=Paper= {{Paper |id=Vol-1844/10000670 |storemode=property |title=Assurance Case Driven Design based on the Harmonized Framework of Safety and Security Requirements |pdfUrl=https://ceur-ws.org/Vol-1844/10000670.pdf |volume=Vol-1844 |authors=Vladimir Sklyar,Vyacheslav Kharchenko |dblpUrl=https://dblp.org/rec/conf/icteri/SklyarK17 }} ==Assurance Case Driven Design based on the Harmonized Framework of Safety and Security Requirements== https://ceur-ws.org/Vol-1844/10000670.pdf
Assurance Case Driven Design based on the Harmonized
   Framework of Safety and Security Requirements

                        Vladimir Sklyar, Vyacheslav Kharchenko

                National Aerospace University “KhAI”, Kharkiv, Ukraine
           v.sklyar@csn.khai.edu, v.kharchenko@csn.khai.edu



       Abstract. Assurance (Security and Safety) Case is an approach to prove critical
       systems and software compliance with security and safety requirements. We
       propose an advanced framework named as Assurance Case Driven Design
       (AC DD) to improve cost-effectiveness of certification and licensing processes.
       AC DD is based on Claim-Argument-Evidence-Criteria (CAEC) notation and
       Development-Verification&Validation-Assurance Case (DVA) notation. An
       example of AC DD application for Functional Safety Management part of re-
       quirements of the standard IEC 61508 is considered.

       Keywords: certification, assurance case, safety and security life cycle,
       IEC 61508


       Key terms. MathematicalModeling, MathematicalModel, SoftwareSystems


1 Introduction
Assurance (Security and Safety) Case implementation goals are, firstly, proving a
conformance of security and safety critical systems and software with requirements,
and, secondly, discovering a gap in these requirements conformance [1]. Assurance
Case Driven Design (AC DD) is proposed to apply Assurance Case building as soon
as possible for the earliest stages of life cycle activities. The main goal of this ap-
proach is to improve cost-effectiveness of certification and licensing processes [2].
AC DC also supports the following important topics:

 Research of integral security and safety features of modern critical control and
  communication systems and networks as an integral property; security importance
  increasing requests implementation of security requirements as a part of licensing
  issues; such approach is named as Security Informed Safety Case [3]; such ap-
  proach is targeted to analyze safety and security in a structured way and creating
  Security Informed Safety Case that provide justification of safety taking into par-
  ticular consideration the impact of security [4];
 Research of different type of embedded components, such as Field Programmable
  Gates Arrays (FPGAs) and microprocessor units (MCUs);
 Research applications for specific market, for example, cloud computing, big data
  analytics and IoT with high level requirements to safety, security and quality of
  service (QoS).
   At the present Assurance Case methodology progress lays in multidisciplinary dis-
semination of theory and experience [5]. Experts form different area may develop a
general and cross-platform security and safety assurance approaches. At the same
time there are some potential areas for Assurance Case improvement, such as:

 Assurance Case should faster find gaps in compliance with requirements than
  demonstrate such compliance;
 It is reasonable to implement Assurance Case from the earliest stage of life cycle;
  one more reason to do it is a prospective idea to combine of Assurance Case with
  argument based design approach, what is a basis for elimination a board between
  design and modeling;
 Assurance Case should provide as many details as it is needed for comprehensive
  analysis;
 Assurance Case should support re-using of system safety and security files during
  system operation and maintenance;
 Assurance Case should support cost effectiveness of system life cycle;
 It is reasonable to improve formalism of Assurance Case against empirics in de-
  scriptions.
  Assurance Case has two sides of description and implementation:

1. A static part which describes an approach to combine arguments for assurance
   support;
2. A dynamic part to support a static part movement between stages of analyzed sys-
   tem life cycle.
   The modern researches in the Assurance Case area are mostly oriented to industry,
such as new coming applications covering [6,7], patterns development [8] and com-
puter tools improvement [9,10]. At the same time, theoretical researches can improve
Assurance Case usability for different industries [11].
   CAE and GSN formalisms are based on classical set theory, graph theory and rela-
tion algebra. Such relations tracing allows us to propose extensions for existing nota-
tions. In this article we discuss an approach to develop Claim-Argument-Evidence-
Criteria (CAEC) notation as an extension of CAE notation [4].
   The second side of Assurance Case implementation is dynamic application via life
cycle stages. We propose Development – Verification & Validation –Assurance Case
(DVA) notation for description of dynamic Assurance Case application.
   We choose the standard IEC 61508 “Functional safety of electri-
cal/electronic/programmable electronic safety-related systems” and applied it for
Industrial Control System (ICS). It allows implementing a pilot application of AC DD
for Functional Safety Management part of the IEC 61508 requirements [12,13].
   This paper continue series of researches in Assurance Case domain [4,14]. A nov-
elty of this paper consists in application of previously developed AC DD approach to
ICS safety and security assurance and assessment.
2 Concept of Assurance Case Driven Design

2.1 General Framework for Assurance Case Driven Design
A general AC DD framework is described in details in [4,14]. Usually the first step in
any system development is signing a contract. This contract is an input for system
functional requirement as well as certification or licensing framework for safety and
security critical applications. The Requirement Specification has to be developed on
the base of contractual functional requirements.
    Safety and security critical systems shall have an important addition to the Re-
quirement Specification describing not functional requirements targeted to implement
system integrity. AC DD approach proposes to present such requirements in a view of
a preliminary Assurance Case. Such preliminary Assurance Case is not a result of
assessment but a target which has to be achieved after the system implementation.
Not functional requirements of Assurance Case are an input for Safety or Security
Management Plan which has cover life cycle description with all development support
processes. Some parts of not functional requirements (for example, self-diagnostic
requirements) may affect the Requirement Specification. After that staged life cycle
with V&V and other supporting processes activities (Project Management, Configura-
tion Management and other) has to be implemented in accordance with Safety (Secu-
rity) Management Plan. After the contract and the Requirement Specification stages
life cycle usually includes design, implementation, integration, validation, installation,
and commissioning stages. Assurance Case activities have to be implemented after
each of the stage. Safety or security certification has to finalize system life cycle be-
fore transfer it in operation at the customer site. Also during operation a periodical
assessment or certification has to be done with associated update of Assurance Case.
    Assurance Case structure depends from a type of the application. For example a
typical structure of Assurance Case for industrial functional safety related application
includes: security activities coordinated with safety, process implementation and as-
sessment, and product implementation and assessment. Assessment can be done in a
view of deterministic analysis, probabilistic analysis or demonstration.


2.2 Claim-Argument-Evidence-Criteria (CAEC) Notation
There are two the main notation used for Assurance Case [1]: Claim-Argument-
Evidence (CAE) and Goal Structured Notation (GSN).
    Usually both CAE and GSN are presented in a graphical view. Also an approach to
represent the CAE in a table view is widely used in industry [5,6]. If we discuss about
formal background of Assurance Case notations, all of them can be described with set
theory and graph theory apparatus.
    Another side of theoretical approach is structured development of Assurance Case.
A typical multi levels required by regulations include the following: Level 0 (L0) –
conceptual level; Level 1 (L1) – design level; Level 2 (L2) – implementation level.
    In the AC DD framework we propose some addition for Assurance Case CAE no-
tations to be able assess specific features of critical systems. Acceptance criteria and
coverage criteria are two additional entities which have to be taken into account for
support arguments and evidences. Acceptance criteria are the conditions when stated
requirements are met. From the point view of Assurance Case, acceptance criteria
provide us ability to state the right arguments which are consistent with the claim and
to provide the evidences which are consistent with the arguments. Coverage criteria
describe how completely the claim is met.
   From the point view of Assurance Case, coverage criteria provide us ability to state
multiple arguments to completely cover all claim features and to provide multiple
evidences which completely cover the arguments. Acceptance criteria for a claim can
be extracted from both argument and/or evidence. In general case acceptance criteria
provide a quantitative and qualitative description of a situation when the claim is met.
A coverage criterion is a measure used to describe the degree to which evidence for
specific arguments is provided. A modified CAE notation which we name Claim-
Argument-Evidence-Criteria (CAEC) notation is given on Fig. 1.

                                      acceptance
                                        criteria



             claim                    argument                    evidence



                                   coverage criteria

               Fig. 1. Claim-Argument-Evidence-Criteria (CAEC) Notation

  The next step of CAE / CAEC notation development is to support activities of
Safety & Security Life Cycle (SSLC) stages with implementation of Assurance Case.
Specification and design requirements are the inputs for each of the SSLC stage. After
any stage fulfillment, requirements implementation assessment has to be performed.


2.3 Development-V&V-Assurance Case (DVA) Notation
The following activities are mandatory for each of the SSLC stage (see Fig. 2):

 Development targeted to move an implemented product representation stage by
  stage through SSLC;
 V&V targeted to check conformance of the SSLC stage development outputs to the
  SLC stage development inputs;
 Assurance Case update based on assessment of performed development and V&V
  activities.
   The proposed DVA Development-V&V-Assurance Case (DVA) notation is based
on following fundamentals:
                                           D                         V
                                                        A
     Development        Assurance
                           Case
               Verification
                    &
                Validation
  Fig. 2. Transition from V-shape Life Cycle to Development-V&V-Assurance Case (DVA)
                                          Notation

 Safety & Security Life Cycle can be represented in a view of three components:
  Development (D), Verification and Validation (V&V) and Assurance Case (A);
 Development activities are staged implementation of requirements in design de-
  scription of system, hardware and software, and after that implementation of re-
  quirements in a physical system, hardware and software;
 Development also covers processes implementation to support development of the
  product; processes also are described in a view of requirements which are collected
  in project plans;
 Typically requirements are represented and handled as database records; from this
  point of view the main operation with requirements are CREATE (to add),
  DELETE, MODIFY (if requirement needs some sense correction), EDIT (if re-
  quirement needs only editorial correction without changing of a sense);
 Forward and backward requirement tracing shall be implemented at each of Life
  Cycle stage to assure: 1) all previous stage requirements are implemented into the
  next stage documents; 2) no new requirement appears in the next stage documents;
  3) all the requirements are verified or validated;
 Compliance of the product of next Life Cycle stage with the product of the previ-
  ous Life Cycle stage is checked by implementation of V&V process;
 Compliance of processes implementation (including development and V&V pro-
  cesses) is checked by audits when processes implementation evidences are investi-
  gated against the project plans requirements; these audits can be a part of Assur-
  ance Case activities;
 All three D, V and A components of Safety & Security Life Cycle have specific
  inputs and outputs for each of the Life Cycle stage; so a diagram on Fig. 3 repre-
  sents DVA relations for some single stage.
   To develop a graph and theoretical-set based model for DVA notation a diagram
on Fig. 2 should be elaborated to reflect feedback relations after V&V and Assurance
Case performance (see Fig. 3). Direct data transmission and feedback data are high-
lighted with different templates of lines.
          DI(V)

   DI                                VI(D)                   AI(V)                AO
                  D                             V                        A
                                      VI(A)                    AI(D)
          DI(A)

            Fig. 3. Graph and theoretical-set based description of DVA Notation

   It is clear for Fig. 3, that input and output sets have some overlapping, so sets of
DVA data flows ate described in terms of inputs. There are the following data sets
transmitted between components of DVA:
 DI = {di1, di2, …, diK} – a set of development process inputs transmitted from the
  out of the previous life cycle stage;
 VI(D) = {vid1, vid2, …, vidL} – a set of V&V process inputs transmitted from the out
  of development process;
 AI(D) = {aid1, aid2, …, aidM} – a set of Assurance Case process inputs transmitted
  from the out of development process;
 AI(V) = {aiv1, aiv2, …, aivN} – a set of Assurance Case process inputs transmitted
  from the out of V&V process;
 DI(V) = {div1, div2, …, divP} – a set of development process inputs transmitted from
  the out of V&V process (a corrective feedback);
 DI(A) = {dia1, dia2, …, diaQ} – a set of development process inputs transmitted from
  the out of Assurance Case process (a corrective feedback);
 VI(A) = {via1, via2, …, viaR} – a set of V&V process inputs transmitted from the out
  of Assurance Case process (a corrective feedback);
 AO = {ao1, ao2, …, aoS} – a set of Assurance Case process inputs transmitted to the
  next life cycle stage after all the internal corrections.
  The following software tools are available to develop Assurance Case [10]:
 ASCE (Assurance and Safety Case Environment) developed by British company
  Adelard supports both CAE and GSN;
 Astah GSN developed by Japanese company Change Vision supports only GSN;
 NOR-STA developed by Polish company Argevide supports GSN and specific list-
  oriented TRUST-IT notation.


3 Framework of Safety and Security Requirements
Result of industrial standards considering [12,15] allows representing existing securi-
ty requirements to Industrial Control Systems (ICS) related with a restricted set of
categories (see Fig. 4).
                   Fig. 4. Security concepts and requirements taxonomy

  This conceptual security requirements taxonomy include four the main parts:

 Risk management and assessment as a corner stone for definition of acceptable
  risks levels and countermeasures for risks reduction;
 Categories of security features implementation which include triad “People – Pro-
  cess – Technologies”;
 ICS context which drive to define requirement taking into account specifics of ICS;
  this concept includes three types of models (reference, physical architecture and
  zone models) as well as functionality, components, assets and other definitions,
  and security and safety coordination issues;
 ICS security levels concept which grades risk levels for ICS separated parts and
  establishes different life cycle processes and countermeasures for different security
  levels.
   A risk management process should be employed throughout an organization, using
a three-tiered approach to address risk at the organization level; mission/business
process level; and information system level (IT system and ICS). After that the prin-
ciple of the “People – Process – Technologies” categories triad shall be implemented
as the core of Information Security Management System (ISMS) [15].
   A context of the ICS can be represented by combination of three models, which are
Reference Model, Physical Architecture Model, and Zone Model (see Fig. 5).
   Zone Model provides the context for assessing common threats, vulnerabilities,
and the corresponding countermeasures needed to attain the level of security required
to protect the grouped assets. After grouping assets in this manner, a security policy is
defined for all assets that are members of the zone. The results of this analysis are
used to determine the appropriate protection required based on the activities per-
formed in the zone [15].
         Fig. 5. Zone model of Industrial Control Systems (source: ISA/IEC 62443)

   Every situation has a different acceptable level of security. For large or complex
systems, it may not be practical or necessary to apply the same level of security to all
components. Differences can be addressed by using the concept of a zone, defined as
a logical or physical grouping of physical, informational, and application as sets shar-
ing common security requirements. This concept can be applied in an exclusive man-
ner where some systems are included in the security zone and all others are outside
the zone. A conduit is a particular type of zone that groups communications that can
be logically organized into a grouping of information flows within and also external
to a zone. Channels are the specific communication links established within a com-
munication conduit.
   A set of ICS functional safety requirement can be found in series of industrial
standards, for example, IEC 61508 “Functional safety of electri-
cal/electronic/programmable electronic safety-related systems”.
   These functional safety requirements can be divided in some following categories:
   Requirements to functional safety management;
   Requirements to functional safety life cycle;
   Requirements to systematic (system and software design) failures avoidance;
   Requirements to random (hardware) failures avoidance.
   A scope of the above requirements is highly dependent from as named Safety In-
tegrity Level (SIL) which establishes relation between system risk level and a scope
of the related safety assurance countermeasures.
   This requirement taxonomy can be applied for security concept (see Fig. 4). First-
ly, Security Levels shall be implemented for ICS taken into account risks levels. Sec-
ondly, ISMS shall be implemented and coordinated with functional safety manage-
ment issues. Thirdly, a common security and safety life cycle shall be established to
cover all the process of ICS development, verification and validation. Fourthly, com-
mon safety and security risks shall be avoided to implement coordinated counter-
measures against random (hardware) and systematic (system and software design)
failures. Examples of common safety and security random failures avoidance coun-
termeasure are redundancy, self-diagnostic, hazards protection and others. Examples
of common safety and security systematic failures avoidance (attacks avoidance for
security) are access control and configuration control. Fifty, assessment shall be peri-
odically performed for both, security and safety. The discussed approach is the base
for security and safety coordination, as it is represented on Fig. 6.




              Fig. 6. A concept of harmonized safety and security requirements
4 Functional Safety Management Part of Assurance Case Driven
Design Framework

The standard IEC 61508 “Functional safety of electrical/electronic/programmable
electronic safety-related systems” has been chosen to specify safety requirements to
ICS. This umbrella safety standard contains seven parts (see Fig. 7) covering different
types of computer control systems for different industrial domains.




                            Fig. 7. Seven parts of IEC 61508

   Let’s consider requirements to Functional Safety Management in accordance with
the proposed safety and security requirements structure (see Fig. 8).
   These requirements are contained in Section 6, which is included in parts 1, 2,
and 3 of the IEC 61508. The bulk of the requirements is presented in IEC 61508-1.
There is only a link to IEC 61508-1 in IEC 61508-2. IEC 61508-3 contains an
amendment related with software configuration management. It is reasonable also to
consider Section 5 “Documentation” and Section 8 “Functional Safety Assessment”
of IEC 61508-1, Section 7.1 “General (System safety lifecycle requirements)” of IEC
61508-2, as well as Section 7.4.4 “Requirements for support tools, including pro-
gramming languages” of IEC 61508-3.
   The Functional Safety Management Plan (FSMP) shall be elaborated for a specific
ICS implementation project to comply with the above requirements. The FSMP shall
include the following parts:
 Configuration Management (see Fig. 8);
 Verification and Validation (see Fig. 9);
 Documentation Management (see Fig. 10);
 Tools Selection and Evaluation structured in accordance with safety affect
  (see Fig. 13);
 Functional Safety Assessment (see Fig. 11);
 Human Resource Management (see Fig. 12).
  The above activities include specific management directions, and this is a reason
why any of such activity request a separated plans and reports. So, the FSMP should
contain only general information without many details.




Fig. 8. A structure of Configuration Management Plan complied with IEC 61508-1 (Section 6)




         Fig. 9. A structure of V&V Plan complied with IEC 61508-2 (Section 7.1)




     Fig. 10. A structure of Documentation Plan complied with IEC 61508-1 (Section 5)
   Fig. 11. A structure software tools profile complied with IEC 61508-3 (Section 7.4.4);
(T1 – generates no outputs which can directly or indirectly contribute to the executable code,
T2 – supports the test or verification of the design or executable code, T3 – generates outputs
             which can directly or indirectly contribute to the executable code)




Fig. 12. A structure of Functional Safety Audit Plan complied with IEC 61508-1 (Section 8)




     Fig. 13. A structure HR Management Plan complied with IEC 61508-1 (Section 6)
    Also the FSMP should contain the following:
   Project Policy and Strategy;
   Functional Safety Life Cycle and Requirement Tracing;
   Suppliers Management in relation with Quality Management System;
   Security; it should be noted the IEC 61508 contains just very top level require-
    ments to security; taking into account safety and security requirements harmoniza-
    tion approach, it would be appropriate to put reference to ISMS documents in this
    part of the FSMP.
  Fig. 14 represents a full framework for Functional Safety Management require-
ments in accordance with the IEC 61508 (applicable sections from part 1, 2, and 3).




Fig. 14. A proposed structure of Functional Safety Management Plan complied with IEC 61508

   To give details on the atom requirements level let’s consider Human Resource
Management process. The Human Resource Management Plan (HRMP) shall be de-
veloped to comply with Functional Safety Management requirements. This plan shall
include the following parts which are response to IEC 61508 requirements, marked
below as HRj (see Fig. 13):
   HR1: {The HRMP shall contain Organizational Chart of the ICS implementation
Project};
   HR2: {The HRMP shall contain descriptions of the Project roles in traceable to
Organizational Chart};
   HR3: {The HRMP shall contain Competency Matrix with specified competencies
required for each of the Project role and with results of competencies compliance
evaluation};
   HR4: {The HRMP shall contain references to Training Plan and Training Records,
which are needed to support personnel competencies at the required level; Training
Plan and Training Records shall be available};
   HR5: {The HRMP shall contain participants Communication Plan};
  HR6: {The HRMP shall contain participants list with signature that confirm
awareness concerning the Project roles and responsibilities}.


5 Application of Assurance Case Driven Design Methodology:
Human Resource Management Part

To apply the proposed AC DD methodology to specified requirements
{HR1,…,HR6} we need to establish a structure of SSLC. An example of SSLC for
ICS is presented on Fig. 15.




                     Fig. 15. V-shape Safety and Security Life Cycle

   Inputs to implement AC DD can be presented in a view of a table (see Table 1),
when rows are equivalent to Life Cycle stages and columns are equivalent to require-
ments. In this case the table cells will specify the Assurance Case operations for a
specific requirement at a specific Life Cycle stage.
   A general view of Assurance Case operation can be represented as
Aij(Di,Vi,HRj) = {Cij, a1ij,…,aKij, e1ij,…, eLij, cc1ij,…CCMij, AC1ij,…, ACNij},
where Cij is a claim for i-th SSLC stage (development or V&V) and j-th requirement,
akij is an argument with index from 1 to K, elij is an evidence with index from 1 to L,
CCmij is a coverage criterion with coverage index from 1 to M, ACnij is an ac-
ceptance criterion with index from 1 to N. Some Aij can be repeated without changing
through the SSLC stages, and some Aij can be done once for some specific SSLC
stages and after that missed later SSLC stages.
     Table 1. AC DD implementation: operation with requirements through SSLC stages

SSLC stage name         SSLC     HR1              HR2             …      HR6
                        index
Concept                 D1       A(D1,HR1)        A(D1,HR2)       …      A(D1,HR6)
SRS                     D2       A(D2,HR1)        A(D2,HR2)       …      A(D2,HR6)
SRS Review              V2       A(V2,HR1)        A(V2,HR2)       …      A(V2,HR6)
SAD                     D3       A(D3,HR1)        A(D3,HR2)       …      A(D3,HR6)
SAD Review              V3       A(V3,HR1)        A(V3,HR2)       …      A(V3,HR6)
HW Design               D4       A(D4,HR1)        A(D4,HR2)       …      A(D4,HR6)
HW Design               V4       A(V4,HR1)        A(V4,HR2)       …      A(V4,HR6)
Review
FMECA                   V5       A(V5,HR1)        A(V5,HR2)       …      A(V5,HR6)
SW Design               D5       A(D5,HR1)        A(D5,HR2)       …      A(D5,HR6)
SW Design               V6       A(V6,HR1)        A(V6,HR2)       …      A(V6,HR6)
Review
SW Coding               D6       A(D6,HR1)        A(D6,HR2)       …      A(D6,HR6)
Code Analysis and       V7       A(V7,HR1)        A(V7,HR2)       …      A(V7,HR6)
Review
SW Testing              V8       A(V8,HR1)        A(V8,HR2)       …      A(V8,HR6)
Fault Insertion         V9       A(V9,HR1)        A(V9,HR2)       …      A(V9,HR6)
Testing
Integration Testing     V10      A(V10,HR1)       A(V10,HR2)      …      A(V10,HR6)
Validation Testing      V11      A(V11,HR1)       A(V11,HR2)      …      A(V11,HR6)


6 Conclusions
The proposed AC DD approach may provide some benefits on the base of from cost-
effective as named “embedded certification” briefly described by DVA notation. This
cost-effective solution can work under conditions when the total cost of life cycle
with application of “embedded certification” would be less than the cost of usual life
cycle with usual after life cycle certification, i.e.:
   Cost (DVA Life Cycle) < Cost (DV Life Cycle) + Cost (Certification).
   This paper provides a framework of harmonized safety and security requirements
which are divided into the following groups:

 Requirements to management of safety and security;
 Requirements to Safety and Security Life Cycle;
 Requirements to avoidance of random and systematic failures;
 Requirements to safety and security assessment.
    The next practical steps of AC DD development have to be directed to analyze ex-
isting Safety and Assurance Cases for Internet of Things, cloud computing and big
data analytics as well as to enforce Assurance Cases for IoT products with Security
Informed approach.
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