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  <front>
    <journal-meta />
    <article-meta>
      <title-group>
        <article-title>EnnCore: End-to-End Conceptual Guarding of Neural Architectures</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <string-name>Edoardo Manino</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Danilo Carvalho</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Yi Dong</string-name>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Julia Rozanova</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Xidan Song</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Mustafa A. Mustafa</string-name>
          <email>mustafa.mustafag@manchester.ac.uk</email>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff3">3</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Andre Freitas</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
          <xref ref-type="aff" rid="aff2">2</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Gavin Brown</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Mikel Luj a´n</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Xiaowei Huang</string-name>
          <email>xiaoweig@liverpool.ac.uk</email>
          <xref ref-type="aff" rid="aff1">1</xref>
        </contrib>
        <contrib contrib-type="author">
          <string-name>Lucas Cordeiro</string-name>
          <xref ref-type="aff" rid="aff0">0</xref>
        </contrib>
        <aff id="aff0">
          <label>0</label>
          <institution>Department of Computer Science, The University of Manchester</institution>
          ,
          <addr-line>Manchester, M13 9PL</addr-line>
          ,
          <country country="UK">U.K</country>
        </aff>
        <aff id="aff1">
          <label>1</label>
          <institution>Department of Computer Science, University of Liverpool</institution>
          ,
          <addr-line>Liverpool, L69 3BX</addr-line>
          ,
          <country country="UK">U.K</country>
        </aff>
        <aff id="aff2">
          <label>2</label>
          <institution>Idiap Research Institute</institution>
          ,
          <addr-line>Martigny, 1920</addr-line>
          ,
          <country country="CH">Switzerland</country>
        </aff>
        <aff id="aff3">
          <label>3</label>
          <institution>imec-COSIC, KU Leuven</institution>
          ,
          <addr-line>Leuven-Heverlee, B-3001</addr-line>
          ,
          <country country="BE">Belgium</country>
        </aff>
      </contrib-group>
      <abstract>
        <p>The EnnCore project addresses the fundamental security problem of guaranteeing safety, transparency, and robustness in neural-based architectures. Specifically, EnnCore aims at enabling system designers to specify essential conceptual/behavioral properties of neural-based systems, verify them, and thus safeguard the system against unpredictable behavior and attacks. In this respect, EnnCore will pioneer the dialogue between contemporary explainable neural models and full-stack neural software verification. This paper describes existing studies' limitations, our research objectives, current achievements, and future trends towards this goal. In particular, we describe the development and evaluation of new methods, algorithms, and tools to achieve fully-verifiable intelligent systems, which are explainable, whose correct behavior is guaranteed, and robust against attacks. We also describe how EnnCore will be validated on two diverse and high-impact application scenarios: securing an AI system for (i) cancer diagnosis and (ii) energy demand response.</p>
      </abstract>
    </article-meta>
  </front>
  <body>
    <sec id="sec-1">
      <title>1 Introduction</title>
      <p>
        Deep neural networks (DNNs) are computing models
typically deployed for classification, decision-making, and
pattern recognition problems
        <xref ref-type="bibr" rid="ref6">(Bishop 2006)</xref>
        . Recently, various
safety-critical tasks deployed DNNs, e.g., Covid-19
diagnosis
        <xref ref-type="bibr" rid="ref51">(Nour, Co¨mert, and Polat 2020)</xref>
        and steering control in
self-driving cars
        <xref ref-type="bibr" rid="ref74">(Wu et al. 2021)</xref>
        . In these contexts,
however, incorrect classifications can cause severe damages. It
is well-known in the literature that adversarial disturbances
can make DNNs misclassify objects, thus causing severe
damage to users of safety-critical systems. For example,
Eykholt et al.
        <xref ref-type="bibr" rid="ref19">(Eykholt et al. 2018)</xref>
        described that noise and
disturbances, such as graffiti on traffic signals, could result
in target misclassification during operation. Moreover, as
DNNs are difficult to interpret and debug, the whole scenario
becomes even more problematic
        <xref ref-type="bibr" rid="ref16 ref41 ref43">(Lundberg and Lee 2017)</xref>
        .
Hence, there is a need for techniques to assess their
structures and verify their results and behavior. Consequently,
there is a growing interest in verification and interpretability
methods for ensuring and explaining safety, accuracy, and
robustness for DNNs.
      </p>
      <p>
        According to a recent survey on the state-of-the-art of
verification and synthesis methods for cyber-physical
systems
        <xref ref-type="bibr" rid="ref11">(Cordeiro, de Lima Filho, and Bessa 2020)</xref>
        , most
papers published in the area in the past ten years only study the
verification of safety properties over mathematical
representations of DNNs. However, a top-to-bottom verification
process of DNNs will need to cover various aspects, including,
for example, the external phenomena with which the DNN
models interact and evolve. Thus, there is a considerable gap
between low- and high-level models and between
engineering and theoretical research efforts.
      </p>
      <p>The EnnCore project1, which stands for “End-to-End
Conceptual Guarding of Neural Architectures”, aims to fill
this gap. It has ambitious cross-cutting and far-reaching
goals to provide a coherent and self-containing framework
for specifying a conceptual safeguard core to neural-based
(NB) Artificial Intelligence (AI) systems and verifying their
actual implementations considering security aspects. Our
setting draws on all of the above aspects: it covers the full
range, from engineering details to abstraction and
verification, and reasoning and explainability about model evolution
and learning.</p>
      <p>As a result, EnnCore addresses a fundamental research
problem to ensure the security of neural-enabled
components by taking into account their entire lifecycle from
development to deployment. Solving this problem has a
farreaching impact on areas such as health and energy, which
heavily depend on secure and trusted software components
to meet safety-critical requirements. Hence, our overall
research objective is to have a long-term impact on
writing secure and trusted AI-based software components, thus
contributing to a shared vision of fully-verifiable software,
where underlying neural-based architectures are built with
strong symbolic and mathematical guarantees.</p>
      <p>To achieve this objective, EnnCore will design and
validate a full-stack symbolic safeguarding system for NB
architectures. It will advance the state-of-the-art in the
development of secure DNN models by mapping, using, and
extending explainability properties of existing neuro-symbolic
DNN architectures (e.g., Graph Networks, Differentiable
Inductive Logic Programming), thus safeguarding them with
symbolic verification, abstract interpretation, and program
1https://enncore.github.io/
synthesis methods. EnnCore will pioneer the
interdisciplinary dialogue between explainable AI and formal
verification. In particular, it will deliver safeguarding for NB
architectures with the following properties:
1. Full-stack symbolic software verification: EnnCore will
develop the first bit-precise and scalable symbolic
verification framework to reason over implementations of
DNNs, thereby providing additional guarantees of
security properties concerning the underlying hardware. We
will exploit state-of-the-art abstract interpretation and
synthesis techniques to synthesize invariants to prune the
state-space exploration and thus verify intricate security
properties to ensure confidentiality, integrity, and
availability.
2. Explainability/Interpretability: EnnCore will pioneer the
integration of knowledge-based and neural
explainability methods to support end-users specifying security
constraints and diagnosing security risks in order to provide
security assurances as NB models evolve. Attention will
be given to the quantitative and qualitative
characterization of semantic-drift phenomena in security scenarios.
3. Scalable: EnnCore will systematically combine
contemporary symbolic methods for explaining, interpreting and
verifying neural representations. In particular, we will
develop a neuro-symbolic safeguard framework by
linking the structural knowledge-based representation
elements to the attentional architecture elements to achieve
scalability and precision in an unprecedented manner.
EnnCore will systematically validate the system using two
different case studies from different domains: healthcare and
energy, in order to achieve fully-verifiable intelligent
systems that are explainable, ensure behavior correctness and
are robust against unanticipated behaviors and attacks.</p>
      <p>The remainder of the paper is organized as follows. In
Section 2, we discuss the related work, including the
limitation of existing studies. Section 3 describes a logical basis
for proposing our approach as part of the EnnCore project,
while Section 4 outlines our research objectives. Section 5
describe our current achievements broken down into four
research areas to tackle the safety and security of NB
architectures. Finally, we conclude and describe future work
in Section 6.</p>
      <p>2</p>
    </sec>
    <sec id="sec-2">
      <title>Limitations of Existing Work</title>
      <sec id="sec-2-1">
        <title>Explainable/Interpretable ML models. Doshi-Velez and</title>
        <p>
          Kim
          <xref ref-type="bibr" rid="ref16 ref41 ref43">(Doshi-Velez and Kim 2017)</xref>
          define interpretability
as “the ability to explain or to present in understandable
terms to a human”. Interpretability is an active area of
machine learning. The recent Neuro-Symbolic (NS)
architectures
          <xref ref-type="bibr" rid="ref22">(Garcez et al. 2019)</xref>
          inherit the strengths of deep
learning models, while extending it with explainability and
finegrained/abstractive reasoning capabilities. NS models such
as Graph Networks (GNs)
          <xref ref-type="bibr" rid="ref2">(Alshahrani et al. 2017)</xref>
          and
Differentiable ILP
          <xref ref-type="bibr" rid="ref44">(Manhaeve et al. 2018)</xref>
          operate over and
depend upon knowledge bases and focus on addressing
inference problems which require relational reasoning and
combinatorial generalization. No prior work has exploited: (i)
the use of knowledge-based neuro-symbolic architectures
for supporting end-users communicating their security
constraints and (ii) the combination of explainability with
symbolic verification to assure security properties.
        </p>
      </sec>
      <sec id="sec-2-2">
        <title>Verification of DNN Models. Verification of DNN models</title>
        <p>
          has attracted lots of attention recently, including unique
approaches from formal verification
          <xref ref-type="bibr" rid="ref16 ref34 ref36 ref41 ref43 ref75">(Huang et al. 2017; Katz
et al. 2017; Lomuscio and Maganti 2017; Wu et al. 2020)</xref>
          ,
which deals with the problem through exhaustive search,
SMT constraint solving, MILP constraint solving, and
reduction to two-player game, respectively. A key problem
remains on the scalability – the theoretical complexity of the
verification problem is NP-complete either on the number of
hidden neurons
          <xref ref-type="bibr" rid="ref36">(Katz et al. 2017)</xref>
          or the input dimensions
          <xref ref-type="bibr" rid="ref56 ref72">(Ruan, Huang, and Kwiatkowska 2018)</xref>
          . This pessimistic
result has led to the consideration of approximation
methods, such as abstract interpretation
          <xref ref-type="bibr" rid="ref23 ref48">(Gehr et al. 2018)</xref>
          ,
interval analysis
          <xref ref-type="bibr" rid="ref39">(Li et al. 2019)</xref>
          , and polynomial approximation
          <xref ref-type="bibr" rid="ref25 ref62">(Huang et al. 2019)</xref>
          . These methods provide soundness
guarantees to the result but cannot ensure completeness. Such a
relaxation on the guarantees can improve the scale of the
network models that the methods can work with but still cannot
reach the industrial-scale network models, even when
GPUbased Parallelisation is applied
          <xref ref-type="bibr" rid="ref57">(Ruan et al. 2019)</xref>
          . Besides,
they are often restricted by the types of layers or activation
functions they can work with.
        </p>
        <p>
          The above observation has led to the development of the
other thread of works called testing methods, which
generate a large number of test cases to intensively test the
existence of errors, such as
          <xref ref-type="bibr" rid="ref56 ref63 ref72">(Wicker, Huang, and Kwiatkowska
2018; Sun et al. 2018)</xref>
          . Furthermore, the generation of test
cases may often be guided by the coverage metrics such
as neuron coverage
          <xref ref-type="bibr" rid="ref53">(Pei et al. 2017)</xref>
          or MC/DC
          <xref ref-type="bibr" rid="ref62">(Sun et al.
2019)</xref>
          . While it is arguable whether the generated test cases
are representative for the property to be verified, the
testing results can be utilized to either understand the internal
working mechanism
          <xref ref-type="bibr" rid="ref27 ref28 ref31 ref81">(Huang et al. 2021b)</xref>
          of neural network
models or support safety argument
          <xref ref-type="bibr" rid="ref29 ref80 ref82">(Zhao et al. 2020a)</xref>
          together with the verification results. Please refer to a recent
survey
          <xref ref-type="bibr" rid="ref29 ref32 ref82">(Huang et al. 2020)</xref>
          , or tutorial
          <xref ref-type="bibr" rid="ref27 ref28 ref31 ref46 ref58 ref77 ref81">(Ruan, Yi, and Huang
2021)</xref>
          for more discussions on the verification and testing
techniques for neural network models.
        </p>
        <p>
          Verification of Actual Implementations of DNNs. While
existing verification methods work with DNN models
and adversarial examples (i.e., a small perturbation on a
correctly-labeled input leads to a different classification), it
has been pointed out in
          <xref ref-type="bibr" rid="ref52">(Odena et al. 2019)</xref>
          that there are
errors in the Tensorflow graph representation of DNNs, a
lower-level implementation of DNNs, such as numerical
errors and disagreements between DNN implementations and
their quantized versions. It is reasonable to believe that,
when working with code-level implementations, e.g., on the
Compute Unified Device Architecture (CUDA) and GPU
hardware, there will be other errors, including security
loopholes, that are more difficult to detect and mitigate than on
CPU implementations
          <xref ref-type="bibr" rid="ref14 ref47">(Miele 2016; Di et al. 2020)</xref>
          .
        </p>
        <p>
          Prior work focused on the verification of the
robustness of the neural net with respect to its models
          <xref ref-type="bibr" rid="ref34 ref36 ref63 ref84">(Huang
et al. 2017; Katz et al. 2017; Sun et al. 2018; Zheng et al.
2016)</xref>
          . In these approaches, off-the-shelf Satisfiability
Modulo Theories (SMT) solvers are used to find robustness
violations. However, this verification scheme cannot precisely
capture issues that can be introduced in the
implementations of DNNs. There exist four reasons: (i) one cannot
model bit-level operations using the theory of integers and
reals
          <xref ref-type="bibr" rid="ref10">(Cordeiro, Fischer, and Marques-Silva 2011)</xref>
          ; (ii)
libraries, such as TensorFlow, often take advantage of
available Graphical Processing Units (GPUs) to explore the
inherent parallelism of DNNs, so the translation to GPUs can
be problematic; (iii) some security vulnerabilities cannot be
detected in high-level models since they depend on
implementation aspects (e.g., finite word-length); lastly (iv) there
exists no connection between automated verification and
explainability approaches, making it difficult to interrogate a
system if something goes wrong.
        </p>
        <p>
          Towards this, Pereira et al.
          <xref ref-type="bibr" rid="ref54">(Pereira et al. 2017)</xref>
          propose to
verify CUDA programs written for GPU platforms with an
SMT-based context-bounded checking technique. They
developed ESBMC-GPU, which is the first verifier to discover
adversarial cases and validate coverage methods in DNNs
using the cuBLAS and cuDNN libraries
          <xref ref-type="bibr" rid="ref61">(Sena et al. 2019)</xref>
          .
However, Pereira et al.
          <xref ref-type="bibr" rid="ref54">(Pereira et al. 2017)</xref>
          do not exploit
invariant inference to prune the state-space exploration for
greater scalability. Also, their approach cannot explain the
parameters of the DNN implementation to understand the
root cause of errors.
        </p>
        <p>3</p>
      </sec>
    </sec>
    <sec id="sec-3">
      <title>Rationale and Approach</title>
      <p>We believe that a holistic approach is necessary to overcome
the challenges and limitations listed in Section 2. To this
end, EnnCore will pioneer the dialogue between all the very
different components of the contemporary AI safety stack
(see Figure 2).</p>
      <p>On the one hand, we will draw inspiration and
support from the diverse industrial experiences of our partners.
For healthcare, digital Experimental Cancer Medicine Team
(dECMT)2 requires a provably correct, trusted, explainable
2dECMT is a clinical digital research group based in the Cancer
decision making for medical diagnosis. For energy,
Urbanchain3 requires a fair, explainable, and trusted decision
making system to ensure the security and privacy of clients’ data.</p>
      <p>On the other hand, EnnCore will bridge the gap between
the user’s need to communicate their security constraints,
and the technical challenges involved in formalising these
constraints and checking whether neural-based system
satisfy them. In this respect, we consider
explainability/interpretability techniques as a fertile common ground for
translating the user’s requirements to rigorous mathematical
constraints. Furthermore, we believe that exploiting the
structure of such constraints, and the neural-based architecture
that is required to satisfy them, is the key towards a truly
scalable full-stack verification approach.</p>
      <p>4</p>
    </sec>
    <sec id="sec-4">
      <title>Research Objectives</title>
      <p>EnnCore aims to fundamentally shift the state-of-the-art of
what is achievable in formal verification of AI-based
software systems to make them secure and trusted against
unanticipated behavior and attacks. We are convinced that this
cannot be achieved by a “proof-of-concept implementation”
with an artificial case study. This particular approach will
not have much credibility – and thus impact – with systems
and software engineers. We will work in close collaboration
with industrial partners to tackle real-world case studies in
healthcare and energy domains. We will also use real data
and work with domain experts to develop and validate our
algorithms, methods and tools. In a multidisciplinary fashion,
EnnCore will link two areas, which include neuro-symbolic
and explainable machine learning and software verification,
to deliver a full-stack security mechanism for DNNs
operating in safety-critical scenarios. Our core objectives are:
O1: Develop a novel conceptual/symbolic safeguard
mechanism for neuro-symbolic platforms
Research UK Manchester Institute (https://digitalecmt.org/).</p>
      <p>3Urbanchain develops a world-leading platform for energy
generators in the wholesale market (https://www.urbanchain.co.uk/).
EnnCore will pioneer the use of neuro-symbolic
architectures and explainability/interpretability mechanisms to
support end-users specifying a conceptual safeguard core to
neural-based AI systems. The project will also contribute to
a broad and in-depth systematic analysis of the impact of
existing explainability/interpretability mechanisms in security
scenarios. These mechanisms include the interpretation of
high-dimensional embeddings, attentional mechanisms,
decoding from intermediate representations and black-box
debugging methods using artificially generated datasets.
O2: Develop scalable SMT theories and invariant
inference methods for DNNs
EnnCore will develop new SMT theories to reason about the
safety and security of actual implementations of DNNs. Our
ultimate goal is to mitigate security vulnerabilities and
incorrect predictions, which make AI-based applications
susceptible to errors and mischance. Additionally, EnnCore will
develop a new invariant inference method based on the
structure of the DNNs. We aim to simplify the DNN output
computation for some input intervals using abstract
interpretation and program synthesis. In particular, we will exploit
invariant inference to prune the state-space exploration for
verifying security properties in real implementations of DNNs.
O3: Grounding, deploying and evaluating high-impact
real-world use cases
EnnCore will be co-designed with industrial and clinical
partners around exemplary use-case scenarios. The selected
use cases reflect standard security requirements for DNNs,
which are transferable to other sectors such as automotive
and consumer electronics. Additionally, usability is at the
center of the unique value proposition of EnnCore, where
the model can interface with end-users (system designers
and security experts). We will allow users to state areas
within the model that should be safeguarded.
5</p>
    </sec>
    <sec id="sec-5">
      <title>Current Achievements and Future Trends</title>
      <p>The proposed research is broken down into four research
areas: Real Case-Studies &amp; Integrated Evaluation,
Explainable Neuro-Symbolic Safeguard Framework, Symbolic
Verification Framework for AI, and Verifying Security in
Embedded Software running in GPUs. In the following, we
describe the research contents of each area. In particular, we
provide details of what has been achieved to date and what
we intend to tackle as future work.
5.1</p>
      <sec id="sec-5-1">
        <title>Real Case-Studies &amp; Integrated Evaluation</title>
        <p>
          EnnCore aims to tackle two real-world use cases in two
distinct domains: health and energy. In the health domain,
the use case is cancer diagnoses
          <xref ref-type="bibr" rid="ref38">(Lee et al. 2021)</xref>
          , where a
medical institution (e.g., hospital) aims to determine if
suspect patients have cancer or not based on analyzing a set of
biomarkers. To achieve this, the medical institution deploys
an AI model that uses the patients’ biomarkers to predict the
likelihood of a patient having (or developing) cancer. In the
energy domain, the use case is demand response
          <xref ref-type="bibr" rid="ref1">(Albadi and
El-Saadany 2008)</xref>
          , where an energy supplier company aims
to match their customers’ energy consumption with the
energy supply available, in order to facilitate peer-to-peer
energy trading
          <xref ref-type="bibr" rid="ref9">(Capper et al. 2021)</xref>
          without violations of the
grid constraints
          <xref ref-type="bibr" rid="ref17">(Dudjak et al. 2021)</xref>
          . To complete this
efficiently and effectively, the supplier needs to predict the
halfhourly electricity consumption of each of their customers.
To achieve this, the energy supplier deploys an AI model that
uses their customers’ historical consumption data to predict
their consumption data for the next half-hourly time slot.
Unfortunately, this approach allows the supplier to have
access to households’ fine-grained consumption data, which
poses a high risk to users’ privacy
          <xref ref-type="bibr" rid="ref50">(Mustafa, Cleemput, and
Abidin 2016)</xref>
          as well as hinders the adoption of smart
meters
          <xref ref-type="bibr" rid="ref8">(Briggs, Fan, and Andras 2020)</xref>
          .
        </p>
        <p>Up to now, we have performed security analyses of both
use cases to identify potential threats to the AI models, hence
specifying concrete security requirements/properties that
these AI models should satisfy. Apart from the ‘standard’
confidentiality, integrity, and availability requirements, we
have identified the following properties relevant to AI
models: robustness, transparency, auditability (traceability),
accountability, and privacy.</p>
        <p>Robustness ensures that AI models are resilient against
malicious input and corner cases (a.k.a adversarial
examples). Transparency ensures that all phases of an AI model
processing chain (including the technical details of the
models and the training data used) are well documented.
Auditability (traceability) ensures that all the processing steps
of the AI models (i.e., cause-effect) can be traced by third
parties if needed. Finally, accountability ensures evidence
of who has developed/managed/maintained every
component/step of the AI model. These four properties are closely
related to each other and contribute to the explainability of
AI models. On the other hand, privacy ensures that sensitive
user data and sensitive AI models are protected from
unauthorized entities, sometimes even from the companies that
have developed and managed the AI models.</p>
        <p>
          To ensure AI models’ robustness against malfunction and
attacks, one promising approach is to adopt robust training
for AI models
          <xref ref-type="bibr" rid="ref23 ref48">(Gehr et al. 2018)</xref>
          . This ensures that the AI
models are already fed with data representing potential
corner cases in the training phases. To achieve this, the
training data is usually augmented by adding a certain degree
of randomness. The DiffAI framework
          <xref ref-type="bibr" rid="ref23 ref48">(Mirman, Gehr, and
Vechev 2018)</xref>
          has successfully applied this approach to
develop AI models that are provably robust. This is achieved
by deploying abstract interpretation techniques by
overapproximating the AI system’s behavior. However, the DiffAI
framework has been designed to process images. As a next
step, we plan to adapt the DiffAI framework to process other
types of input data, e.g., biomarkers.
        </p>
        <p>
          To ensure that AI systems protect user-sensitive data,
deploying Federated Learning (FL)
          <xref ref-type="bibr" rid="ref7">(Bonawitz et al. 2019)</xref>
          is
a promising approach. FL, by design, allows end-users to
train their models locally, never share their sensitive raw
data, yet benefit from the data of others. This is achieved
by sharing only the gradients of the locally trained and
deployed AI models, which are then aggregated to build a
global model, distributed to the end-users. Although it
already provides a good level of user privacy protection, this
approach has some limitations. For example, the gradients of
the locally trained AI models can reveal information about
the model itself and/or the data used for the local training
of the models
          <xref ref-type="bibr" rid="ref13">(Melis et al. 2019; De Cristofaro 2021)</xref>
          . In
addition, a single global AI model does not always provide
the best possible outcome for all the end-users. To address
these limitations, we plan to deploy advanced cryptographic
techniques for secure computation (homomorphic
encryption and multiparty computation) to perform the gradient
aggregation and devise the global model in a secure way such
that no entity has access to the gradients provided by the
individual end-users. In addition, to improve performance,
we plan to adopt a clustering method
          <xref ref-type="bibr" rid="ref31 ref46 ref59">(Sattler, Mu¨ller, and
Samek 2021)</xref>
          , which would classify the end-users based on
their data into several clusters, creating variants of the global
model, which will contribute differently to the final model
used by each of the individual end-users. Our approach will
be tested on the energy use case to predict individual users’
household electricity consumption data.
5.2
        </p>
      </sec>
      <sec id="sec-5-2">
        <title>Safeguards for Explainable Neuro-Symbolic</title>
      </sec>
      <sec id="sec-5-3">
        <title>Inference</title>
        <p>EnnCore sets the vision of delivering neural
representation models that are highly controlled regarding their
inference properties. The key concept is to allow model
developers and domain experts to encode complex symbolic
and geometric constraints within the models (safeguards),
allowing for more controlled inference and better
disentanglement. Additionally, the project expands emerging
probing and metamorphic testing methodologies to measure and
qualify the internal properties of the latent representation.
For this work-stream, we focus on designing controlled
embeddings for complex tasks in Natural Language
Processing (NLP), emphasizing textual entailment and question
answering. These tasks allow for the design of models which
require the encoding of complex (i.e., requiring multiple
semantic operations) and multi-hop natural language inference
in an explainable manner.</p>
        <p>
          The inference control methods are represented as explicit
linguistic and inference constraints, which elicit abductive
inference biases that are integrated into the latent model.
The intuition is that universal patterns of abstract inference,
such as abstraction and fact unification
          <xref ref-type="bibr" rid="ref31 ref31 ref46 ref46 ref64 ref64 ref67 ref67 ref68 ref68">(Valentino,
Thayaparan, and Freitas 2021; Valentino, Pratt-Hartman, and
Freitas 2021)</xref>
          can be programmed into the model, prescribing
an expected inference pattern, which can facilitate
generalization but also enforce more consistent inferences.
Following the results achieved by encoding these constraints using
Integer Linear Programming (ILP)
          <xref ref-type="bibr" rid="ref66">(Thayaparan, Valentino,
and Freitas 2020)</xref>
          , which demonstrate its positive impact
on inference control and explainability, we proposed
@Explainer
          <xref ref-type="bibr" rid="ref64 ref68">(Thayaparan et al. 2021)</xref>
          , an end-to-end
differentiable architecture that integrates Convex Optimization such
as Linear Programming with neural representations for
abductive natural language inference. Specifically, we
demonstrated that these models could integrate explicit inference
constraints with Transformers-based sentence
representations and train the architecture end-to-end to improve
explanation generation and accuracy in multi-hop and abstractive
reasoning tasks.
        </p>
        <p>
          Part of the inference control mechanisms is expressed in
the design of generative models for natural language
inference with better disentanglement of latent factors. While
representing the meaning of a sentence or an inference
step in a continuous latent sentence space, models will aim
for specializing latent dimensions to capture consistent
linguistic and inference phenomena (e.g., tense variations for
verbs), allowing for both interpretability and control. In
          <xref ref-type="bibr" rid="ref31 ref46">(Mercatali and Freitas 2021)</xref>
          , we proposed a variational
autoencoder (VAE) model which better disentangles sentence
discrete generative language factors. Recent work is
expanding the same level of linguistic control via disentanglement
for abstract sentences and multi-hop inference.
        </p>
        <p>
          The level of additional control needs to be accompanied
by methodologies that can measure and qualify the internal
properties of these embedding spaces. For example,
probing or diagnostic classification
          <xref ref-type="bibr" rid="ref21 ref24 ref55">(Hewitt and Liang 2019;
Ferreira et al. 2021)</xref>
          is a method for investigating whether a set
of intermediate (e.g., semantic) features are present in
latent spaces. In EnnCore, we extend emerging
methodologies such as metamorphic testing, geometric probing, and
abstract inference to systematize the internal properties and
consistency of controlled embedding spaces. Examples
include the verification of abstract properties highly relevant to
controlled inference such as monotonicity
          <xref ref-type="bibr" rid="ref21 ref55">(Rozanova et al.
2021)</xref>
          or variable substitution
          <xref ref-type="bibr" rid="ref21 ref55">(Ferreira et al. 2021)</xref>
          .
        </p>
        <p>
          We also mention BayLIME
          <xref ref-type="bibr" rid="ref14 ref29 ref80 ref82">(Zhao et al. 2020b)</xref>
          , which is a
novel explainable AI tool enhancing the well-known LIME
tool with Bayesian reasoning to achieve better consistency
in repeated explanations of a single prediction and better
robustness to the hyper-parameters.
5.3
        </p>
      </sec>
      <sec id="sec-5-4">
        <title>Symbolic Verification Framework for AI</title>
        <p>Verification refers to algorithms that determine whether or
not a model satisfies some pre-specified property. Symbolic
verification algorithms compute the intermediate results
using a symbolic representation – such as BDD, SAT, and
SMT. Usually, symbolic verification scales better than
explicit verification, thanks to its memory efficiency and
efficient computation. In the first year of EnnCore, we have
explored a few directions on the symbolic verification
techniques for AI, including working directly with the machine
learning models. The other two directions aim to deal with
the scalability issues through abstract models and acceptable
solutions safety, respectively.</p>
        <p>
          We considered two classes of machine learning
models when working directly with the models. For
convolutional neural networks (CNNs), a symbolic verification
algorithm based on interval analysis and symbolic layer-by-layer
propagation was developed in
          <xref ref-type="bibr" rid="ref40 ref78">(Yang et al. 2021; Li et al.
2020)</xref>
          , together with a global optimisation based method
          <xref ref-type="bibr" rid="ref27 ref28 ref31 ref46 ref58 ref77 ref81">(Xu, Ruan, and Huang 2021)</xref>
          . Second, for the random
forest, an SMT-based method was considered to determine
whether a model has been data poisoned by a backdoor
attack
          <xref ref-type="bibr" rid="ref29 ref32 ref80 ref82">(Huang, Zhao, and Huang 2020)</xref>
          .
        </p>
        <p>
          We also develop methods when scalability is an obstacle
to the verification algorithms. For example, for deep
reinforcement learning, we abstract its interactive behavior with
the environment into a discrete-time Markov chain and then
apply an off-the-shelf probabilistic model checker to do
verification
          <xref ref-type="bibr" rid="ref15 ref27 ref28 ref31 ref46 ref81">(Dong, Zhao, and Huang 2021)</xref>
          . For CNNs, we
abstracted a model into a Bayesian network and then
conducted probabilistic inference as the verification algorithm
          <xref ref-type="bibr" rid="ref13 ref3 ref4 ref46 ref9">(Berthier et al. 2021a,b)</xref>
          .
        </p>
        <p>
          We also deal with scalability from the perspective of
acceptable safety. In
          <xref ref-type="bibr" rid="ref13 ref27 ref28 ref3 ref31 ref46 ref81 ref9">(Huang et al. 2021a)</xref>
          , we developed a
statistical certification algorithm for the robustness of CNNs,
and in
          <xref ref-type="bibr" rid="ref13 ref15 ref3 ref46 ref81 ref9">(Zhao et al. 2021a,b)</xref>
          , we considered an acceptable
level of reliability of CNNs. Moreover, coverage-guided
testing is proven an effective way to quantify the quality of
a recurrent neural network
          <xref ref-type="bibr" rid="ref27 ref28 ref31 ref81">(Huang et al. 2021b)</xref>
          .
        </p>
        <p>
          In addition to the above directions, we also developed our
views in
          <xref ref-type="bibr" rid="ref27 ref27 ref28 ref28 ref31 ref31 ref46 ref58 ref77 ref81 ref81">(Ruan, Yi, and Huang 2021; Huang 2021)</xref>
          , which
includes potential directions for exploration.
5.4
        </p>
      </sec>
      <sec id="sec-5-5">
        <title>Verifying Security in Embedded Software running in GPUs</title>
        <p>We have developed and evaluated various verification
strategies to detect errors in learning and classifications performed
by DNNs. In particular, we analyzed potential failures of
DNNs due to bugs in the implementation of the embedded
software of the DNNs. Here, we distinguish two classes of
bugs: 1) generic implementation errors, for instance,
memory safety, arithmetic overflow, and division-by-zero; they
can cause the implementation of the DNN to crash; 2) failure
of the implementation to behave according to the high-level
rules, which may cause miss-classifications.</p>
        <p>
          In
          <xref ref-type="bibr" rid="ref60 ref61">(Sena et al. 2019, 2021)</xref>
          , we develop and evaluate
a novel symbolic verification framework using software
model checking (SMC) and satisfiability modulo theories
(SMT) to check for safety properties in quantized neural
networks (QNNs). More specifically, we propose several
QNN-related optimizations for SMC, including invariant
inference via interval analysis, slicing, expression
simplifications, and discretization of non-linear activation functions.
We also quantified each technique’s impact using different
SMT solvers. We observed a significant performance
improvement if we enabled slicing, interval analysis, and
expression simplifications with the SMT solver Yices
          <xref ref-type="bibr" rid="ref60">(Sena
et al. 2021)</xref>
          .
        </p>
        <p>With this verification framework, we also provide formal
guarantees on the safe behavior of QNNs implemented both
in floating- and fixed-point arithmetic. In particular, we have
observed that the verification time correlates with the
number of bits used for ANN quantization. Interestingly, this
correlation disappears for the number of bits above 14 due
to the increasing state-space exploration. In this regard, our
verification approach was able to verify and produce
adversarial examples for 52 test cases spanning image
classification and general machine learning applications.
Furthermore, for small- to medium-sized QNNs, our approach
completes most of its verification runs in minutes. In
contrast to most state-of-the-art methods, our approach is not
restricted to specific choices regarding activation functions
and non-quantized representations. Finally, our experiments
show that our approach can analyze larger ANN
implementations and substantially reduce the verification time
compared to state-of-the-art techniques that use SMT solving,
e.g., Marabou (Kim et al. 2016). It is also competitive to
verification approaches that employ symbolic interval, e.g.,
Neurify (Wang et al. 2018).</p>
        <p>
          As future work, we plan to work in two directions. First,
we aim to evaluate security properties in various real case
studies. Second, we will lead extensive experiments to
validate the implementations of DNNs for a set of case
studies from our industrial partners. This procedure requires us
to set an environment for running the implementations of
DNNs in typical GPUs, which will rely on our prior work on
the verification of GPU programs
          <xref ref-type="bibr" rid="ref54">(Pereira et al. 2017)</xref>
          .
Additionally, creating the benchmarks for the experiments is a
continuous and iterative task, consisting of two main steps:
(i) creating benchmarks using real applications of DNNs;
and (ii) using industry-standard benchmarks in close
collaboration with our partners. Lastly, we will interpret and
validate the results obtained during these experiments and then
compare our approach using other state-of-the-art
verification tools, similar to our recent work
          <xref ref-type="bibr" rid="ref60">(Sena et al. 2021)</xref>
          .
6
        </p>
      </sec>
    </sec>
    <sec id="sec-6">
      <title>Conclusions</title>
      <p>EnnCore contributes to the development of trustworthy
neural-based systems, which are highly applicable to
areas of high societal impact, such as reliable infrastructure
management, defense, medical diagnosis and treatment, and
fair/unbiased decision making. In particular, EnnCore
emphasizes safety for medical diagnosis and treatment, with
a use case targeting cancer. Personalized medicine requires
the increasing use of automated data-driven methods. The
EnnCore project can directly impact the reduction of the
barriers to adopting AI-based methods in clinical settings,
thereby democratizing personalized cancer diagnosis and
treatment. Additionally, one of our industrial partners is
currently acting as a blockchain-based supplier in the energy
market. EnnCore tools will ensure the privacy and security
of the clients’ data in the energy sector. In particular,
EnnCore will assist this industrial partner by providing
innovative methods to protect their customers’ data and applied
algorithms. As a result, we expect the EnnCore tools to push
the state-of-the-art on formal verification and explainability
techniques to provide assurances about AI applications’
security and explain their security properties.</p>
    </sec>
    <sec id="sec-7">
      <title>Acknowledgment</title>
      <p>The work is funded by EPSRC grant EP/T026995/1
entitled “EnnCore: End-to-End Conceptual Guarding of Neural
Architectures” under Security for all in an AI enabled
society. Prof. Luja´n is funded by an Arm/RAEng Research Chair
award and a Royal Society Wolfson Fellowship.</p>
    </sec>
  </body>
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