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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.↗

NASA Crew Transportation System Certification Plan

NASA Crew Transportation System (CTS) Certification is the authorization granted by the Agency that allows the use of a Commercial Provider’s CTS to transport NASA Crew to and from the ISS. The CTS Certification decision is made by the NASA Associate Administrator based on the comprehensive assessment of the Certification Review Board and recommendations from the CCP and ISS Program Managers and the NASA Associate Administrator of Space Operations Mission Directorate. The Commercial Provider is responsible for developing and executing its plan for certifying the CTS. The Commercial Crew Program (CCP) with the International Space Station (ISS) Program must substantiate the Commercial Provider’s certification assertion of compliance with NASA requirements and NASA Crew safety.

CCP↗

IMCS reflight certification requirements and design specifications

The requirements for reflight certification are established. Software requirements encompass the software programs that are resident in the PCC, DEP, PDSS, EC, or any related GSE. A design approach for the reflight software packages is recommended. These designs will be of sufficient detail to permit the implementation of reflight software. The PDSS/IMC Reflight Certification system provides the tools and mechanisms for the user to perform the reflight certification test procedures, test data capture, test data display, and test data analysis. The system as defined will be structured to permit maximum automation of reflight certification procedures and test data analysis.

Source record↗

Zero/zero rotorcraft certification issues. Volume 1: Executive summary

This report analyzes the Zero/Zero Rotorcraft Certification Issues from the perspectives of manufacturers, operators, researchers and the FAA. The basic premise behind this analysis is the zero/zero, or at least extremely low visibility, rotorcraft operations are feasible today from both a technological and an operational standpoint. The questions and issues that need to be resolved are: What certification requirements do we need to ensure safety. Can we develop procedures which capitalize on the performance and maneuvering capabilities unique to rotorcraft. Will exptremely low visibility operations be economically feasible. This is Volume 1 of three. It provides an overview of the Certification Issues Forum held in Phoenix, Arizona in August of 1987. It presents a consensus of 48 experts from government, manufacturer, and research communities on 50 specific Certification Issues. The topics of Operational Requirements, Procedures, Airworthiness, and Engineering Capabilities are discussed.

Adams, Richard J.↗

Space shuttle main engine: Certification for manned space flight

SSME requirements were identified in NASA approved documents. Design verification specifications (DVS) are used to define requirements and method of verification. Detailed and complete plans provide for verification of each requirement by lab tests, component tests, and engine tests. These tests are planned to expose problems early. The culmination of the development process is engine certification. The certification consists of two certification cycles on each of two engines. The certification cycle is made up of 10 tests and 5000 seconds.

Weesner, Ronald G.↗

Demonstration of rapid and sensitive module leak certification for Space Station Freedom

A leak detection and quantification demonstration using perflurocarbon tracer (PFT) technology was successfully performed at the NASA Marshall Space Flight Center on January 25, 1991. The real-time Dual Trap Analyzer (DTA) at one-half hour after the start of the first run gave an estimated leak rate of 0.7 mL/min. This has since been refined to be 1.15 (+ or -) 0.09 mL/min. The leak rates in the next three runs were determined to be 9.8 (+ or -) 0.7, -0.4 (+ or -) 0.3, and 76 (+ or -) 6 mL/min, respectively. The theory on leak quantification in the steady-state and time-dependent modes for a single zone test facility was developed and applied to the above determinations. The laboratory PFT analysis system gave a limit-of-detection (LOD) of 0.05 fL for ocPDCH. This is the tracer of choice and is about 100-fold better than that for the DTA. Applied to leak certification, the LOD is about 0.00002 mL/s (0.000075 L/h), a 5 order-of-magnitude improvement over the original leak certification specification. Furthermore, this limit can be attained in a measurement period of 3 to 4 hours instead of days, weeks, or months. A new Leak Certification Facility is also proposed to provide for zonal (three zones) determination of leak rates. The appropriate multizone equations, their solutions, and error analysis have already been derived. A new concept of seal-integrity certification has been demonstrated for a variety of controlled leaks in the range of module leak testing. High structural integrity leaks were shown to have a linear dependence of flow on (Delta)p. The rapid determination of leak rates at different pressures is proposed and is to be determined while subjecting the module to other external force-generating parameters such as vibration, torque, solar intensity, etc.

Dietz, R. N.↗

Certification trails and software design for testability

Design techniques which may be applied to make program testing easier were investigated. Methods for modifying a program to generate additional data which we refer to as a certification trail are presented. This additional data is designed to allow the program output to be checked more quickly and effectively. Certification trails were described primarily from a theoretical perspective. A comprehensive attempt to assess experimentally the performance and overall value of the certification trail method is reported. The method was applied to nine fundamental, well-known algorithms for the following problems: convex hull, sorting, huffman tree, shortest path, closest pair, line segment intersection, longest increasing subsequence, skyline, and voronoi diagram. Run-time performance data for each of these problems is given, and selected problems are described in more detail. Our results indicate that there are many cases in which certification trails allow for significantly faster overall program execution time than a 2-version programming approach, and also give further evidence of the breadth of applicability of this method.

Sullivan, Gregory F.↗