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NASA NTRS2015

Understanding and Evaluating Assurance Cases

Assurance cases are a method for providing assurance for a system by giving an argument to justify a claim about the system, based on evidence about its design, development, and tested behavior. In comparison with assurance based on guidelines or standards (which essentially specify only the evidence to be produced), the chief novelty in assurance cases is provision of an explicit argument. In principle, this can allow assurance cases to be more finely tuned to the specific circumstances of the system, and more agile than guidelines in adapting to new techniques and applications. The first part of this report (Sections 1-4) provides an introduction to assurance cases. Although this material should be accessible to all those with an interest in these topics, the examples focus on software for airborne systems, traditionally assured using the DO-178C guidelines and its predecessors. A brief survey of some existing assurance cases is provided in Section 5. The second part (Section 6) considers the criteria, methods, and tools that may be used to evaluate whether an assurance case provides sufficient confidence that a particular system or service is fit for its intended use. An assurance case cannot provide unequivocal "proof" for its claim, so much of the discussion focuses on the interpretation of such less-than-definitive arguments, and on methods to counteract confirmation bias and other fallibilities in human reasoning.

Rushby, John↗
NASA NTRS2015

Formal Foundations for Hierarchical Safety Cases

Safety cases are increasingly being required in many safety-critical domains to assure, using structured argumentation and evidence, that a system is acceptably safe. However, comprehensive system-wide safety arguments present appreciable challenges to develop, understand, evaluate, and manage, partly due to the volume of information that they aggregate, such as the results of hazard analysis, requirements analysis, testing, formal verification, and other engineering activities. Previously, we have proposed hierarchical safety cases, hicases, to aid the comprehension of safety case argument structures. In this paper, we build on a formal notion of safety case to formalise the use of hierarchy as a structuring technique, and show that hicases satisfy several desirable properties. Our aim is to provide a formal, theoretical foundation for safety cases. In particular, we believe that tools for high assurance systems should be granted similar assurance to the systems to which they are applied. To this end, we formally specify and prove the correctness of key operations for constructing and managing hicases, which gives the specification for implementing hicases in AdvoCATE, our toolset for safety case automation. We motivate and explain the theory with the help of a simple running example, extracted from a real safety case and developed using AdvoCATE.

Hierarchy↗
NASA NTRS2016

Ancient Air Caught by Shooting Stars

It is a truth almost universally acknowledged that Earth’s atmosphere before about 2.5 billion years ago had little or no free oxygen. The classic argument for anoxia on ancient Earth is that a distinct change occurred in the oxidation state of many surface rocks and minerals around the end of the Archaean eon (which lasted from 4 billion to 2.5 billion years ago). A more recent argument is that a sudden, permanent change in the relative abundances of rare sulfur isotopes preserved in sediments also occurred at that time — a change that can be linked to differences in sulfur’s atmospheric chemistry in the presence or absence of oxygen. These arguments are strong. It therefore comes as a surprise that melted meteor fragments recovered from Archaean limestone indicate that the contemporaneous atmosphere above 75 kilometres was highly oxidized, as reported by Tomkins et al. on page 235.

ancient Earth's atmosphere↗
NASA NTRS2018

FUELEAP Model-Based System Safety Analysis

NASA researchers, in a partnership with Boeing, are investigating a fuel-cell powered variant of the X-57 “Maxwell” Mod-II electric propulsion aircraft, which is itself derived from a stock Tecnam P2006T. The “Fostering Ultra-Efficient Low-Emitting Aviation Power” (FUELEAP) project will replace the X-57 power subsystem with a hybrid Solid-Oxide Fuel Cell (SOFC) system to increase the potential range of the electric-propulsion aircraft while dramatically improving efficiency and emissions over stock internal-combustion engines. Our FUELEAP safety analysis faces two primary challenges. First, the Part 23 certificated Tecnam P2006T is undergoing significant modifications to host the hybrid electric-propulsion system, and the challenge is to assure that the safety inherent in the stock aircraft (and subsequently in X-57 Mod-II) is not compromised by changes in avionics, aircraft structural loading, weight and balance, or other considerations. Secondly, because the SOFC power system has little (if any) relevant in-service precedent, our challenge is to assure that we identify and mitigate all reasonably plausible hazards introduced by unique FUELEAP equipage. We are investigating and utilizing Model-Based Safety Analysis (MBSA) methods to help us address these FUELEAP safety challenges. We captured aircraft-level system hazard conditions using instances of a SysML hazard block via aircraft-level Functional Hazard Analysis (FHA). Then, using SysML models of the FUELEAP architecture, we related the hazard conditions to initiating system events and possible mitigations, such as design architecture modifications or operational constraints. We are continuing to define our approach to MBSA by developing a component-by-component inventory of local failure modes and tracing their possible contribution to hazard conditions. Finally, we are applying an argument-based approach to FUELEAP assurance. Through a FUELEAP “safety case,” we are providing an explicit argument for FUELEAP safety by associating assurance evidence with overarching safety claims through a structured argument.

Woodham, Kurt P.↗
NASA NTRS2020

IV&V Assurance Case Design for Artemis II

As human-rated missions like those in NASA’s Artemis program continue to grow in both size and complexity, and the role of software in achieving mission objectives expands dramatically, NASA’s Independent Verification and Validation (IV&V) Teams face evolving challenges in assuring the safety and performance of the safety- and mission-critical embedded software that is essential to landing astronauts on the surface of the Moon by 2024. Key among these challenges is IV&V’s desire to present a cohesive, integrated assurance statement to its stakeholders that encapsulates and summarizes our assurance positions across the integrated Artemis systems and their combined role in support of a safe and successful flight. In order to meet this challenge, the IV&V Teams have begun a transition to using formal assurance case concepts and documentation in the Goal Structuring Notation (GSN) to build an argument in support of software assurance. IV&V recognizes significant benefits to the logical argumentation structure provided by assurance cases and GSN over our current practices for documenting and managing assurance claims. In order to reap these benefits, IV&V is integrating the use of assurance case concepts with our paradigm of follow-the-risk capability based assurance. Because of this, assurance cases created and used by IV&V are distinct from the sort of assurance case created by a development project or embedded software assurance organization. IV&V’s assurance cases depend much less upon standards and regulations, and more on evidence captured by IV&V regarding the environment, requirements, design, and implementation. IV&V constructs an independent network of claims based on an independent decomposition of arguments. Based upon the risk posture of these claims and their associated software and software artifacts, IV&V then develops and executes engineering analyses and testing, which provide evidence to either support or refute the claim. This emerging risk-informed assurance case methodology is being put into practice as IV&V plans for support of the Artemis II mission, the first flight of the Orion capsule and Space Launch System with astronauts on board.

Gerek Whitman↗
NASA NTRS2020

IV&V Assurance Case Design for Artemis II

As human-rated missions like those in NASA's Artemis program continue to grow in both size and complexity, and the role of software in achieving mission objectives expands dramatically, NASA's Independent Verification and Validation (IV&V) Teams face evolving challenges in assuring the safety and performance of the safety- and mission-critical embedded software that is essential to landing astronauts on the surface of the Moon by 2024. Key among these challenges is IV&V's desire to present a cohesive, integrated assurance statement to its stakeholders that encapsulates and summarizes our assurance positions across the integrated Artemis systems and their combined role in support of a safe and successful flight. In order to meet this challenge, the IV&V Teams have begun a transition to using formal assurance case concepts and documentation in the Goal Structuring Notation (GSN) to build an argument in support of software assurance. IV&V recognizes significant benefits to the logical argumentation structure provided by assurance cases and GSN over our current practices for documenting and managing assurance claims. In order to reap these benefits, IV&V is integrating the use of assurance case concepts with our paradigm of follow-the-risk capability based assurance. Because of this, assurance cases created and used by IV&V are distinct from the sort of assurance case created by a development project or embedded software assurance organization. IV&V's assurance cases depend much less upon standards and regulations, and more on evidence captured by IV&V regarding the environment, requirements, design, and implementation. IV&V constructs an independent network of claims based on an independent decomposition of arguments. Based upon the risk posture of these claims and their associated software and software artifacts, IV&V then develops and executes engineering analyses and testing, which provide evidence to either support or refute the claim. This emerging risk-informed assurance case methodology is being put into practice as IV&V plans for support of the Artemis II mission, the first flight of the Orion capsule and Space Launch System with astronauts on board.

Whitman, Gerek↗
NASA NTRSDate not supplied

Overarching Properties as Means of Compliance: An Industrial Case Study

The Overarching Properties (OPs) have been created by an inter-national working group and are being evaluated by the National Aeronautics and Space Administration (NASA), the Federal Aviation Administration (FAA), industry, and other certifying agencies in an effort to streamline certification processes. Their intent is to facilitate the use of alternative approaches and to al-low flexibility to combine the system, software, and complex hardware certification. The hope is that the FAA may eventually establish an Advisory Circular that offers the OPs as a Means of Compliance (MoC) for software approval (and eventually systems and hardware) by showing the product possesses the three OPs: Intent (specification of the intended behavior), Correctness (implementation of the intended behavior) and Innocuity (safety of unintended behavior). In the certification community, there is still a concern about the practicability of using such high level properties in certification. This paper aims to address that concern by showing possession of the OPs in an industrial case study using assurance arguments. The two main contributions of this paper are: a certification process based on OPs as Means of Compliance, and a certification argument for an on-board physical model of an UAV, as industrial example. We pro-pose a hybrid approach for the certification process that combines OPs with existing certification standards. Thus, OPs can be used for parts of a system that uses technologies that are not supported by current standards or for which existing standards require additional effort without commensurate additional safety assurance.

certification↗
DOE OSTI2021

A dynamical mechanism for the Page curve from quantum chaos

If the evaporation of a black hole formed from a pure state is unitary, the entanglement entropy of the Hawking radiation should follow the Page curve, increasing from zero until near the halfway point of the evaporation, and then decreasing back to zero. The general argument for the Page curve is based on the assumption that the quantum state of the black hole plus radiation during the evaporation process is typical. In this paper, we show that the Page curve can result from a simple dynamical input in the evolution of the black hole, based on a recently proposed signature of quantum chaos, without resorting to typicality. Our argument is based on what we refer to as the “operator gas” approach, which allows one to understand the evolution of the microstate of the black hole from generic features of the Heisenberg evolution of operators. One key feature which leads to the Page curve is the possibility of dynamical processes where operators in the “gas” can “jump” outside the black hole, which we refer to as void formation processes. Such processes are initially exponentially suppressed, but dominate after a certain time scale, which can be used as a dynamical definition of the Page time. In the Hayden-Preskill protocol for young and old black holes, we show that void formation is also responsible for the transfer of information from the black hole to the radiation. We conjecture that void formation may provide a microscopic explanation for the recent semi-classical prescription of including islands in the calculation of the entanglement entropy of the radiation.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2023

Interactions of particles with “continuous spin” fields

Powerful general arguments allow only a few families of long-range interactions, exemplified by gauge field theories of electromagnetism and gravity. However, all of these arguments presuppose that massless fields have zero spin scale (Casimir invariant) and hence exactly boost invariant helicity. This misses the most general behavior compatible with Lorentz symmetry. We present a Lagrangian formalism describing interactions of matter particles with bosonic “continuous spin” fields with arbitrary spin scale ρ. Remarkably, physical observables are well approximated by familiar theories at frequencies larger than ρ, with calculable deviations at low frequencies and long distances. For example, we predict specific ρ-dependent modifications to the Lorentz force law and the Larmor formula, which lay the foundation for experimental tests of the photon’s spin scale. We also reproduce known soft radiation emission amplitudes for nonzero ρ. The particles’ effective matter currents are not fully localized to their worldlines when ρ ≠ 0, which motivates investigation of manifestly local completions of our theory. Our results also motivate the development of continuous spin analogues of gravity and non-Abelian gauge theories. Given the correspondence with familiar gauge theory in the small ρ limit, we conjecture that continuous spin particles may in fact mediate known long-range forces, with testable consequences.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2020

Holographic scattering requires a connected entanglement wedge

In AdS/CFT, there can exist local 2-to-2 bulk scattering processes even when local scattering is not possible on the boundary; these have previously been studied in con- nection with boundary correlation functions. We show that boundary regions associated with these scattering configurations must have O(1/G N ) mutual information, and hence a connected entanglement wedge. One of us previously argued for this statement from the boundary theory using operational tools in quantum information theory. We improve that argument to make it robust to small errors and provide a proof in the bulk using focusing arguments in general relativity. We also provide a direct link to entanglement wedge reconstruction by showing that the bulk scattering region must lie inside the con- nected entanglement wedge. Our construction implies the existence of nonlocal quantum computation protocols that are exponentially more efficient than the optimal protocols currently known.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2023

Scaling similarities and quasinormal modes of D0 black hole solutions

We study the gravity solution dual to the D0 brane quantum mechanics, or BFSS matrix model, in the ’t Hooft limit. The classical physics described by this gravity solution is invariant under a scaling transformation, which changes the action with a specific critical exponent, sometimes called the hyperscaling violating exponent. We present an argument for this critical exponent from the matrix model side, which leads to an explanation for the peculiar temperature dependence of the entropy in this theory, S ∝ T 9/5 . We also present a similar argument for all other Dp-brane geometries. We then compute the black hole quasinormal modes. This involves perturbing the finite temperature geometry. These perturbations can be easily obtained by a mathematical trick where we view the solution as the dimensional reduction of an Ad S2+9/5 × S 8 geometry.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2021

A derivation of Born’s rule from symmetry

Highlights: • A very simple proof for the rule by which we calculate probabilities in quantum mechanics. We here put forward a simple argument for Born’s rule based on the requirement that transition probabilities in quantum mechanics should not be a function of the number of degrees of freedom in the system, or the dimension of the Hilbert-space, respectively. The argument presented here can be interpreted as deriving Born’s rule from a symmetry requirement.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2021

Distinguishing localization from chaos: Challenges in finite-size systems

Highlights: • Provides an overview of the current understanding of the many-body localization phase transition. • Discusses the subtleties of finite-size scaling near this transition • Assesses the implications of these subtleties for numerical studies of spin chains. • Explores scaling of diagnostics in models with known localization transitions. • Presents suggestions for future numerical work. We re-examine attempts to study the many-body localization transition using measures that are physically natural on the ergodic/quantum chaotic regime of the phase diagram. Using simple scaling arguments and an analysis of various models for which rigorous results are available, we find that these measures can be particularly adversely affected by the strong finite-size effects observed in nearly all numerical studies of many-body localization. This severely impacts their utility in probing the transition and the localized phase. In light of this analysis, we discuss a recent study (Šuntajs et al., 2020) of the behaviour of the Thouless energy and level repulsion in disordered spin chains, and its implications for the question of whether MBL is a true phase of matter.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2025

Does provable absence of barren plateaus imply classical simulability?

A large amount of effort has recently been put into understanding the barren plateau phenomenon. In this perspective article, we face the increasingly loud elephant in the room and ask a question that has been hinted at by many but not explicitly addressed: Can the structure that allows one to avoid barren plateaus also be leveraged to efficiently simulate the loss classically? We collect evidence-on a case-by-case basis-that many commonly used models whose loss landscapes avoid barren plateaus can also admit classical simulation, provided that one can collect some classical data from quantum devices during an initial data acquisition phase. This follows from the observation that barren plateaus result from a curse of dimensionality, and that current approaches for solving them end up encoding the problem into some small, classically simulable, subspaces. Thus, while stressing that quantum computers can be essential for collecting data, our analysis sheds doubt on the information processing capabilities of many parametrized quantum circuits with provably barren plateau-free landscapes. We end by discussing the (many) caveats in our arguments including the limitations of average case arguments, the role of smart initializations, models that fall outside our assumptions, the potential for provably superpolynomial advantages and the possibility that, once larger devices become available, parametrized quantum circuits could heuristically outperform our analytic expectations.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2020

Viscous flow properties and hydrodynamic diameter of phenothiazine-based redox-active molecules in different supporting salt environments

We report viscous flow properties of a redox-active organic molecule, N-(2-(2-methoxyethoxy)ethyl)phenothiazine (MEEPT), a candidate for non-aqueous redox flow batteries, and two of its radical cation salts. A microfluidic viscometer enabled the use of small sample volumes in determining viscosity as a function of shear rate and concentration in the non-aqueous solvent, acetonitrile, both with and without supporting salts. All solutions tested show Newtonian behavior over shear rates of up to 30 000 s−1, which was rationalized by scaling arguments for the diffusion-based relaxation time of a single MEEPT molecule without aggregation. Neat MEEPT is flowable but with a large viscosity (412 mPa⋅s at room temperature), which is ∼1000 times larger than that of acetonitrile. MEEPT solutions in acetonitrile have low viscosities; at concentrations up to 0.5 M, the viscosity increases by less than a factor of two. From concentration-dependent viscosity measurements, molecular information was inferred from intrinsic viscosity (hydrodynamic diameter) and the Huggins coefficient (interactions). Model fit credibility was assessed using the Bayesian Information Criterion. It is found that the MEEPT and its charged cations are “flowable” and do not flocculate at concentrations up to 0.5 M. MEEPT has a hydrodynamic diameter of around 8.5 Å, which is almost insensitive to supporting salt and state of charge. This size is comparable to molecular dimensions of single molecules obtained from optimized structures using density functional theory calculations. The results suggest that MEEPT is a promising candidate for redox flow batteries in terms of its viscous flow properties.

Wang, Yilin (ORCID:0000000316102995)↗
DOE OSTI2022

The evolution of curvature in planar, photoionization-driven heat fronts

Photoionized plasmas are common in astrophysics and cosmology, especially in space near compact objects, and there are effects from photoionization in high-energy-density plasmas due to the large radiation fields present. Photoionized plasmas are an active area of laboratory research and there are currently experiments to study photoionization-supported heat fronts. These photoionization fronts differ from the physics of diffusive radiation waves, commonly called Marshak waves, that are also an active area of research. This work uses a geometric argument to describe the expected evolution of the photoionization front curvature, in a planar geometry. It then compares this curvature to that of a Marshak wave as a method of diagnosing a heat front experiment. It is found that while the curvature of a planar Marshak wave increases in time, it decreases for a photoionization front. A comparison of radiation energy and electron heat fluxes through the container for the heat front propagating medium demonstrates that the geometric argument for the photoionization front curvature is sufficient. Furthermore, this comparison also demonstrates that wall losses are not significant in a photoionization front because the post-front region is very optically thin. A discussion of the implication this work has on material choice in the targets for an experiment follows.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2026

Comparing ICME simulations with scaled laboratory experiment

In stellar physics and astrophysics, numerical simulations and laboratory experiments are often compared to observational data to support their representation of the real world. However, there is also merit in comparing numerical simulations to properly scaled experiments, especially when the experiment and the simulation are both emulating the solar phenomena. Confirming the credibility of scaled experiments and their scaling with well-validated models is important to expand our knowledge of the associated physical phenomena. This is significant because experiments and simulations can be performed frequently, whereas observations may be limited by location, field of view, and missing data. In this work, we use the Alfvén Wave Solar atmosphere Model, a well-validated magnetohydrodynamic model, to simulate an interplanetary coronal mass ejection (ICME) and compare it to an experiment which provides a scaled analog to a physical ICME. The experiment was performed on the Big Red Ball facility and scaled using dimensionless parameters such as plasma β and magnetosonic Mach number to reproduce the main structure of an ICME. We compare the model-simulated temperature, density, and magnetic field to those from the experiment, as well as the scaling parameters used in the experiment, to those calculated from the simulation. This comparison is performed to further justify the scaling arguments made by the experiment. Additionally, the comparison would lead to the development of stronger scaling arguments for future experiments.

Bryant, K. [University of Michigan, Ann Arbor, MI ↗
DOE OSTI2024

The universal thermodynamic properties of extremely compact objects

An extremely compact object (ECO) is defined as a quantum object without horizon, whose radius is just a small distance s outside its Schwarzschild radius. We show that any ECO of mass M in d + 1 dimensions with s << (M/m p ) 2/(d-2)(d+1) lp must have (at leading order) the same thermodynamic properties—temperature, entropy and radiation rates—as the corresponding semiclassical black hole of mass M. An essential aspect of the argument involves showing that the Tolman–Oppenheimer–Volkoff equation has no consistent solution in the region just outside the ECO surface, unless this region is filled with radiation at the (appropriately blueshifted) Hawking temperature. In string theory it has been found that black hole microstates are fuzzballs—objects with no horizon—which are expected to have a radius that is only a little larger than the horizon radius. Thus the arguments of this paper provide a nice closure to the fuzzball paradigm: the absence of a horizon removes the information paradox, and the thermodynamic properties of the semiclassical hole are nonetheless recovered to an excellent approximation.

79 ASTRONOMY AND ASTROPHYSICS↗