inconsistent relationships from sparse or biased training data. Current remedies (post-hoc explainability, such as SHAP and LIME, and training-time constraints) either diagnose individual predictions approximately or restrict model capacity without providing exhaustive guarantees. This paper encodes trained tree ensembles as logical formulas in a Satisfiability Modulo Theories (SMT) solver and checks physical specifications across the entire input domain, not just sampled points. Four geotechnical specifications (water table depth, PGA monotonicity, distance safety, and flat-ground safety) are formalized as decidable logical formulas and verified via SMT against both XGBoost ensembles and Explainable Boosting Machines (EBMs) trained on the 2011 Christchurch earthquake lateral spreading dataset (7,291 sites, four features). The SMT solver either produces a concrete counterexample where a specification fails or proves that no violation exists. The unconstrained EBM (80.1% accuracy) violates all four specifications. A fully constrained EBM (67.2%) satisfies three of four specifications, demonstrating that iterative constraint application guided by verification can progressively improve physical consistency. A Pareto analysis of 33 model variants reveals a persistent trade-off, as none of the variants studied achieve both greater than 80% accuracy and full compliance with the specified set. SHAP analysis of specification counterexamples shows that the offending feature can rank last, demonstrating that post-hoc explanations do not substitute for formal verification. These results establish a verify-fix-verify engineering loop and a formal certification for deploying physically consistent ML models in safety-critical geotechnical applications.
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References · 14
- 2017A Unified Approach to Interpreting Model Predictionscited by 6,555
- 2016XGBoost: A Scalable Tree Boosting Systemcited by 5,166
- 2016"Why Should I Trust You?": Explaining the Predictions of Any Classifiercited by 5,070
- 2019InterpretML: A Unified Framework for Machine Learning Interpretabilitycited by 246
- 2018Abduction-Based Explanations for Machine Learning Modelscited by 160
- 2015Evasion and Hardening of Tree Ensemble Classifierscited by 44
- 2019Robustness Verification of Tree-based Modelscited by 33
- 2019Formal Verification of Input-Output Mappings of Tree Ensemblescited by 13
- 2020Versatile Verification of Tree Ensemblescited by 12
- 2024Explainable AI models for predicting liquefaction-induced lateral spreadingcited by 6
- 2026Data-Aware and Scalable Sensitivity Analysis for Decision Tree Ensemblescited by 2
- 2025Investigating the effect of CPT in lateral spreading prediction using Explainable AIcited by 1
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