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Evaluating Models of Human Performance: Safety-Critical Systems Applications

This presentation is part of panel discussion on Evaluating Models of Human Performance. The purpose of this panel is to discuss the increasing use of models in the world today and specifically focus on how to describe and evaluate models of human performance. My presentation will focus on discussions of generating distributions of performance, and the evaluation of different strategies for humans performing tasks with mixed initiative (Human-Automation) systems. I will also discuss issues with how to provide Human Performance modeling data to support decisions on acceptability and tradeoffs in the design of safety critical systems. I will conclude with challenges for the future.

Feary, Michael S.↗

Safety Metrics for Human-Computer Controlled Systems

The rapid growth of computer technology and innovation has played a significant role in the rise of computer automation of human tasks in modem production systems across all industries. Although the rationale for automation has been to eliminate "human error" or to relieve humans from manual repetitive tasks, various computer-related hazards and accidents have emerged as a direct result of increased system complexity attributed to computer automation. The risk assessment techniques utilized for electromechanical systems are not suitable for today's software-intensive systems or complex human-computer controlled systems.This thesis will propose a new systemic model-based framework for analyzing risk in safety-critical systems where both computers and humans are controlling safety-critical functions. A new systems accident model will be developed based upon modem systems theory and human cognitive processes to better characterize system accidents, the role of human operators, and the influence of software in its direct control of significant system functions Better risk assessments will then be achievable through the application of this new framework to complex human-computer controlled systems.

Leveson, Nancy G↗

A Model-based Framework for Risk Assessment in Human-Computer Controlled Systems

The rapid growth of computer technology and innovation has played a significant role in the rise of computer automation of human tasks in modem production systems across all industries. Although the rationale for automation has been to eliminate "human error" or to relieve humans from manual repetitive tasks, various computer-related hazards and accidents have emerged as a direct result of increased system complexity attributed to computer automation. The risk assessment techniques utilized for electromechanical systems are not suitable for today's software-intensive systems or complex human-computer controlled systems. This thesis will propose a new systemic model-based framework for analyzing risk in safety-critical systems where both computers and humans are controlling safety-critical functions. A new systems accident model will be developed based upon modem systems theory and human cognitive processes to better characterize system accidents, the role of human operators, and the influence of software in its direct control of significant system functions. Better risk assessments will then be achievable through the application of this new framework to complex human-computer controlled systems.

Hatanaka, Iwao↗

Certifying Auto-Generated Flight Code

Model-based design and automated code generation are being used increasingly at NASA. Many NASA projects now use MathWorks Simulink and Real-Time Workshop for at least some of their modeling and code development. However, there are substantial obstacles to more widespread adoption of code generators in safety-critical domains. Since code generators are typically not qualified, there is no guarantee that their output is correct, and consequently the generated code still needs to be fully tested and certified. Moreover, the regeneration of code can require complete recertification, which offsets many of the advantages of using a generator. Indeed, manual review of autocode can be more challenging than for hand-written code. Since the direct V&V of code generators is too laborious and complicated due to their complex (and often proprietary) nature, we have developed a generator plug-in to support the certification of the auto-generated code. Specifically, the AutoCert tool supports certification by formally verifying that the generated code is free of different safety violations, by constructing an independently verifiable certificate, and by explaining its analysis in a textual form suitable for code reviews. The generated documentation also contains substantial tracing information, allowing users to trace between model, code, documentation, and V&V artifacts. This enables missions to obtain assurance about the safety and reliability of the code without excessive manual V&V effort and, as a consequence, eases the acceptance of code generators in safety-critical contexts. The generation of explicit certificates and textual reports is particularly well-suited to supporting independent V&V. The primary contribution of this approach is the combination of human-friendly documentation with formal analysis. The key technical idea is to exploit the idiomatic nature of auto-generated code in order to automatically infer logical annotations. The annotation inference algorithm itself is generic, and parametrized with respect to a library of coding patterns that depend on the safety policies and the code generator. The patterns characterize the notions of definitions and uses that are specific to the given safety property. For example, for initialization safety, definitions correspond to variable initializations while uses are statements which read a variable, whereas for array bounds safety, definitions are the array declarations, while uses are statements which access an array variable. The inferred annotations are thus highly dependent on the actual program and the properties being proven. The annotations, themselves, need not be trusted, but are crucial to obtain the automatic formal verification of the safety properties without requiring access to the internals of the code generator. The approach has been applied to both in-house and commercial code generators, but is independent of the particular generator used. It is currently being adapted to flight code generated using MathWorks Real-Time Workshop, an automatic code generator that translates from Simulink/Stateflow models into embedded C code.

Denney, Ewen↗

Discrete Abstractions of Hybrid Systems: Verification of Safety and Application to User-Interface Design

Human interaction with a complex control system involves the user, the automation’s discrete mode logic, and the underlying continuous dynamics of the physical system. The user-interface of such systems always displays a reduced set of information about the entire system. Designing interfaces such that all the pertinent information is available and assuring that this information is correct is important for any user-interface, but especially so for safety-critical systems such as automotive systems and autopilots. Here we describe a methodology for the analysis of hybrid control systems that incorporate user interaction, with the goal of assuring that the information provided to the user is correct. That is, the user-interface must contain all information necessary to safely complete a desired procedure or task. We begin with a hybrid system model which incorporates discrete mode logic as well as nonlinear continuous dynamics. Using a hybrid computational tool for reachability, we find the largest region of the state-space in which we can guarantee the state of the system can always remain – this is the safe region of operation. By implementing a controller for safety which arises from this computation, we mathematically guarantee that this safe region is invariant, meaning that the system will always remain within the safe region if the determined controller is used on the boundary of the safe region. Verification within a hybrid framework allows us to account for the continuous dynamics underlying the discrete representations displayed to the user. Using the computed invariant regions as discrete states, we can abstract a discrete event system from this hybrid system with safety restrictions. This abstraction can be used to determine what information must be provided on the display. Furthermore, in cases in which an interface already exists, the abstraction provides the necessary input into existing interface verification methods. We provide two examples: a car traveling through a yellow light at an intersection and an aircraft autopilot in an automatic landing/go-around maneuver. The examples demonstrate the applicability of this methodology to hybrid systems that have operational constraints we can pose in terms of safety. This methodology differs from existing work in hybrid system verification in that we directly account for the user’s interactions with the system.

Meeko Oishi↗

Applying formal methods and object-oriented analysis to existing flight software

Correctness is paramount for safety-critical software control systems. Critical software failures in medical radiation treatment, communications, and defense are familiar to the public. The significant quantity of software malfunctions regularly reported to the software engineering community, the laws concerning liability, and a recent NRC Aeronautics and Space Engineering Board report additionally motivate the use of error-reducing and defect detection software development techniques. The benefits of formal methods in requirements driven software development ('forward engineering') is well documented. One advantage of rigorously engineering software is that formal notations are precise, verifiable, and facilitate automated processing. This paper describes the application of formal methods to reverse engineering, where formal specifications are developed for a portion of the shuttle on-orbit digital autopilot (DAP). Three objectives of the project were to: demonstrate the use of formal methods on a shuttle application, facilitate the incorporation and validation of new requirements for the system, and verify the safety-critical properties to be exhibited by the software.

Cheng, Betty H. C.↗

A Program Certification Assistant Based on Fully Automated Theorem Provers

We describe a certification assistant to support formal safety proofs for programs. It is based on a graphical user interface that hides the low-level details of first-order automated theorem provers while supporting limited interactivity: it allows users to customize and control the proof process on a high level, manages the auxiliary artifacts produced during this process, and provides traceability between the proof obligations and the relevant parts of the program. The certification assistant is part of a larger program synthesis system and is intended to support the deployment of automatically generated code in safety-critical applications.

Denney, Ewen↗

NASA Tech Briefs, June 2011

Topics covered include: Wind and Temperature Spectrometry of the Upper Atmosphere in Low-Earth Orbit; Health Monitor for Multitasking, Safety-Critical, Real-Time Software; Stereo Imaging Miniature Endoscope; Early Oscillation Detection Technique for Hybrid DC/DC Converters; Parallel Wavefront Analysis for a 4D Interferometer; Schottky Heterodyne Receivers With Full Waveguide Bandwidth; Carbon Nanofiber-Based, High-Frequency, High-Q, Miniaturized Mechanical Resonators; Ultracapacitor-Based Uninterrupted Power Supply System; Coaxial Cables for Martian Extreme Temperature Environments; Using Spare Logic Resources To Create Dynamic Test Points; Autonomous Coordination of Science Observations Using Multiple Spacecraft; Autonomous Phase Retrieval Calibration; EOS MLS Level 1B Data Processing Software, Version 3; Cassini Tour Atlas Automated Generation; Software Development Standard Processes (SDSP); Graphite Composite Panel Polishing Fixture; Material Gradients in Oxygen System Components Improve Safety; Ridge Waveguide Structures in Magnesium-Doped Lithium Niobate; Modifying Matrix Materials to Increase Wetting and Adhesion; Lightweight Magnetic Cooler With a Reversible Circulator; The Invasive Species Forecasting System; Method for Cleanly and Precisely Breaking Off a Rock Core Using a Radial Compressive Force; Praying Mantis Bending Core Breakoff and Retention Mechanism; Scoring Dawg Core Breakoff and Retention Mechanism; Rolling-Tooth Core Breakoff and Retention Mechanism; Vibration Isolation and Stabilization System for Spacecraft Exercise Treadmill Devices; Microgravity-Enhanced Stem Cell Selection; Diagnosis and Treatment of Neurological Disorders by Millimeter-Wave Stimulation; Passive Vaporizing Heat Sink; Remote Sensing and Quantization of Analog Sensors; Phase Retrieval for Radio Telescope and Antenna Control; Helium-Cooled Black Shroud for Subscale Cryogenic Testing; Receive Mode Analysis and Design of Microstrip Reflectarrays; and Chance-Constrained Guidance With Non-Convex Constraints.

Source record↗

Integrated Systems Health Management for Space Exploration

Integrated Systems Health Management (ISHM) is a system engineering discipline that addresses the design, development, operation, and lifecycle management of components, subsystems, vehicles, and other operational systems with the purpose of maintaining nominal system behavior and function and assuring mission safety and effectiveness under off-nominal conditions. NASA missions are often conducted in extreme, unfamiliar environments of space, using unique experimental spacecraft. In these environments, off-nominal conditions can develop with the potential to rapidly escalate into mission- or life-threatening situations. Further, the high visibility of NASA missions means they are always characterized by extraordinary attention to safety. ISHM is a critical element of risk mitigation, mission safety, and mission assurance for exploration. ISHM enables: In-space maintenance and repair; a) Autonomous (and automated) launch abort and crew escape capability; b) Efficient testing and checkout of ground and flight systems; c) Monitoring and trending of ground and flight system operations and performance; d) Enhanced situational awareness and control for ground personnel and crew; e) Vehicle autonomy (self-sufficiency) in responding to off-nominal conditions during long-duration and distant exploration missions; f) In-space maintenance and repair; and g) Efficient ground processing of reusable systems. ISHM concepts and technologies may be applied to any complex engineered system such as transportation systems, orbital or planetary habitats, observatories, command and control systems, life support systems, safety-critical software, and even the health of flight crews. As an overarching design and operational principle implemented at the system-of-systems level, ISHM holds substantial promise in terms of affordability, safety, reliability, and effectiveness of space exploration missions.

Uckun, Serdar↗

Development of Advanced Verification and Validation Procedures and Tools for the Certification of Learning Systems in Aerospace Applications

Adaptive control technologies that incorporate learning algorithms have been proposed to enable automatic flight control and vehicle recovery, autonomous flight, and to maintain vehicle performance in the face of unknown, changing, or poorly defined operating environments. In order for adaptive control systems to be used in safety-critical aerospace applications, they must be proven to be highly safe and reliable. Rigorous methods for adaptive software verification and validation must be developed to ensure that control system software failures will not occur. Of central importance in this regard is the need to establish reliable methods that guarantee convergent learning, rapid convergence (learning) rate, and algorithm stability. This paper presents the major problems of adaptive control systems that use learning to improve performance. The paper then presents the major procedures and tools presently developed or currently being developed to enable the verification, validation, and ultimate certification of these adaptive control systems. These technologies include the application of automated program analysis methods, techniques to improve the learning process, analytical methods to verify stability, methods to automatically synthesize code, simulation and test methods, and tools to provide on-line software assurance.

Jacklin, Stephen↗

Development and Validation of the Near-Miss Safety Score (NMSS) Framework for Heavy-Duty Vehicle Safety Assessment

Heavy-duty commercial vehicles present unique safety challenges due to their size, articulation dynamics, and operational complexity. As Advanced Driver Assistance Systems (ADAS) and Automated Driving Systems (ADS) become more common in Class 8 tractor-trailers, traditional crash-based metrics are no longer sufficient to evaluate safety performance. This study introduces the Near-Miss Safety Score (NMSS)—a quantitative, physics-informed framework developed as a leading indicator of safety for advanced commercial vehicle technologies. NMSS quantifies how close a vehicle or operator comes to a collision or safety-critical event by integrating vehicle kinematics (relative distance, velocity, and acceleration) with driver or system response latency and time-to-collision. A modifier function adjusts the base score for vehicle-specific and environmental factors such as trailer articulation, load distribution, braking condition, and roadway environment. The framework enables systematic evaluation of ADAS/ADS performance under a range of operational and degraded conditions. By capturing near-miss dynamics rather than relying on crash data, NMSS provides a proactive approach to risk assessment, accelerates technology validation, and enhances interpretability for regulators and fleet operators. The proposed NMSS was validated using data collected from a motorcoach platform, demonstrating the framework’s applicability to heavy-duty safety evaluation and performance benchmarking. Results and key insights are presented in this paper.

Siekmann, Adam [ORNL] (ORCID:0000000284653935)↗

WTEC monograph on instrumentation, control and safety systems of Canadian nuclear facilities

This report updates a 1989-90 survey of advanced instrumentation and controls (I&C) technologies and associated human factors issues in the U.S. and Canadian nuclear industries carried out by a team from Oak Ridge National Laboratory (Carter and Uhrig 1990). The authors found that the most advanced I&C systems are in the Canadian CANDU plants, where the newest plant (Darlington) has digital systems in almost 100 percent of its control systems and in over 70 percent of its plant protection system. Increased emphasis on human factors and cognitive science in modern control rooms has resulted in a reduced workload for the operators and the elimination of many human errors. Automation implemented through digital instrumentation and control is effectively changing the role of the operator to that of a systems manager. The hypothesis that properly introducing digital systems increases safety is supported by the Canadian experience. The performance of these digital systems has been achieved using appropriate quality assurance programs for both hardware and software development. Recent regulatory authority review of the development of safety-critical software has resulted in the creation of isolated software modules with well defined interfaces and more formal structure in the software generation. The ability of digital systems to detect impending failures and initiate a fail-safe action is a significant safety issue that should be of special interest to nuclear utilities and regulatory authorities around the world.

Uhrig, Robert E.↗

Fault Tree Analysis Application for Safety and Reliability

Many commercial software tools exist for fault tree analysis (FTA), an accepted method for mitigating risk in systems. The method embedded in the tools identifies a root as use in system components, but when software is identified as a root cause, it does not build trees into the software component. No commercial software tools have been built specifically for development and analysis of software fault trees. Research indicates that the methods of FTA could be applied to software, but the method is not practical without automated tool support. With appropriate automated tool support, software fault tree analysis (SFTA) may be a practical technique for identifying the underlying cause of software faults that may lead to critical system failures. We strive to demonstrate that existing commercial tools for FTA can be adapted for use with SFTA, and that applied to a safety-critical system, SFTA can be used to identify serious potential problems long before integrator and system testing.

Wallace, Dolores R.↗

The Integrated Safety-Critical Advanced Avionics Communication and Control (ISAACC) System Concept: Infrastructure for ISHM

Integrated System Health Management (ISHM) architectures for spacecraft will include hard real-time, critical subsystems and soft real-time monitoring subsystems. Interaction between these subsystems will be necessary and an architecture supporting multiple criticality levels will be required. Demonstration hardware for the Integrated Safety-Critical Advanced Avionics Communication & Control (ISAACC) system has been developed at NASA Marshall Space Flight Center. It is a modular system using a commercially available time-triggered protocol, ?Tp/C, that supports hard real-time distributed control systems independent of the data transmission medium. The protocol is implemented in hardware and provides guaranteed low-latency messaging with inherent fault-tolerance and fault-containment. Interoperability between modules and systems of modules using the TTP/C is guaranteed through definition of messages and the precise message schedule implemented by the master-less Time Division Multiple Access (TDMA) communications protocol. "Plug-and-play" capability for sensors and actuators provides automatically configurable modules supporting sensor recalibration and control algorithm re-tuning without software modification. Modular components of controlled physical system(s) critical to control algorithm tuning, such as pumps or valve components in an engine, can be replaced or upgraded as "plug and play" components without modification to the ISAACC module hardware or software. ISAACC modules can communicate with other vehicle subsystems through time-triggered protocols or other communications protocols implemented over Ethernet, MIL-STD- 1553 and RS-485/422. Other communication bus physical layers and protocols can be included as required. In this way, the ISAACC modules can be part of a system-of-systems in a vehicle with multi-tier subsystems of varying criticality. The goal of the ISAACC architecture development is control and monitoring of safety critical systems of a manned spacecraft. These systems include spacecraft navigation and attitude control, propulsion, automated docking, vehicle health management and life support. ISAACC can integrate local critical subsystem health management with subsystems performing long term health monitoring. The ISAACC system and its relationship to ISHM will be presented.

Gwaltney, David A.↗

Model-Based Safety Analysis

System safety analysis techniques are well established and are used extensively during the design of safety-critical systems. Despite this, most of the techniques are highly subjective and dependent on the skill of the practitioner. Since these analyses are usually based on an informal system model, it is unlikely that they will be complete, consistent, and error free. In fact, the lack of precise models of the system architecture and its failure modes often forces the safety analysts to devote much of their effort to gathering architectural details about the system behavior from several sources and embedding this information in the safety artifacts such as the fault trees. This report describes Model-Based Safety Analysis, an approach in which the system and safety engineers share a common system model created using a model-based development process. By extending the system model with a fault model as well as relevant portions of the physical system to be controlled, automated support can be provided for much of the safety analysis. We believe that by using a common model for both system and safety engineering and automating parts of the safety analysis, we can both reduce the cost and improve the quality of the safety analysis. Here we present our vision of model-based safety analysis and discuss the advantages and challenges in making this approach practical.

Joshi, Anjali↗

Deriving Safety Cases from Automatically Constructed Proofs

Formal proofs provide detailed justification for the validity of claims and are widely used in formal software development methods. However, they are often complex and difficult to understand, because the formalism in which they are constructed and encoded is usually machine-oriented, and they may also be based on assumptions that are not justified. This causes concerns about the trustworthiness of using formal proofs as arguments in safety-critical applications. Here, we present an approach to develop safety cases that correspond to formal proofs found by automated theorem provers and reveal the underlying argumentation structure and top-level assumptions. We concentrate on natural deduction style proofs, which are closer to human reasoning than resolution proofs, and show how to construct the safety cases by covering the natural deduction proof tree with corresponding safety case fragments. We also abstract away logical book-keeping steps, which reduces the size of the constructed safety cases. We show how the approach can be applied to the proofs found by the Muscadet prover.

Basir, Nurlida↗

Deriving Safety Cases from Machine-Generated Proofs

Proofs provide detailed justification for the validity of claims and are widely used in formal software development methods. However, they are often complex and difficult to understand, because they use machine-oriented formalisms; they may also be based on assumptions that are not justified. This causes concerns about the trustworthiness of using formal proofs as arguments in safety-critical applications. Here, we present an approach to develop safety cases that correspond to formal proofs found by automated theorem provers and reveal the underlying argumentation structure and top-level assumptions. We concentrate on natural deduction proofs and show how to construct the safety cases by covering the proof tree with corresponding safety case fragments.

Basir, Nurlida↗

Querying Safety Cases

Querying a safety case to show how the various stakeholders' concerns about system safety are addressed has been put forth as one of the benefits of argument-based assurance (in a recent study by the Health Foundation, UK, which reviewed the use of safety cases in safety-critical industries). However, neither the literature nor current practice offer much guidance on querying mechanisms appropriate for, or available within, a safety case paradigm. This paper presents a preliminary approach that uses a formal basis for querying safety cases, specifically Goal Structuring Notation (GSN) argument structures. Our approach semantically enriches GSN arguments with domain-specific metadata that the query language leverages, along with its inherent structure, to produce views. We have implemented the approach in our toolset AdvoCATE, and illustrate it by application to a fragment of the safety argument for an Unmanned Aircraft System (UAS) being developed at NASA Ames. We also discuss the potential practical utility of our query mechanism within the context of the existing framework for UAS safety assurance.

Safety Case↗