论文标题

在保证案例中集成测试和与操作相关的定量证据,以说明数据驱动的AI/ML组件的安全性

Integrating Testing and Operation-related Quantitative Evidences in Assurance Cases to Argue Safety of Data-Driven AI/ML Components

论文作者

Kläs, Michael, Jöckel, Lisa, Adler, Rasmus, Reich, Jan

论文摘要

将来,AI将越来越多地进入可能对人类造成身体伤害的系统。对于这样的关键安全系统,必须证明其残余风险不会超过可接受的。这尤其包括是此类系统与安全相关功能的一部分的AI组件。保证案件是今天的深入讨论的选择,用于指定声音和全面的安全论点以证明系统的安全性。在先前的工作中,有人建议通过基于两个互补风险接受标准构建保证案例来争论AI组件的安全。这些标准之一用于得出有关AI的定量靶标。然而,通常提出的论证结构表明了这种定量目标的实现,但是,侧重于统计测试的故障率。仅以定性的方式考虑进一步的重要方面 - 如果有的话。相比之下,本文提出了实现目标的更全面的论证结构,即将测试结果与运行时方面相结合的结构以及范围合规性和测试数据质量的影响。我们详细说明了不同的论点选项,提出了基本的数学考虑,并讨论了对其实际应用的影响。使用提出的论证结构不仅可以增加保证案件的完整性,而且还可以允许对定量目标提出索赔,而这些目标是不合理的。

In the future, AI will increasingly find its way into systems that can potentially cause physical harm to humans. For such safety-critical systems, it must be demonstrated that their residual risk does not exceed what is acceptable. This includes, in particular, the AI components that are part of such systems' safety-related functions. Assurance cases are an intensively discussed option today for specifying a sound and comprehensive safety argument to demonstrate a system's safety. In previous work, it has been suggested to argue safety for AI components by structuring assurance cases based on two complementary risk acceptance criteria. One of these criteria is used to derive quantitative targets regarding the AI. The argumentation structures commonly proposed to show the achievement of such quantitative targets, however, focus on failure rates from statistical testing. Further important aspects are only considered in a qualitative manner -- if at all. In contrast, this paper proposes a more holistic argumentation structure for having achieved the target, namely a structure that integrates test results with runtime aspects and the impact of scope compliance and test data quality in a quantitative manner. We elaborate different argumentation options, present the underlying mathematical considerations, and discuss resulting implications for their practical application. Using the proposed argumentation structure might not only increase the integrity of assurance cases but may also allow claims on quantitative targets that would not be justifiable otherwise.

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