A Categorization of GSN-based Safety Cases and Patterns
Yaping Luo, Zhuoao Li and Mark van den Brand
Mathematics and Computer Science, Eindhoven University of Technology,
P.O. Box 513, 5600 MB, Eindhoven, The Netherlands
Keywords:
Goal Structural Notation, Safety Case, Safety Case Categorization, Safety Case Pattern, Safety Argument,
Confidence Argument.
Abstract:
Recently modeling techniques are introduced to support safety assessment. Goal Structural Notation is one of
these modeling techniques, which can be used to facilitate the development of safety argumentation and create
reusable safety argumentation models. Consequently, GSN-based safety cases are widely used to demonstrate
the safety of systems in safety-critical domains. Due to the amount of manual work, constructing a safety case
is usually time-consuming. Moreover, the re-usability of GSN-based safety cases is limited. To address this,
safety case patterns are introduced to support safety case reuse. As more and more GSN-based safety cases and
patterns are designed with different goals in different contexts, it becomes hard to identify a reusable safety case
or pattern. In this paper, we carried out a study on the categorization of existing GSN-based safety cases and
patterns. As a result, a number of high cited publications are selected and studied. Finally a categorization of
GSN-based safety cases is proposed. A clear categorization of GSN-based safety cases can be used to identify
similar safety cases or patterns and facilitate safety case reuse.
1 INTRODUCTION
A safety case is a well-structured argument for justi-
fying that a system is safe. In (Bishop and Bloom-
field, 1998), a safety case is defined as: A docu-
mented body of evidence that provides a convincing
and valid argument that a system is adequately safe for
a given application in a given environment”. In some
international safety standards, explicit safety cases
are required for safety-critical systems. For example,
ISO 26262 (ISO26262, 2011), for the automotive do-
main, stimulates the use of safety cases to demonstrate
the product safety (Safety Case Repository, 2013). Be-
sides, MOD Def Stan 00-55 (MOD, 1997) for safety-
critical software in defense equipment requires produc-
ing safety cases with explicit safety requirements.
Typically, safety cases are represented in free text,
but in this way, the structure of the safety cases might
be unclear, which allows for inconsistencies and con-
fusion (Luo et al., 2015a) (Luo et al., 2015b). To
address this, modeling techniques are introduced to
facilitate safety case construction and to increase the
understandability and confidence in the claimed safety
assurance (Safety Case Repository, 2013). For exam-
ple, techniques originally from model-driven devel-
opment are used for modeling safety standards, and
representing concepts in safety cases, such as ontolo-
gies, and SBVR models. Goal Structural Notation
(GSN) is introduced as a graphical modeling approach
for safety case construction (Kelly and Weaver, 2004).
The details of GSN are described in Section 2. With
the increase of safety-critical software or systems, such
as cars, more and more GSN-based safety cases are
developed. The re-usability of GSN-based safety cases
becomes another challenge. People want to reuse
safety case whenever it is possible. Informal reuse
of safety case elements occurs, like ‘Copy and Paste’
of the textual safety case documents between projects.
A number of problems with informal reuse are listed
in (Kelly and McDermid, 1998). For example, it may
cause inappropriate reuse, lack of traceability, or lack
of consistency. To prevent these problems, safety case
patterns are introduced as an approach to reuse of com-
mon structures of safety cases.
As a number of GSN-based safety cases and pat-
terns has been developed, when constructing a safety
case, engineers can reuse or build their safety case
upon existing ones. In order to accomplish this, a
large number of safety cases or patterns from different
sources need to be collected, then the similar ones for
reuse have to be identified. This process can be very
time-consuming. Therefore, categorizing those safety
cases or patterns into smaller groups is promising.
In this paper we propose a categorization of GSN-
Luo, Y., Li, Z. and Brand, M.
A Categorization of GSN-based Safety Cases and Patterns.
DOI: 10.5220/0005734305090516
In Proceedings of the 4th International Conference on Model-Driven Engineering and Software Development (MODELSWARD 2016), pages 509-516
ISBN: 978-989-758-168-7
Copyright
c
2016 by SCITEPRESS Science and Technology Publications, Lda. All rights reserved
509
based safety cases and patterns, for this we selected
and studied a number of high cited publications
1
. The
publications are divided into two groups: one group
for categorizing, and one group for the validation of
the categorization. As safety case patterns can be
used as templates for creating safety cases, patterns
represent general characteristics of safety cases. Thus,
we collected existing safety case patterns from a group
of papers for validation.
The aim of our research is to form a categoriza-
tion based on existing studies, and validate the catego-
rization by applying it to the widely-used safety case
patterns. If existing safety cases or patterns are cate-
gorized into groups according to their original goals,
then engineers facing a particular safety requirement
to fulfill, they will be able to look into a small specific
collection of safety cases or patterns for the reusable
ones. In this way, the efficiency of the reuse process
can be improved. The structure of this study is as
follows. Section 2 introduces the background infor-
mation about GSN (Goal Structuring Notation) and
safety case pattern. Section 3 provides an overview
of a categorization of safety cases and definitions of
each type argument. Section 4 discusses the validation
results by categorizing existing safety case patterns.
Finally, a conclusion of this research and the expected
future work are mentioned.
2 BACKGROUND
2.1 GSN and Extension
Goal Structuring Notation (GSN) is a graphical nota-
tion which is widely recommended for modeling safety
cases (Kelly and Weaver, 2004). It provides a clear and
well-structured argument in terms of basic graphical
elements, such as goals, solutions and strategies. The
primary elements of the standard GSN are introduced
in Figure 1.
When a GSN-based safety case is successful, peo-
ple tend to define a template of the safety case for
reusing, e.g. safety case patterns (Kelly and McDer-
mid, 1997). As safety case pattern requires more flex-
ibility and complexity on the structure, the standard
GSN has been extended with several elements and
entities (Figure 2). The detailed information of the ele-
ments can be found in the GSN Community Standards
Version 1 (GSN Community Standard, 2011). Only
the sixth element (Assurance Claim Point, ACP) is
not described in the GSN Community Standards. This
1
In the bibliography the number of citations per paper
based on Google Scholar is explicitly given.
Goal Strategy
Evidence
Context
Assumption or
Justification
A/J
Undeveloped Goal
Supports
In context of
Figure 1: Primary elements of the Goal Structuring Notation.
Optionality
n
Multiplicity
Assurance Claim
Point
Uninstantiated
Entity
Undeveloped and
Uninstantiated Entity
At least one of the
options
1
2
3
4
5
6
Figure 2: Extension of GSN to support safety case pattern.
arrow is introduced in (Hawkins et al., 2011), which
means a confidence argument should be indicated for
this connection.
2.2 Safety Case Pattern
As mentioned before, the safety case pattern approach
supports the reuse of safety cases by identifying and
recording reusable arguments. The format of a safety
case pattern includes two parts: description of the
design and the structure represented in GSN. The de-
scription of a safety case pattern is often written in
the form of a table described in (Kelly and McDer-
mid, 1997). In this table, a pattern developer provides
all related information about the pattern, such as the
intent, motivation, applicability and implementation.
This information helps the reviewers to understand and
reuse the pattern.
Safety case patterns facilitate modeling of safety
cases. The developer only needs to consider the vari-
ables in each element of the pattern and concentrate
on collecting corresponding evidences and contexts.
Using safety case patterns to identify and record the
reusable arguments will improve the re-usability of
safety cases and save a lot of time and resources.
3 SAFETY CASE
CATEGORIZATION
Research and development on safety cases has taken
MODELSWARD 2016 - 4th International Conference on Model-Driven Engineering and Software Development
510
Safety Case
Safety
Argument
[2][6][10]
Confidence
Argument
[2][6][10]
Product Safety
Argument
[3][
8][
11]
Process Safety
Argument
[
3][8][
11]
Assurance Argument
for Inference
[6][10]
Assurance Argument
for Context
[2][10]
Assurance Argument
for Solution
[2][10]
Compliance Safety
Argument
[15][17]
Figure 3: A categorization of safety cases.
more than two decades, but there is still no specific
categorization of safety cases. A number of publi-
cations (Hawkins et al., 2011) (Birch et al., 2013)
(OPENCOSS, 2013) (Habli and Kelly, 2006) indicate
a simple classification of safety cases. Therefore, we
carry out a study based on those publications to obtain
an explicit categorization of safety cases. In the follow-
ing section, a GSN-based safety case categorization
are discussed.
3.1 Safety Case Categorization
Overview
An overview of our proposed safety case categoriza-
tion is shown in Figure 3. At the first level, safety
cases are categorized in two types: Safety Argument
and Confidence Argument. This separation is derived
from (Hawkins et al., 2011). Safety argument is the
argument that purely explains how the evidence sup-
ports the claims of the acceptable safety of a system.
Confidence argument is separated from safety argu-
ment, because it serves to explain the confidence of
a safety argument. (Ayoub et al., 2012) and (Denney
et al., 2011) propose approaches for systematically
constructing confidence arguments and evaluating the
uncertainties of safety arguments. For most of the ex-
isting safety cases, the confidence argument is always
included in the safety argument. When the distinction
between safety and confidence arguments is made, a
safety case developer will have a clear direction on
the safety case construction steps. For safety case re-
viewers or assessors, the distinction will help them
to understand a safety case better and identify these
weakly supported aspects (Hawkins et al., 2011).
3.2 Safety Argument
In a safety argument, the goal is to argue that system
itself or the development of the system is acceptably
safe. For example, a risk-based safety argument may
contain the identification and mitigation of hazards
associated with the system. Every assertion and evi-
dence in this safety argument will have a direct role to
the claims about the hazards. This kind of argument
is usually deterministic. Depending on the content of
claims, the safety argument can be further categorized
in three types: product safety argument (Birch et al.,
2013) (Habli and Kelly, 2006) (ISO26262, 2011), pro-
cess safety argument (Birch et al., 2013) (Habli and
Kelly, 2006) (ISO26262, 2011), and compliance safety
argument (Kelly, 1999) (OPENCOSS, 2013).
3.2.1 Product Safety Argument
If the top-claim in a safety argument focuses on safety
characteristics of a specific product, this argument is
classified as a product safety argument (or product-
based safety argument). When a claim in this argu-
ment is not trivial to be asserted, it will be split into
sub-claims. Finally, product-based evidence will be
provided for the bottom-level safety claims. An ex-
ample of this type of safety argument can be an ar-
gument constructed to demonstrate the satisfaction of
A Categorization of GSN-based Safety Cases and Patterns
511
Figure 4: An example of product safety argument pattern (Weaver, 2004, Page 208).
Figure 5: An example of process safety argument pattern (Ye, 2005, Figure 40).
the safety requirements in the hazard analysis phase.
This argument will mainly rely on the generated work
products, which can be used as supporting evidence.
Therefore, this argument is a typical product safety
argument. Normally, the product safety argument is
the crucial part of a completed safety case. Other types
of safety arguments are built around it.
A pattern of this type of safety argument can be
found in (Weaver, 2004) and is shown in Figure 4. This
pattern can be used to argue that the software contri-
butions to system level hazards are acceptable. The
instantiation of this pattern will be a safety argument
on a specific product, for example a safety argument
on Hazardous Software Failure Modes.
3.2.2 Process Safety Argument
When the top-claim in a safety argument focuses on the
quality of the development process, then this argument
can be classified as a process safety argument. For ex-
ample, if an argument states that tools or methods used
in the development process satisfy the corresponding
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512
Figure 6: An example of compliance safety argument pattern (OPENCOSS, 2013, Figure 32).
safety requirements, it will be referred to as a process
safety argument. A process safety argument focuses on
the implicit development process assumptions under-
lying the product-based argument. Thus, this type of
argument is strongly connected with a product safety
argument.
An example of process safety argument pattern is
shown in Figure 5 (Ye, 2005). The pattern is used to ar-
gue the safety of a Commercial-Off-The-Shelf (COTS)
component use from a risk management perspective.
It shows how the safety risks associated with the use
of a COTS component are identified and addressed
throughout the COTS acquisition process. The strategy
of this argument is to decompose the acceptability of
the COTS acquisition process to three essential phases:
defining a reference COTS component, establishing
the evaluation and selection criteria, and conducting
the COTS component evaluation and selection.
3.2.3 Compliance Safety Argument
When the top-claim in a safety argument points ex-
plicitly to a specific safety standard or regulation, this
argument can be classified as a compliance safety argu-
ment. The goal of this type argument is to demonstrate
that the development process of a system or the sys-
tem itself is in compliance with the target standards
or regulations. For example, for a top-claim “the haz-
ard analysis process of system X complies with ISO
26262”, a safety argument will need to be provided to
argue the compliance with ISO 26262 standard. Then
necessary evidence will be required to support such
argument. This type of argument contains the com-
pliance statements underlying the product-based and
process-based argument.
A pattern for constructing a compliance safety ar-
gument is shown in Figure 6. This pattern is designed
for arguing how well the development process of one
component complies with a given standard.
3.3 Confidence Argument
A confidence argument is used to explicitly address un-
certainties in inference rules and help explain why
there is sufficient confidence in a safety argument.
In other words, a confidence argument documents the
justification for confidence in a safety argument. In
the past, confidence argument is implicitly included
in the safety argument. The distinction between con-
fidence and safety argument is proposed in (Hawkins
et al., 2011). The goal of that research is to manage
the confidence part explicitly. In this way, the clarity
of a safety case can be improved, which facilitates
safety case construction and review process. When
building a safety argument, a number of assertions will
be made. These assertions represent the principles of
the safety argument. For different types of assertions,
a confidence argument can be further categorized in
three types: assurance argument for inference, context
and solution. Some examples of different types of
confidence argument can be found in (Hawkins et al.,
2011).
3.3.1 Assurance Argument for Inference
In a safety argument, if a top-level claim is too exten-
sive to be argued, the claim will be split into several
sub-claims through inference. The reason or method
A Categorization of GSN-based Safety Cases and Patterns
513
Table 1: Categorization of the safety case patterns in each paper.
Publications
Product Process
Compli-
ance
Asserted
Inference
Asserted
Context
Asserted
Solution
Mixed
(Kelly, 1999)
4 1 3 - - - 3
(Weaver, 2004)
12 - - - - - -
(Ye, 2005)
9 11 - - - 1 -
(Alexander et al., 2007)
9 - - - - - -
(Hawkins and Kelly, 2008)
1 4 - - - - -
(Robert and Ibrahim, 2010)
4 1 - - - - -
(Conmy and Bate, 2014)
- - - - - 1 -
(OPENCOSS, 2013)
3 4 2 - - - -
for this inference is documented in a strategy element.
Then to gain assurance in the strategy, a confidence
argument is needed to demonstrate why the asserted
inference should be trusted. We call this type of confi-
dence argument "Assurance Argument for Inference".
An assurance argument for inference is placed between
the parent claim and its strategy or sub-claims.
3.3.2 Assurance Argument for Context
Usually, contextual information contains the informa-
tion that is referred to in the claim or strategy. For
example, when a strategy states “argument over all
system hazards”, then a context pointing to the corre-
sponding hazard list will be added. When a context is
introduced into a safety argument, the appropriateness
and trustworthiness of that context should be taken into
account. Thus a confidence argument for the context
is necessary. We call this type of confidence argument
Assurance Argument for Context”. An assurance ar-
gument for context can be given between the context
and its corresponding strategy or claim to represent
the reliability of its source.
3.3.3 Assurance Argument for Solution
Assurance Argument for Solution is a kind of confi-
dence argument for showing the confidence on evi-
dence. When evidence is provided as a solution to an
argument, it need to be assured that the evidence is
sufficient to support the claim. Therefore, an assurance
argument for solution can be added for this purpose.
The assurance argument is given between solution and
its corresponding claim.
4 VALIDATION
Since the use of safety case patterns as a method
of documenting and reusing safety case structures
was pioneered by Kelly in 1999, the development
on safety case patterns has made great progress. Up
to now, a large number of safety case patterns have
been developed for different domains, for instance soft-
ware (Weaver, 2004), automotive (Robert and Ibrahim,
2010) and COTS Components (Ye, 2005). Safety cases
can be built based on these safety case patterns. There-
fore, by categorizing safety case patterns, the safety
cases derived from these patterns can also be catego-
rized. As safety case patterns have the common charac-
teristics of safety cases, we choose to apply our catego-
rization on a number of safety case patterns instead of
a random set of safety cases. We selected 8 existing pa-
per which includes specific safety case patterns (Kelly,
1999) (Weaver, 2004) (Ye, 2005) (Alexander et al.,
2007) (Hawkins and Kelly, 2008) (Robert and Ibrahim,
2010) (Hawkins et al., 2011) (OPENCOSS, 2013). In
total, 73 safety case patterns have been collected from
those papers. Those safety case patterns have been
categorized according to their safety goals. Table 1
shows the results of this categorization. Note that,
some safety case patterns have more than one type of
safety argument, then they are labeled as ‘Mixed’.
In (Kelly, 1999), eleven patterns are described for
both domain specific and domain independent goals.
These patterns are categorized into four product safety
arguments, one process safety argument, three compli-
ance safety arguments, and three mixed types. The de-
signed patterns in (Weaver, 2004) and (Alexander et al.,
2007) are domain specific and product-based, they are
classified into patterns for product safety arguments.
Besides, The patterns in (Ye, 2005) are classified into
nine for product safety arguments, one for process
safety arguments, and one for assurance arguments for
solution. Those patterns are specifically developed to
support the safety of a system which includes COTS
component. The patterns in (Hawkins and Kelly, 2008)
and (Robert and Ibrahim, 2010) are introduced as a
part of a safety case pattern catalog. In (Hawkins and
Kelly, 2008), a software safety case pattern catalog
is described for constructing arguments on software
safety. In (Robert and Ibrahim, 2010), an automotive
safety case pattern catalog is designed according to
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514
Figure 7: Statistical results of Categorization: for asserted in-
ference and asserted context, there is no confidence argument
patterns found in those papers.
the ISO 26262 standard. These catalogs are built upon
existing work or good practices in the safety domain.
In total, five patterns for product safety arguments and
five patterns for process safety arguments are found
in these two catalogs. A confidence argument pattern
for describing evidence, and its provenance and qual-
ity is provided in (Conmy and Bate, 2014), therefore
it is categorized as an assurance argument for solu-
tion. Furthermore, strategies for modular arguments
has been discussed in (OPENCOSS, 2013). The safety
argument is modularized to separate concerns for dif-
ferent purposes. The goal of this is to support safety
case reuse between different safety domains. For each
module, template arguments (argument patterns) has
been provided. From those template arguments, three
patterns for product safety arguments, four patterns for
process safety arguments, and two patterns for compli-
ance safety arguments are found.
Figure 7 shows how the collected safety case pat-
terns distributed over all the types. We can see that
product and process safety arguments form the major-
ity. There are several reasons for this result. Firstly,
safety standards themselves are product-oriented or
process-oriented, therefore, a part of compliance argu-
ment has already been covered by product or process
safety argument. Secondly, confidence safety argu-
ment is a new topic proposed in recent years. The de-
velopment of confidence safety argument is not mature
as safety argument. Only two confidence arguments
on asserted solution are found in those papers. The
reason for this could be: for the collected patterns,
the motivations for inference and context have already
been documented in the relevant GSN elements, In
other words, the confidence arguments on asserted in-
ference and context are implicitly covered by safety
argument. Moreover, the appearance of these two
types of confidence arguments is low, therefore, the
safety patterns for them are seldom created. Finally,
as most of safety arguments are classified as product
or process safety arguments, there is a possibility that
more classifications can be introduced for these two
types safety argument. Then the depth of the catego-
rization can be increased, and more specific types of
safety argument can be identified.
5 CONCLUSIONS
In this paper, we presented a safety case categorization
according to several high cited publications. For each
of the classification, we discussed its definition and
common characteristics that should be considered by
safety case writers and readers. Then we collected a
number of safety case patterns from another group of
papers to validate our categorization.
The results (Figure 7) show that most existing
safety cases focus on safety argument, especially prod-
uct and process argument. It is possible to classify
those two classifications further for specific domains.
As confidence safety argument is a new research topic,
there are still a lot of room for development.
Threats to Validity.
There are some threats to valid-
ity related to this study. Firstly, the number of selected
publications is restricted. Thus we chose papers ac-
cording to the number of citations. Secondly, most of
selected high cited papers are from University of York.
They have a lot experience in this domain and they
published a large number of papers with high effect
on the GSN-based safety case research and practical
community. Finally, low cited papers without concrete
GSN-based safety cases or patterns are excluded from
our study. Because they do not provide new insight.
Future Work.
As future work, we plan to improve
the current categorization by increasing its depth and
accuracy. Besides, we would like to use categorization
in some industrial case studies to facilitate modeling
safety cases, and support safety case modularity and
reuse.
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