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PRA (Probabilistic Risk Assessments) Participation versus Validation

Probabilistic Risk Assessments (PRAs) are performed for projects or programs where the consequences of failure are highly undesirable. PRAs primarily address the level of risk those projects or programs posed during operations. PRAs are often developed after the design has been completed. Design and operational details used to develop models include approved and accepted design information regarding equipment, components, systems and failure data. This methodology basically validates the risk parameters of the project or system design. For high risk or high dollar projects, using PRA methodologies during the design process provides new opportunities to influence the design early in the project life cycle to identify, eliminate or mitigate potential risks. Identifying risk drivers before the design has been set allows the design engineers to understand the inherent risk of their current design and consider potential risk mitigation changes. This can become an iterative process where the PRA model can be used to determine if the mitigation technique is effective in reducing risk. This can result in more efficient and cost effective design changes. PRA methodology can be used to assess the risk of design alternatives and can demonstrate how major design changes or program modifications impact the overall program or project risk. PRA has been used for the last two decades to validate risk predictions and acceptability. Providing risk information which can positively influence final system and equipment design the PRA tool can also participate in design development, providing a safe and cost effective product.

DeMott, Diana↗

The Challenger disaster was caused by an Apollo decision

NASA’s view of risk changed between early Apollo and the Space Shuttle. Risk was a known serious problem at the beginning of Apollo and the risk estimates were disturbingly high. To avoid public concern, risk analysis was discontinued. Risk analysis was avoided in Shuttle, leading to an unnecessarily risky design. The immediate cause of the Challenger tragedy was the mistaken decision to launch in cold weather. The fundamental cause was the high risk of the Shuttle design. Before Challenger, management thought and testified that the probability of an accident was 1 in 100,000. After Challenger, Probabilistic Risk Analysis (PRA) found a roughly 1 in 100 chance of a Shuttle failure. The recent Orion design uses the safer Apollo approach, with a hardened capsule, launch abort escape, and the crew placed above the rocket tanks and engines. During Apollo it was estimated that, “assuming all elements from propulsion to rendezvous and life support were done as well or better than ever before, that 30 astronauts would be lost before 3 were returned safely to the Earth.” The chance of astronaut survival was only 10%. After the Apollo 1 tragedy, the awareness of risk led to an intense focus on achieving safety. “The only possible explanation for the astonishing success – no losses in space and on time – was that every participant at every level in every area far exceeded the norm of human capabilities.” During Apollo, a NASA PRA found that the chance of success was “less than 5 percent.” The NASA Administrator felt that “the numbers could do irreparable harm,” and discontinued numerical risk assessment.

Harry W Jones↗

The Challenger tragedy was caused by an Apollo mistake, terminating risk analysis

NASA’s view of risk changed between early Apollo and the Space Shuttle. Risk was a known serious problem at the beginning of Apollo and the risk estimates were disturbingly high. To avoid public concern, risk analysis was discontinued. Risk analysis was avoided in Shuttle, leading to an unnecessarily risky design. The immediate cause of the Challenger tragedy was the mistaken decision to launch in cold weather. The fundamental cause was the high risk of the Shuttle design. Before Challenger, management thought and testified that the probability of an accident was 1 in 100,000. After Challenger, Probabilistic Risk Analysis (PRA) found a roughly 1 in 100 chance of a Shuttle failure. The recent Orion design uses the safer Apollo approach, with a hardened capsule, launch abort escape, and the crew placed above the rocket tanks and engines. During Apollo it was estimated that, “assuming all elements from propulsion to rendezvous and life support were done as well or better than ever before, that 30 astronauts would be lost before 3 were returned safely to the Earth.” The chance of astronaut survival was only 10%. After the Apollo 1 tragedy, the awareness of risk led to an intense focus on achieving safety. “The only possible explanation for the astonishing success – no losses in space and on time – was that every participant at every level in every area far exceeded the norm of human capabilities.” During Apollo, a NASA PRA found that the chance of success was “less than 5 percent.” The NASA Administrator felt that “the numbers could do irreparable harm,” and discontinued numerical risk assessment. This led to decreasing understanding of risk. The head of Apollo reliability and safety decided, “Statistics don’t count for anything,” and that risk is reduced by “attention taken in design.” The great and initially unexpected success of Apollo appeared to validate the neglect of PRA. Continuing to neglect the mathematical estimation of risk led Shuttle into a high risk design that produced tragic results. The initial design of the Shuttle emphasized increasing capability and reducing cost without analysis or even mention of risk. A retired NASA official stated, “some NASA people began to confuse desire with reality. … One result was to assess risk in terms of what was thought acceptable without regard for verifying the assessment. … Note that under such circumstances real risk management is shut out.” Not computing risk led to removing launch abort, removing crew escape, selecting less reliable Solid Rocket Boosters, placing the crew compartment next to the rocket boosters, and accepting more stressed shielding tile designs. Accepting these specific risks directly caused the shuttle disasters. The Challenger tragedy is frequently taught as a case of management failure. The focus is on the Challenger launch decision hours before, which is a dramatic example of bad management. However, the true cause of the Challenger disaster occurred decades earlier in the Apollo era. When the easily predictable failures occurred, failure investigations focused on how they might have been avoided. The Shuttle was cancelled after the space station was completed because of its high risk. The ultimate cause of the Shuttle tragedies was the choice by the Apollo-era NASA administrator to avoid a negative public reaction to realistic risk analysis.

Harry W. Jones↗

Diagnosing Hybrid Systems: a Bayesian Model Selection Approach

In this paper we examine the problem of monitoring and diagnosing noisy complex dynamical systems that are modeled as hybrid systems-models of continuous behavior, interleaved by discrete transitions. In particular, we examine continuous systems with embedded supervisory controllers that experience abrupt, partial or full failure of component devices. Building on our previous work in this area (MBCG99;MBCG00), our specific focus in this paper ins on the mathematical formulation of the hybrid monitoring and diagnosis task as a Bayesian model tracking algorithm. The nonlinear dynamics of many hybrid systems present challenges to probabilistic tracking. Further, probabilistic tracking of a system for the purposes of diagnosis is problematic because the models of the system corresponding to failure modes are numerous and generally very unlikely. To focus tracking on these unlikely models and to reduce the number of potential models under consideration, we exploit logic-based techniques for qualitative model-based diagnosis to conjecture a limited initial set of consistent candidate models. In this paper we discuss alternative tracking techniques that are relevant to different classes of hybrid systems, focusing specifically on a method for tracking multiple models of nonlinear behavior simultaneously using factored sampling and conditional density propagation. To illustrate and motivate the approach described in this paper we examine the problem of monitoring and diganosing NASA's Sprint AERCam, a small spherical robotic camera unit with 12 thrusters that enable both linear and rotational motion.

McIlraith, Sheila A.↗

A Markov chain model for reliability growth and decay

A mathematical model is developed to describe a complex system undergoing a sequence of trials in which there is interaction between the internal states of the system and the outcomes of the trials. For example, the model might describe a system undergoing testing that is redesigned after each failure. The basic assumptions for the model are that the state of the system after a trial depends probabilistically only on the state before the trial and on the outcome of the trial and that the outcome of a trial depends probabilistically only on the state of the system before the trial. It is shown that under these basic assumptions, the successive states form a Markov chain and the successive states and outcomes jointly form a Markov chain. General results are obtained for the transition probabilities, steady-state distributions, etc. A special case studied in detail describes a system that has two possible state ('repaired' and 'unrepaired') undergoing trials that have three possible outcomes ('inherent failure', 'assignable-cause' 'failure' and 'success'). For this model, the reliability function is computed explicitly and an optimal repair policy is obtained.

Siegrist, K.↗

Supportability Concepts for Crewed Deep Space Exploration

Supportability—defined as the set of system characteristics that influence the logistics and support required to enable safe and effective operations—will be a much larger driver of mass, risk, and crew time for future human space exploration due to the more challenging mission context. For Mars, systems must operate in a logistically isolated environment for much longer durations than previous missions, which results in a higher probability of system failure and therefore an increased need for maintenance or contingency options. Mars missions also lack access to quick aborts, which increases the consequences of an unrecoverable system failure. Together, this higher likelihood and consequence of failure results in an increase in supportability-related risk. Supportability analysis is an important part of systems development that helps designers better understand the impacts of system and mission decisions on risk, mass, and crew time. The real-world processes that drive maintenance requirements and other supportability-related characteristics are probabilistic, and therefore they require different conceptual approaches and models than are used for more deterministic aspects of space systems. This paper provides an overview of supportability analysis, addresses key concepts, and provides examples of how supportability analysis can be incorporated into system development. Specifically, system supportability involves stochastic processes, and therefore must be evaluated using probabilistic models. These models can be used to perform sensitivity analysis even if system characteristics are not yet fully defined. Failure rates cannot be measured directly, but tests provide valuable data that can help refine those estimates. Human spaceflight architectures are complex, and exhibit coupled behavior that should be examined with integrated systems analysis that includes an assessment of supportability.

Supportability↗

Supportability Concepts for Crewed Deep Space Exploration

Supportability—defined as the set of system characteristics that influence the logistics and support required to enable safe and effective operations—will be a much larger driver of mass, risk, and crew time for future human space exploration due to the more challenging mission context. For Mars, systems must operate in a logistically isolated environment for much longer durations than previous missions, which results in a higher probability of system failure and therefore an increased need for maintenance or contingency options. Mars missions also lack access to quick aborts, which increases the consequences of an unrecoverable system failure. Together, this higher likelihood and consequence of failure results in an increase in supportability-related risk. Supportability analysis is an important part of systems development that helps designers better understand the impacts of system and mission decisions on risk, mass, and crew time. The real-world processes that drive maintenance requirements and other supportability-related characteristics are probabilistic, and therefore they require different conceptual approaches and models than are used for more deterministic aspects of space systems. This paper provides an overview of supportability analysis, addresses key concepts, and provides examples of how supportability analysis can be incorporated into system development. Specifically, system supportability involves stochastic processes, and therefore must be evaluated using probabilistic models. These models can be used to perform sensitivity analysis even if system characteristics are not yet fully defined. Failure rates cannot be measured directly, but tests provide valuable data that can help refine those estimates. Human spaceflight architectures are complex, and exhibit coupled behavior that should be examined with integrated systems analysis that includes an assessment of supportability.

Supportability↗

Using a 1D Radially Symmetric Coda Envelope Model for Robust Moment Magnitude ( M w ) Estimation in Iraq’s Tectonically Diverse Zones

Robust estimation of moment magnitude (M w ) can be challenging for Iraq due to the strong lateral heterogeneity across diverse tectonic zones. We aim to improve moment magnitude estimation by investigating the reliability of using a 1D coda envelope model in diverse tectonic zones of different lateral effects and offer a way forward for reliable estimates of M w for small events that are difficult to waveform model. Iraq comprises two main tectonic zones: (1) the Outer platform, consisting of the northwestern Zagros fold-thrust belt and the Mesopotamian foredeep, and (2) the Inner Arabian platform which is overlain by the Iraqi desert. A simple 1D coda envelope model was used because coda waves have a low sensitivity to the source and path heterogeneity. Three separate coda calibrations were conducted to investigate the robustness of a single 1D calibration to fit the country: Whole-region calibration, Zagros calibration, and Mesopotamia calibration. In the whole-region calibration, we used stations from both the Zagros and Mesopotamia zones. In the two other calibration models, we used only stations that were in those particular zones. Ground-truth reference spectra derived from the coda spectral ratio method were used to constrain high-frequency site terms. There was no drastic difference when comparing the moment magnitudes calculated from the waveform modeling and the three calibration models. The results show that the 1D coda envelope model is a reliable method even for a region with diverse tectonic zones. Therefore, we recommend using the whole-region calibration model for moment magnitude estimation that provides more complete path coverage and avoids biases introduced by path correction failures. The proposed calibration is a fundamental step in updating the comprehensive earthquake catalog and probabilistic seismic hazard assessments for Iraq.

58 GEOSCIENCES↗

Probabilistic finite elements for fracture and fatigue analysis

The fusion of the probabilistic finite element method (PFEM) and reliability analysis for probabilistic fracture mechanics (PFM) is presented. A comprehensive method for determining the probability of fatigue failure for curved crack growth was developed. The criterion for failure or performance function is stated as: the fatigue life of a component must exceed the service life of the component; otherwise failure will occur. An enriched element that has the near-crack-tip singular strain field embedded in the element is used to formulate the equilibrium equation and solve for the stress intensity factors at the crack-tip. Performance and accuracy of the method is demonstrated on a classical mode 1 fatigue problem.

Liu, W. K.↗

An overview of computational simulation methods for composite structures failure and life analysis

Three parallel computational simulation methods are being developed at the LeRC Structural Mechanics Branch (SMB) for composite structures failure and life analysis: progressive fracture CODSTRAN; hierarchical methods for high-temperature composites; and probabilistic evaluation. Results to date demonstrate that these methods are effective in simulating composite structures failure/life/reliability.

Chamis, Christos C.↗

Dynamic Approach to Dependency Analysis in Human Reliability Analysis: Application in a Stream Generator Tube Rupture Scenario

Dependency analysis in human reliability analysis (HRA) is a method of adjusting the failure probability of a given action by considering the impact of the action preceding it. It plays a role in reasonably accounting for human actions in the context of probabilistic safety assessments (PSAs), preventing PSA results from being estimated too optimistically based on the HRA results. Nevertheless, the existing dependency methods present a couple of challenges in that the quantification approaches rarely explain the adjustment of human error probabilities (HEPs). For this reason, the authors’ previous research has pointed out challenges of the existing dependency approaches and conceptually, theoretically proposed a performance shaping factor (PSF)-based dynamic dependency analysis method for HRA in order to complement the existing dependency methods. The current paper explores the latest version of the method and guidance for applying it to a steam generator tube rupture (SGTR) scenario.

99 GENERAL AND MISCELLANEOUS↗

Causal CCF Parameter Estimations 2020

This report documents the quantitative results of the causal common-cause failure (CCF) parameter estimations for the failure cause groups “component,” “design,” “environment,” “human,” and “other,” based on CCF data through 2020 in the U.S. Nuclear Regulatory Commission (NRC) CCF database: https://rads.inl.gov/Pages/CCF.aspx. This report utilizes the same data period (2006–2020) and CCF templates as INL/EXT-21-62940, Revision 1, CCF Parameter Estimations, 2020 Update. The 2015 causal CCF prior distributions for the specific failure cause groups (instead of the 2015 generic CCF prior distributions) were used in this report to estimate the associated causal CCF parameters. All the 2015 causal CCF prior distributions and generic CCF prior distributions were developed in INL/EXT-21-43723, Developing Generic Prior Distributions for Common Cause Failure Alpha Factors and Causal Alpha Factors, using CCF data from 1997 to 2015. These quantitative results were developed to support the causal alpha factor model and should be used as appropriate in probabilistic risk assessment (PRA) studies such as the NRC Significance Determination Process for commercial nuclear power plants in the United States.

99 GENERAL AND MISCELLANEOUS↗

Probabilistic Analysis of Space Shuttle Body Flap Actuator Ball Bearings

A probabilistic analysis, using the 2-parameter Weibull-Johnson method, was performed on experimental life test data from space shuttle actuator bearings. Experiments were performed on a test rig under simulated conditions to determine the life and failure mechanism of the grease lubricated bearings that support the input shaft of the space shuttle body flap actuators. The failure mechanism was wear that can cause loss of bearing preload. These tests established life and reliability data for both shuttle flight and ground operation. Test data were used to estimate the failure rate and reliability as a function of the number of shuttle missions flown. The Weibull analysis of the test data for a 2-bearing shaft assembly in each body flap actuator established a reliability level of 99.6 percent for a life of 12 missions. A probabilistic system analysis for four shuttles, each of which has four actuators, predicts a single bearing failure in one actuator of one shuttle after 22 missions (a total of 88 missions for a 4-shuttle fleet). This prediction is comparable with actual shuttle flight history in which a single actuator bearing was found to have failed by wear at 20 missions.

Oswald, Fred B.↗

Probabilistic model for fracture mechanics service life analysis

The service longevity of complex propulsion systems, such as the Space Shuttle Main Engine (SSME), can be at risk from several competing failure modes. Conventional life assessment practice focuses upon the most severely life-limited feature of a given component, even though there may be other, less severe, potential failure locations. Primary, secondary, tertiary failure modes, as well as their associated probabilities, must also be considered. Futhermore, these probabilities are functions of accumulated service time. Thus a component may not always succumb to the most severe, or even the most probable failure mode. Propulsion system longevity must be assessed by considering simultaneously the actions of, and interactions among, life-limiting influences. These include, but are not limited to, high frequency fatigue (HFF), low cycle fatigue (LCF), and subsequent crack propagation, thermal and acoustic loadings, and the influence of less-than-ideal nondestructive evaluation (NDE). An outline is provided for a probabilistic model for service life analysis, and the progress towards its implementation is reported.

Annis, Charles↗

Application of probabilistic analysis/design methods in space programs - The approaches, the status, and the needs

The prospective improvement of probabilistic methods for space program analysis/design entails the further development of theories, codes, and tools which match specific areas of application, the drawing of lessons from previous uses of probability and statistics data bases, the enlargement of data bases (especially in the field of structural failures), and the education of engineers and managers on the advantages of these methods. An evaluation is presently made of the current limitations of probabilistic engineering methods. Recommendations are made for specific applications.

Ryan, Robert S.↗

Enhanced Component Performance Study: Emergency Diesel Generators 1998–2018

This report presents an enhanced performance evaluation of emergency diesel generators (EDGs) at U.S. commercial nuclear power plants. This report evaluates component performance over time using (1) Institute of Nuclear Power Operations (INPO) Consolidated Events Database (ICES) data from 1998 through 2018 and (2) maintenance unavailability (UA) performance data from Mitigating Systems Performance Index (MSPI) Basis Document data from 2002 through 2018. The objective is to show estimates of current failure probabilities and rates related to EDGs, trend these data on an annual basis, determine if the current data are consistent with the probability distributions currently recommended for use in NRC probabilistic risk assessments, show how the reliability data differ for different EDG manufacturers and for EDGs with different ratings; and summarize the subcomponents, causes, detection methods, and recovery associated with each EDG failure mode. Engineering analyses were performed with respect to time period and failure mode without regard to the actual number of EDGs at each plant. The factors analyzed are: sub-component, failure cause, detection method, recovery, manufacturer, and EDG rating. A statistically significant increasing trend was identified in the frequency of FTLR demands for emergency power system (EPS) and high pressure core spray (HPCS) EDGs and a statistically significant decreasing trend was identified in the frequency of run > 1H hours for EPS and HPCS EDGs.

99 GENERAL AND MISCELLANEOUS↗

Enhanced Component Performance Study: Emergency Diesel Generators 1998-2020

This report presents an enhanced performance evaluation of emergency power system (EPS) and high-pressure core spray (HPCS) emergency diesel generators (EDGs) at U.S. commercial nuclear power plants. This report evaluates component performance over time using (1) Institute of Nuclear Power Operations (INPO) Industry Reporting and Information System (IRIS) data from 1998 through 2020 and (2) maintenance unavailability performance data from Mitigating Systems Performance Index (MSPI) Basis Document data from 2002 through 2020. The objective is to show estimates of current failure probabilities and rates related to EDGs, trend these data on an annual basis, determine if the current data are consistent with the probability distributions currently recommended for use in NRC probabilistic risk assessments, show how the reliability data differ for different EDG manufacturers and for EDGs with different ratings; and summarize the subcomponents, causes, detection methods, and recovery associated with each EDG failure mode. The EDG failure modes considered are fail to start (FTS), fail to load and run (FTLR), and fail to run after one hour of operation (FTR>1H). Engineering analyses were performed with respect to time period and failure mode without regard to the actual number of EDGs at each plant. The factors analyzed are: subcomponent, failure cause, detection method, recovery, manufacturer, and EDG rating. The following increasing trends were identified for EDGs for the most recent 10-year period: • HPCS EDG FTS failure probability • EPS and HPCS EDG frequency of start demands (demands per reactor year) • EPS and HPCS EDG frequency of FTLR demands. The following decreasing trends were identified for EDGs for the most recent 10-year period: • EPS EDG FTS failure probability • EPS EDG FTLR failure probability • EPS EDG unavailability • EPS and HPCS EDG frequency of FTLR events (failures per reactor year).

99 GENERAL AND MISCELLANEOUS↗

Probabilistic Analysis of Space Shuttle Body Flap Actuator Ball Bearings

A probabilistic analysis, using the 2-parameter Weibull-Johnson method, was performed on experimental life test data from space shuttle actuator bearings. Experiments were performed on a test rig under simulated conditions to determine the life and failure mechanism of the grease lubricated bearings that support the input shaft of the space shuttle body flap actuators. The failure mechanism was wear that can cause loss of bearing preload. These tests established life and reliability data for both shuttle flight and ground operation. Test data were used to estimate the failure rate and reliability as a function of the number of shuttle missions flown. The Weibull analysis of the test data for the four actuators on one shuttle, each with a 2-bearing shaft assembly, established a reliability level of 96.9 percent for a life of 12 missions. A probabilistic system analysis for four shuttles, each of which has four actuators, predicts a single bearing failure in one actuator of one shuttle after 22 missions (a total of 88 missions for a 4-shuttle fleet). This prediction is comparable with actual shuttle flight history in which a single actuator bearing was found to have failed by wear at 20 missions.

Oswald, Fred B.↗