Machine Learning and SHAP-Based Prediction of Tip Velocity Around Spur Dikes Using a Small-Scale Experimental Dataset
Abstract
1. Introduction
2. Methodology
2.1. Experimental Setup and Data Collection
2.2. Descriptive Statistics
2.3. Artificial Intelligence
2.3.1. Extreme Gradient Boosting (XGBoost) with PSO Model
2.3.2. Random Forest (RF) Model
2.3.3. Categorical Boosting (CatBoost) Model
2.3.4. Gaussian Process Regression (GPR) Model
2.4. Model Development
3. Result and Discussion
3.1. Correlation Heatmap
3.2. Scatter Pair Plots
3.3. Five-Fold Cross-Validation
3.4. Performance Metrics
3.5. Residual Analysis
3.6. Quantile Analysis
3.7. SHAP Analysis
4. Conclusions
- The result of the correlation heatmap concluded that Fr demonstrated greater correlation with tip velocity, with a correlation coefficient (R) value of 0.71. This shows that under greater values of Fr, the flow significantly altered the flow acceleration near the tip of the dike, improving the risk of erosion and turbulence. In contrast, incidence angle (β) demonstrated a negative correlation with the R value of −0.37;
- The result of the AI model’s performance demonstrated superior performance of the GPR model compared to others, with an R2 value of 0.972 and an RMSE value of 0.0107. This demonstrated that the GPR model has superior performance because of its flexibility based on the kernel function and its small dataset handling capability. In contrast, the XGBoost–PSO model has a lower value of R2 = 0.810 and RMSE = 0.0586, demonstrating weaker performance;
- Residual analysis showed that GPR and CatBoost yielded the most consistent predictions, with the residuals being concentrated on zero, which indicated a low under- or overprediction rate. RF was capable of moderately varying, though it was reliable, whereas XGBoost–PSO had made the highest residual deviations. Quantile-based analysis validated the fact that GPR and CatBoost had a steady performance in accuracy evaluation throughout the distribution of data, whereas RF had a steady but marginally greater errors at heavy quantiles, and XGBoost–PSO had instability when dealing with small data.
Author Contributions
Funding
Data Availability Statement
Acknowledgments
Conflicts of Interest
Appendix A
| L/l | Fr | β° | Tip Velocity |
| 11.75 | 0.21 | 4.86 | 0.31 |
| 9.15 | 0.21 | 6.24 | 0.31 |
| 6 | 0.21 | 9.46 | 0.3 |
| 2.85 | 0.21 | 19.33 | 0.29 |
| 1 | 0.21 | 45 | 0.28 |
| 12 | 0.21 | 4.76 | 0.35 |
| 9.33 | 0.21 | 6.12 | 0.33 |
| 0 | 0.21 | 0 | 0.32 |
| 3.15 | 0.21 | 17.61 | 0.3 |
| 1.59 | 0.21 | 32.17 | 0.28 |
| 12.25 | 0.21 | 4.67 | 0.39 |
| 9.25 | 0.21 | 6.17 | 0.34 |
| 0 | 0.21 | 0 | 0.32 |
| 2.5 | 0.21 | 21.8 | 0.29 |
| 1.6 | 0.21 | 32.01 | 0.27 |
| 12.4 | 0.21 | 4.61 | 0.42 |
| 9.4 | 0.21 | 6.07 | 0.36 |
| 0 | 0.21 | 0 | 0.33 |
| 0 | 0.21 | 0 | 0.29 |
| 0 | 0.21 | 0 | 0.27 |
| 11.47 | 0.25 | 4.98 | 0.35 |
| 9.25 | 0.25 | 6.17 | 0.35 |
| 6.3 | 0.25 | 9.02 | 0.33 |
| 3.05 | 0.25 | 18.15 | 0.32 |
| 1 | 0.25 | 45 | 0.31 |
| 11.7 | 0.25 | 4.89 | 0.39 |
| 9 | 0.25 | 6.34 | 0.36 |
| 5.58 | 0.25 | 10.16 | 0.35 |
| 3.23 | 0.25 | 17.2 | 0.33 |
| 1.53 | 0.25 | 33.17 | 0.32 |
| 12.25 | 0.25 | 4.67 | 0.43 |
| 9 | 0.25 | 6.34 | 0.39 |
| 4.48 | 0.25 | 12.58 | 0.36 |
| 3.81 | 0.25 | 14.71 | 0.33 |
| 1.8 | 0.25 | 29.05 | 0.31 |
| 12 | 0.25 | 4.76 | 0.47 |
| 9.6 | 0.25 | 5.95 | 0.42 |
| 0 | 0.25 | 0 | 0.38 |
| 0 | 0.25 | 0 | 0.34 |
| 0 | 0.25 | 0 | 0.31 |
| 12 | 0.33 | 4.76 | 0.5 |
| 10.5 | 0.33 | 5.44 | 0.48 |
| 0 | 0.33 | 0 | 0.46 |
| 0 | 0.33 | 0 | 0.46 |
| 0 | 0.33 | 0 | 0.44 |
| 12 | 0.33 | 4.76 | 0.56 |
| 9.67 | 0.33 | 5.9 | 0.51 |
| 0 | 0.33 | 0 | 0.48 |
| 0 | 0.33 | 0 | 0.46 |
| 0 | 0.33 | 0 | 0.45 |
| 12.5 | 0.33 | 4.57 | 0.61 |
| 10.25 | 0.33 | 5.57 | 0.54 |
| 0 | 0.33 | 0 | 0.5 |
| 0 | 0.33 | 0 | 0.48 |
| 0 | 0.33 | 0 | 0.45 |
| 12.5 | 0.33 | 4.57 | 0.66 |
| 10 | 0.33 | 5.71 | 0.58 |
| 0 | 0.33 | 0 | 0.52 |
| 0 | 0.33 | 0 | 0.47 |
| 0 | 0.33 | 0 | 0.44 |
| 12 | 0.31 | 4.76 | 0.72 |
| 11.88 | 0.27 | 4.81 | 0.55 |
| 12 | 0.29 | 4.76 | 0.62 |
| 11.75 | 0.26 | 4.86 | 0.5 |
| 12.4 | 0.36 | 4.61 | 0.92 |
| 12.3 | 0.24 | 4.65 | 0.57 |
| 12.3 | 0.25 | 4.65 | 0.62 |
| 12.24 | 0.3 | 4.67 | 0.72 |
| 11.8 | 0.31 | 4.84 | 0.82 |
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| Parameter | Mean | Mode | Standard Deviation | Variance | Range | 95% CI Lower | 95% CI Upper |
|---|---|---|---|---|---|---|---|
| L/l | 6.05 | 0.00 | 5.19 | 26.89 | 12.50 | 4.80 | 7.29 |
| Fr | 0.27 | 0.25 | 0.05 | 0.00 | 0.15 | 0.25 | 0.28 |
| β° | 7.80 | 0.00 | 10.29 | 105.85 | 45.00 | 5.32 | 10.27 |
| Tip Velocity | 0.43 | 0.31 | 0.14 | 0.02 | 0.65 | 0.40 | 0.46 |
| Configuration Item | XGBoost (XGBoost–PSO) | Random Forest (RF) | CatBoost | GPR |
|---|---|---|---|---|
| Algorithm family | Gradient boosting trees (XGBoost) | Ensemble of decision trees (bagging) | Gradient boosting trees (CatBoost) | Kernel-based probabilistic regression |
| Input features | `L/l`, `Fr`, `β°` | `L/l`, `Fr`, `β°` | `L/l`, `Fr`, `β°` (scaled) | `L/l`, `Fr`, `β°` (scaled) |
| Target | Tip Velocity | Tip Velocity | Tip Velocity | Tip Velocity |
| Data split | Train/Test/Valid split (70/15/15) | Train/Test/Valid split (70/15/15) | Train/Test/Valid split (70/15/15) | Train/Test/Valid split (70/15/15) |
| Feature scaling | No scaling in code | No scaling in code | `StandardScaler()` applied | `StandardScaler()` applied |
| Key hyperparameters | `max_depth`, `learning_rate`, `n_estimators`—optimized by PSO | `n_estimators = 200`, `max_depth = 10` | `iterations = 500`, `learning_rate = 0.1`, `depth = 6` | Kernel: C (1.0) RBF (length_scale = 1.0); n_restarts_optimizer = 10 |
| Hyperparameter optimization method | PSO optimizing MSE on test set; bounds: max_depth [2–10], learning_rate [0.01–0.3], n_estimators (50–300); swarmsize = 10, maxiter = 5 | No algorithmic tuning in code | No tuning (preset values used) | Hyperparameters optimized by log-marginal likelihood |
| Objective/loss used for tuning and training | Regression: reg:squarederror (minimize MSE) | Mean squared error minimization | Gradient boosting regression loss (MSE) | Maximizes log-marginal likelihood; predictions include uncertainty |
| Training procedure notes | PSO loop trains candidate models; final retrained with best params | Trained on X_train, predicts 53-sample test set | Model trained on scaled X, first 53 predictions used | Trained on scaled X; predictions made for all samples |
| Evaluation metrics reported | R2, Mean Squared Error (MSE) | R2, MSE (prints predictions count = 53) | R2 (first 53), MSE (first 53) | R2 and MSE |
| Random seed/reproducibility | train_test_split(random_state = 42); no explicit PSO seed | random_state = 42 for reproducibility | random_seed = 42` used for reproducibility | Deterministic, n_restarts_optimizer = 10 to avoid local optima |
| Practical remarks | PSO adds compute overhead but automates tuning | Balanced configuration with fixed test set for fair comparison | Strong fitting capacity: scaling helps stability | Provides predictive variance; best for smaller datasets |
| Model | Hyperparameter | Value |
|---|---|---|
| XGBoost–PSO | Booster | Gradient Boosted Trees |
| Objective Function | reg:squarederror | |
| max_depth | Optimized (2–10) | |
| learning_rate | Optimized (0.01–0.30) | |
| n_estimators | Optimized (50–300) | |
| Optimization Method | Particle Swarm Optimization (PSO) | |
| PSO Swarm Size | 10 | |
| PSO Iterations | 5 | |
| Fitness Function | Mean Squared Error (MSE) | |
| Random Forest | n_estimators | 200 |
| max_depth | 10 | |
| Split Criterion | Mean Squared Error | |
| Gaussian Process Regression | Kernel | C (1.0) × RBF (length_scale = 1.0) |
| Optimizer Restarts | 10 | |
| Input Scaling | StandardScaler | |
| Prediction Type | Probabilistic | |
| CatBoost Regressor | Iterations | 500 |
| Learning Rate | 0.10 | |
| Tree Depth | 6 | |
| Loss Function | RMSE | |
| Feature Scaling | StandardScaler |
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Share and Cite
Murtaza, N.; Akbar, Z.; Alrowais, R.; Iqbal, S.; Pasha, G.A.; Alquraish, M.; Bashir, M.T. Machine Learning and SHAP-Based Prediction of Tip Velocity Around Spur Dikes Using a Small-Scale Experimental Dataset. Water 2026, 18, 26. https://doi.org/10.3390/w18010026
Murtaza N, Akbar Z, Alrowais R, Iqbal S, Pasha GA, Alquraish M, Bashir MT. Machine Learning and SHAP-Based Prediction of Tip Velocity Around Spur Dikes Using a Small-Scale Experimental Dataset. Water. 2026; 18(1):26. https://doi.org/10.3390/w18010026
Chicago/Turabian StyleMurtaza, Nadir, Zeeshan Akbar, Raid Alrowais, Sohail Iqbal, Ghufran Ahmed Pasha, Mohammed Alquraish, and Muhammad Tariq Bashir. 2026. "Machine Learning and SHAP-Based Prediction of Tip Velocity Around Spur Dikes Using a Small-Scale Experimental Dataset" Water 18, no. 1: 26. https://doi.org/10.3390/w18010026
APA StyleMurtaza, N., Akbar, Z., Alrowais, R., Iqbal, S., Pasha, G. A., Alquraish, M., & Bashir, M. T. (2026). Machine Learning and SHAP-Based Prediction of Tip Velocity Around Spur Dikes Using a Small-Scale Experimental Dataset. Water, 18(1), 26. https://doi.org/10.3390/w18010026

