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Human factors certification: A useful concept?

This paper considers what is involved in certification processes and their relation to human factors aspects of systems. It derives from recognition of a lack of understanding of the processes and purposes of certification. This was encountered when attempting to address the workshop topic by integrating an understanding of human factors with the observed processes of certification. The paper considers what human factors (HF) certification might be and then develops a simple model of the elements of a certification process. It then tries to relate these elements to the needs of the aviation communities and other parties with an interest in the certification of advance aviation technologies.

Jackson, Alistair↗

The successful management of programs for human factors certification of advanced aviation technologies

In recent years there have been immense pressures to enact changes on the air traffic control organizations of most states. In addition, many of these states are or have been subject to great political, sociological and economic changes. Consequently, any new schemes must be considered within the context of national or even international changes. Europe has its own special problems, and many of these are particularly pertinent when considering human factors certification programs. Although these problems must also be considered in the wider context of change, it is usually very difficult to identify which forces are pressing in support of human factors aspects and which forces are resisting change. There are a large number of aspects which must be taken into account if human factors certification programs are to be successfully implemented. Certification programs would be new ventures, and like many new ventures it will be essential to ensure that managers have the skills, commitment and experience to manage the programs effectively. However, they must always be aware of the content and the degree of certainty to which the human factors principles can be applied - as Debons and Horne have carefully described. It will be essential to avoid the well known pitfalls which occur in the implementation of performance appraisal schemes. While most appraisal schemes are usually extremely well thought out, they often do not produce good results because they are not implemented properly and staff therefore do not have faith in them. If the manager does not have the commitment and interest in his/her staff as human beings, then the schemes will not be effective. Thus, one aspect of considering human factors certification schemes is within the context of a managed organization. This paper outlines some of the management factors which need to be considered for the air traffic control services. Many of the points received attention during the plenary sessions while others were covered by the working groups when the question arose of how various aspects of human factors certification programs would be managed. Management and organizational issues will certainly need to be included in any frame of reference by those who may be involved in developing certification programs.

Baldwin, Rod↗

Advanced automated glass cockpit certification: Being wary of human factors

This paper presents some facets of the French experience with human factors in the process of certification of advanced automated cockpits. Three types of difficulties are described: first, the difficulties concerning the hotly debated concept of human error and its non-linear relationship to risk of accident; a typology of errors to be taken into account in the certification process is put forward to respond to this issue. Next, the difficulties connected to the basically gradual and evolving nature of pilot expertise on a given type of aircraft, which contrasts with the immediate and definitive style of certifying systems. The last difficulties to be considered are those related to the goals of certification itself on these new aircraft and the status of findings from human factor analyses (in particular, what should be done with disappointing results, how much can the changes induced by human factors investigation economically affect aircraft design, how many errors do we need to accumulate before we revise the system, what should be remedied when human factor problems are discovered at the certification stage: the machine? pilot training? the rules? or everything?). The growth of advanced-automated glass cockpits has forced the international aeronautical community to pay more attention to human factors during the design phase, the certification phase and pilot training. The recent creation of a human factor desk at the DGAC-SFACT (Official French services) is a direct consequence of this. The paper is divided into three parts. Part one debates human error and its relationship with system design and accident risk. Part two describes difficulties connected to the basically gradual and evolving nature of pilot expertise on a given type of aircraft, which contrasts with the immediate and definitive style of certifying systems. Part three focuses on concrete outcomes of human factors for certification purposes.

Amalberti, Rene↗

Tracking Data Certification for the Lunar Reconnaissance Orbiter

This paper details the National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) Flight Dynamics Facility (FDF) tracking data certification effort of the Lunar Reconnaissance Orbiter (LRO) Space Communications Network (SCN) complement of tracking stations consisting of the NASA White Sands 1 antenna (WS1), and the commercial provider Universal Space Network (USN) antennas at South Point, Hawaii; Dongara Australia; Weilheim, Germany; and Kiruna, Sweden. Certification assessment required the cooperation and coordination of parties not under the control of either the LRO project or ground stations as uplinks on cooperating spacecraft were necessary. The LRO range-tracking requirement of 10m 1 sigma could be satisfactorily demonstrated using any typical spacecraft capable of range tracking. Though typical Low Earth Orbiting (LEO) or Geosynchronous Earth Orbiting (GEO) spacecraft may be adequate for range certification, their measurement dynamics and noise would be unacceptable for proper Doppler certification of 1-3mm/sec 1 sigma. As LRO will orbit the Moon, it was imperative that a suitable target spacecraft be utilized which can closely mimic the expected lunar orbital Doppler dynamics of +/-1.6km/sec and +/-1.5m/sq sec to +/-0.15m/sq sec, is in view of the ground stations, supports coherent S-Band Doppler tracking measurements, and can be modeled by the FDF. In order to meet the LRO metric tracking data specifications, the SCN ground stations employed previously uncertified numerically controlled tracking receivers. Initial certification testing revealed certain characteristics of the units that required resolution before being granted certification.

Morinelli, Patrick J.↗

Managing Fire Risk During Drought: The Influence of Certification and El Nino on Fire-Driven Forest Conversion for Oil Palm in Southeast Asia

Indonesia and Malaysia have emerged as leading producers of palm oil in the past several decades, expanding production through the conversion of tropical forests to industrial plantations. Efforts to produce "sustainable" palm oil, including certification by the Roundtable on Sustainable Palm Oil (RSPO), include guidelines designed to reduce the environmental impact of palm oil production. Fire-driven deforestation is prohibited by law in both countries and a stipulation of RSPO certification, yet the degree of environmental compliance isunclear, especially during El Niño events when drought conditions increase fire risk. Here, we used time series of satellite data to estimate the spatial and temporal patterns of fire-driven deforestation on and around oil palm plantations. In Indonesia, fire-driven deforestation accounted for one-quarter of total forest losses on both certified and noncertified plantations. After the first plantations in Indonesia received RSPO certification in 2009,forest loss and fire-driven deforestation declined on certified plantations but did not stop altogether. Oil palm expansion in Malaysia rarely involved fire; only 5 % of forest loss on certified plantations had coincident activefire detections. Interannual variability in fire detections was strongly influenced by El Nino and the timing of certification. Fire activity during the 2002, 2004, and 2006 El Nino events was similar among oil palm plantations in Indonesia that would later become certified, noncertified plantations, and surrounding areas. However, total fire activity was 75% and 66% lower on certified plantations than noncertified plantations during the 2009 and 2015 El Nino events, respectively. The decline in fire activity on certified plantations, including during drought periods, highlights the potential for RSPO certification to safeguard carbon stocks in peatlands and remaining forests in accordance with legislation banning fires. However, aligning certification standards with satellite monitoring capabilities will be critical to realize sustainable palm oil production and meet industry commitments to zero forestation.

Noojipady, Praveen↗

Development Strategies for Uncertainty Quantification to Enable Aircraft Certification by Analysis

Aircraft Certification by Analysis (CbA) is a broad term that describes the process by which engineering analysis tools are used to supplement flight testing to demonstrate compliance with regulatory requirements. For each requirement that is to be met through this process, the analysis tools must be sufficiently accurate to ensure that an equivalent level of safety is obtained as if the aircraft to be certified had been flight tested for the requirement. In recent decades, the ability of analysis tools to accurately predict aircraft performance has improved dramatically, leading to increasing interest and limited early adoption of Certification by Analysis across the aerospace industry. However, rigorously demonstrating the credibility of analysis tools remains a challenge for many types of certification requirements, yet is necessary for widespread adoption of CbA approaches in the future. The field of uncertainty quantification is well-suited to address this problem, but will require substantial advances in order to achieve the ambitious industry goals for Certification by Analysis. The objective of this position paper is to highlight gaps in the current technical and programmatic state of uncertainty quantification. Four main categories – Mindset & Awareness, Tools & Capabilities, Data and Benchmarks for V&V, and Applied Research & Established Processes – will be introduced. Each of these categories contains several shortcomings and impediments which, if overcome, will enable more widespread possibilities for Certification by Analysis in the 2040-2050 timeframe.

Uncertainty Quantification↗

Flight Certification Approach for NASA's Space Launch System

NASA’s Space Launch System (SLS) vehicle was successfully launched on November 16, 2022, initiating the Artemis I mission to send the uncrewed Orion spacecraft to the Moon and further into space than any human-rated spacecraft had previously flown. Flight certification of the launch vehicle was part of the systems engineering and integration (SE&I) effort conducted by NASA to successfully certify the mission and begin a new era of human space exploration of the Moon and eventually Mars. This paper describes the SLS Program flight certification approach including the organization, processes, and reporting. This approach used traditional NASA SE&I milestone reviews and lessons learned from the Space Shuttle Program, as well as unique methods to certify the complex system, procedures, and personnel readiness. The approach utilized by the SLS Program to conduct flight certification for the Artemis I mission can be extended to address flight certification for other complex programs.

flight certification↗

Windshear certification data base for forward-look detection systems

Described is an introduction to a comprehensive database that is to be used for certification testing of airborne forward-look windshear detection systems. The database was developed by NASA Langley Research Center, at the request of the Federal Aviation Administration (FAA), to support the industry initiative to certify and produce forward-looking windshear detection equipment. The database contains high-resolution three-dimensional fields for meteorological variables that may be sensed by forward-looking systems. The database is made up of seven case studies that are generated by the Terminal Area Simulation System, a state-of-the-art numerical system for the realistic modeling of windshear phenomena. The selected cases contained in the certification documentation represent a wide spectrum of windshear events. The database will be used with vendor-developed sensor simulation software and vendor-collected ground-clutter data to demonstrate detection performance in a variety of meteorological conditions using NASA/FAA pre-defined path scenarios for each of the certification cases. A brief outline of the contents and sample plots from the database documentation are included. These plots show fields of hazard factor, or F-factor (Bowles 1990), radar reflectivity, and velocity vectors on a horizontal plane overlayed with the applicable certification paths. For the plot of the F-factor field the region of 0.105 and above signify an area of hazardous, performance decreasing windshear, while negative values indicate regions of performance increasing windshear. The values of F-factor are based on 1-Km averaged segments along horizontal flight paths, assuming an air speed of 150 knots (approx. 75 m/s). The database has been released to vendors participating in the certification process. The database and associated document have been transferred to the FAA for archival storage and distribution.

Switzer, George F.↗

A rose by any other name: Certification seen as process rather than content

Green (1990) believes that the two main factors safeguarding flying from human error are both related to certification and regulation. First is the increasingly proceduralized nature of flying whereby as much as possible is reduced to a rule-based activity. Second is the emphasis placed upon training and competency checking of aircrew in simulators and in the air, both generally and for all particular types of aircraft flown. This leaves, believes Green, other human factors that are relatively unaddressed as yet and which can give rise to human reliability problems. These include: hardware factors and especially pilot/co-pilot relationships; and system factors including fatigue and cost/safety trade-offs. He also, importantly, identifies problems with the integration of the 'electronic crew member' following increased automation. Human reliability failures with artificial intelligence and automation, due to over-reliance on the system fail-safe mechanisms, or to operator under- confidence in the integrity or self-regulating capacity of the system, or to out-of-loop effects, are widely accepted as being due to deficiencies in plant design, planning, management and maintenance more than to 'operator error' - Reason's (1990) latent error or organization pathogens argument. Reliability failures in complex systems are well enough documented to give cause for concern and at least promote a debate on the merits of a full certification program. The purpose of this short paper is to seek out and explore what is valuable in certification, at the least to show that the benefits outweigh the disadvantages and at best to identify positive outcomes perhaps not obtainable in other ways. On both sides of the debate on certification there is general agreement on the need for a better human factors perspective and effort in complex aviation systems design. What is at issue is how this is to be promoted. It is incumbent upon opponents of certification to say how else such promotion be enabled. This is an exploratory and philosophical review, not a focused and specific one, and it will draw upon much that is not firmly in the domain of complex aviation systems.

Wilson, John R.↗

Certify for success: A methodology for human-centered certification of advanced aviation systems

This position paper uses the methodology in Design for Success as a basis for a human factors certification program. The Design for Success (DFS) methodology espouses a multi-step process to designing and developing systems in a human-centered fashion. These steps are as follows: (1) naturalizing - understand stakeholders and their concerns; (2) marketing - understand market-oriented alternatives to meeting stakeholder concerns; (3) engineering - detailed design and development of the system considering tradeoffs between technology, cost, schedule, certification requirements, etc.; (4) system evaluation - determining if the system meets its goal(s); and (5) sales and service - delivering and maintaining the system. Because the main topic of this paper is certification, we will focus our attention on step 4, System Evaluation, since it is the natural precursor to certification. Evaluation involves testing the system and its parts for their correct behaviors. Certification focuses not only on ensuring that the system exhibits the correct behaviors, but ONLY the correct behaviors.

Small, Ronald L.↗

Does human cognition allow Human Factors (HF) certification of advanced aircrew systems?

This paper has examined the requirements of HF specification and certification within advanced or complex aircrew systems. It suggests reasons for current inadequacies in the use of HF in the design process, giving some examples in support, and suggesting an avenue towards the improvement of the HF certification process. The importance of human cognition to the operation and performance of advanced aircrew systems has been stressed. Many of the shortfalls of advanced aircrew systems must be attributed to over automated designs that show little consideration on either the mental limits or the cognitive capabilities of the human system component. Traditional approaches to system design and HF certification are set within an over physicalistic foundation. Also, traditionally it was assumed that physicalistic system functions could be attributed to either the human or the machine on a one to one basis. Moreover, any problems associated with the parallel needs, or promoting human understanding alongside system operation and direction, were generally equated in reality by the natural flexibility and adaptability of human skills. The consideration of the human component of a complex system is seen as being primarily based on manifestations of human behavior to the almost total exclusion of any appreciation of unobservable human mental and cognitive processes. The argument of this paper is that the considered functionality of any complex human-machine system must contain functions that are purely human and purely cognitive. Human-machine system reliability ultimately depends on human reliability and dependability and, therefore, on the form and frequency of cognitive processes that have to be conducted to support system performance. The greater the demand placed by an advanced aircraft system on the human component's basic knowledge processes or cognition, rather than on skill, the more insiduous the effects the human may have on that system. This paper discusses one example of an attempt to devise an improved method of specificaiton and certification with relation to the advanced aircrew system, that of the RN Merlin helicopter. The method is realized to have limitations in practice, these mainly associated with the late production of the system specification in relation to the system development process. The need for a careful appreciation of the capabilities and support needs of human cognition within the design process of a complex man machine system has been argued, especially with relation to the concept of system functionality. Unlike the physicalistic Fitts list, a new classification of system functionality is proposed, namely: (1) equipment - system equipment related; (2) cognitive - human cognition related; and (3) associated - necessary combinatin of equipment and cognitive. This paper has not proposed a method for a fuller consideration of cognition within systems design, but has suggested the need for such a method and indicated an avenue towards its development. Finally, the HF certification of advanced aircrew systems is seen as only being possible in a qualified sense until the important functions of human cognition are considered within the system design process. (This paper contains the opinions of its authors and does not necessarily refledt the standpoint of their respective organizations).

Macleod, Iain S.↗

AutoBayes/CC: Combining Program Synthesis with Automatic Code Certification: System Description

Code certification is a lightweight approach to formally demonstrate software quality. It concentrates on aspects of software quality that can be defined and formalized via properties, e.g., operator safety or memory safety. Its basic idea is to require code producers to provide formal proofs that their code satisfies these quality properties. The proofs serve as certificates which can be checked independently, by the code consumer or by certification authorities, e.g., the FAA. It is the idea underlying such approaches as proof-carrying code [6]. Code certification can be viewed as a more practical version of traditional Hoare-style program verification. The properties to be verified are fairly simple and regular so that it is often possible to use an automated theorem prover to automatically discharge all emerging proof obligations. Usually, however, the programmer must still splice auxiliary annotations (e.g., loop invariants) into the program to facilitate the proofs. For complex properties or larger programs this quickly becomes the limiting factor for the applicability of current certification approaches.

Whalen, Michael↗

Towards FAA Certification of UAVs

As of June 30, 2003, all Unmanned Aerial Vehicles (UAV), no matter how small, must adhere to the same FAA regulations as human-piloted aircraft. These regulations include certification for flying in controlled airspace and certification of flight software based on RTCA DO-178B. This paper provides an overview of the steps necessary to obtain certification, as well as a discussion about the challenges UAV's face when trying to meet these requirements. It is divided into two parts: 1) Certifications for Flying in Controlled Airspace; 2) Certification of Flight Software per RTCA DO-178B.

Nelson, Stacy↗

Software Certification for Temporal Properties With Affordable Tool Qualification

It has been recognized that a framework based on proof-carrying code (also called semantic-based software certification in its community) could be used as a candidate software certification process for the avionics industry. To meet this goal, tools in the "trust base" of a proof-carrying code system must be qualified by regulatory authorities. A family of semantic-based software certification approaches is described, each different in expressive power, level of automation and trust base. Of particular interest is the so-called abstraction-carrying code, which can certify temporal properties. When a pure abstraction-carrying code method is used in the context of industrial software certification, the fact that the trust base includes a model checker would incur a high qualification cost. This position paper proposes a hybrid of abstraction-based and proof-based certification methods so that the model checker used by a client can be significantly simplified, thereby leading to lower cost in tool qualification.

Xia, Songtao↗

Formal Safety Certification of Aerospace Software

In principle, formal methods offer many advantages for aerospace software development: they can help to achieve ultra-high reliability, and they can be used to provide evidence of the reliability claims which can then be subjected to external scrutiny. However, despite years of research and many advances in the underlying formalisms of specification, semantics, and logic, formal methods are not much used in practice. In our opinion this is related to three major shortcomings. First, the application of formal methods is still expensive because they are labor- and knowledge-intensive. Second, they are difficult to scale up to complex systems because they are based on deep mathematical insights about the behavior of the systems (t.e., they rely on the "heroic proof"). Third, the proofs can be difficult to interpret, and typically stand in isolation from the original code. In this paper, we describe a tool for formally demonstrating safety-relevant aspects of aerospace software, which largely circumvents these problems. We focus on safely properties because it has been observed that safety violations such as out-of-bounds memory accesses or use of uninitialized variables constitute the majority of the errors found in the aerospace domain. In our approach, safety means that the program will not violate a set of rules that can range for the simple memory access rules to high-level flight rules. These different safety properties are formalized as different safety policies in Hoare logic, which are then used by a verification condition generator along with the code and logical annotations in order to derive formal safety conditions; these are then proven using an automated theorem prover. Our certification system is currently integrated into a model-based code generation toolset that generates the annotations together with the code. However, this automated formal certification technology is not exclusively constrained to our code generator and could, in principle, also be integrated with other code generators such as RealTime Workshop or even applied to legacy code. Our approach circumvents the historical problems with formal methods by increasing the degree of automation on all levels. The restriction to safety policies (as opposed to arbitrary functional behavior) results in simpler proof problems that can generally be solved by fully automatic theorem proves. An automated linking mechanism between the safety conditions and the code provides some of the traceability mandated by process standards such as DO-178B. An automated explanation mechanism uses semantic markup added by the verification condition generator to produce natural-language explanations of the safety conditions and thus supports their interpretation in relation to the code. It shows an automatically generated certification browser that lets users inspect the (generated) code along with the safety conditions (including textual explanations), and uses hyperlinks to automate tracing between the two levels. Here, the explanations reflect the logical structure of the safety obligation but the mechanism can in principle be customized using different sets of domain concepts. The interface also provides some limited control over the certification process itself. Our long-term goal is a seamless integration of certification, code generation, and manual coding that results in a "certified pipeline" in which specifications are automatically transformed into executable code, together with the supporting artifacts necessary for achieving and demonstrating the high level of assurance needed in the aerospace domain.

Denney, Ewen↗

Closing the Certification Gaps in Adaptive Flight Control Software

Over the last five decades, extensive research has been performed to design and develop adaptive control systems for aerospace systems and other applications where the capability to change controller behavior at different operating conditions is highly desirable. Although adaptive flight control has been partially implemented through the use of gain-scheduled control, truly adaptive control systems using learning algorithms and on-line system identification methods have not seen commercial deployment. The reason is that the certification process for adaptive flight control software for use in national air space has not yet been decided. The purpose of this paper is to examine the gaps between the state-of-the-art methodologies used to certify conventional (i.e., non-adaptive) flight control system software and what will likely to be needed to satisfy FAA airworthiness requirements. These gaps include the lack of a certification plan or process guide, the need to develop verification and validation tools and methodologies to analyze adaptive controller stability and convergence, as well as the development of metrics to evaluate adaptive controller performance at off-nominal flight conditions. This paper presents the major certification gap areas, a description of the current state of the verification methodologies, and what further research efforts will likely be needed to close the gaps remaining in current certification practices. It is envisioned that closing the gap will require certain advances in simulation methods, comprehensive methods to determine learning algorithm stability and convergence rates, the development of performance metrics for adaptive controllers, the application of formal software assurance methods, the application of on-line software monitoring tools for adaptive controller health assessment, and the development of a certification case for adaptive system safety of flight.

Jacklin, Stephen A.↗

Mock Certification Basis for an Unmanned Rotorcraft for Precision Agricultural Spraying

This technical report presents the results of a case study using a hazard-based approach to develop preliminary design and performance criteria for an unmanned agricultural rotorcraft requiring airworthiness certification. This case study is one of the first in the public domain to examine design and performance criteria for an unmanned aircraft system (UAS) in tandem with its concept of operations. The case study results are intended to support development of airworthiness standards that could form a minimum safety baseline for midsize unmanned rotorcraft performing precision agricultural spraying operations under beyond visual line-of-sight conditions in a rural environment. This study investigates the applicability of current methods, processes, and standards for assuring airworthiness of conventionally piloted (manned) aircraft to assuring the airworthiness of UAS. The study started with the development of a detailed concept of operations for precision agricultural spraying with an unmanned rotorcraft (pp. 5-18). The concept of operations in conjunction with a specimen unmanned rotorcraft were used to develop an operational context and a list of relevant hazards (p. 22). Minimum design and performance requirements necessary to mitigate the hazards provide the foundation of a proposed (or mock) type certification basis. A type certification basis specifies the applicable standards an applicant must show compliance with to receive regulatory approval. A detailed analysis of the current airworthiness regulations for normal-category rotorcraft (14 Code of Federal Regulations, Part 27) was performed. Each Part 27 regulation was evaluated to determine whether it mitigated one of the relevant hazards for the specimen UAS. Those regulations that did were included in the initial core of the type certification basis (pp. 26-31) as written or with some simple modifications. Those regulations that did not mitigate a recognized hazard were excluded from the certification basis. The remaining regulations were applicable in intent, but the text could not be easily tailored. Those regulations were addressed in separate issue papers. Exploiting established regulations avoids the difficult task of generating and interpreting novel requirements, through the use of acceptable, standardized language. The rationale for the disposition of the regulations was assessed and captured (pp. 58-115). The core basis was then augmented by generating additional requirements (pp. 38-47) to mitigate hazards for an unmanned sprayer that are not covered in Part 27.

Hayhurst, Kelly J.↗

Distributed Wind Certification Best Practices Guideline: January 16, 2023-January 15, 2026

This Distributed Wind (DW) Certification Best Practices Guideline describes the typical approach for certification of distributed wind turbines above and below 150 kilowatts (kW) in size based on the conformity assessment requirements in the United States. The purpose of the guideline is to clarify and consistently describe the complex path to certification for various systems and components. This is done via clarification of both the required turbine type certification elements, as well as third-party electrical safety listing of turbine system components and subassemblies.

17 WIND ENERGY↗