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Program risk analysis handbook

NASA regulations specify that formal risk analysis be performed on a program at each of several milestones. Program risk analysis is discussed as a systems analysis approach, an iterative process (identification, assessment, management), and a collection of techniques. These techniques, which range from extremely simple to complex network-based simulation, are described in this handbook in order to provide both analyst and manager with a guide for selection of the most appropriate technique. All program risk assessment techniques are shown to be based on elicitation and encoding of subjective probability estimates from the various area experts on a program. Techniques to encode the five most common distribution types are given. Then, a total of twelve distinct approaches to risk assessment are given. Steps involved, good and bad points, time involved, and degree of computer support needed are listed. Why risk analysis should be used by all NASA program managers is discussed. Tools available at NASA-MSFC are identified, along with commercially available software. Bibliography (150 entries) and a program risk analysis check-list are provided.

Batson, R. G.↗

Schedule Risk Assessment

Schedule Risk Assessment (SRA) determines the probability of finishing on or before a given point in time. This viewgraph presentation introduces the prerequisites, probability distribution curves, special conditions, calculations, and results analysis for SRA.

Smith, Grego↗

NASA Instrument Cost/Schedule Model

NASA's Office of Independent Program and Cost Evaluation (IPCE) has established a number of initiatives to improve its cost and schedule estimating capabilities. 12One of these initiatives has resulted in the JPL developed NASA Instrument Cost Model. NICM is a cost and schedule estimator that contains: A system level cost estimation tool; a subsystem level cost estimation tool; a database of cost and technical parameters of over 140 previously flown remote sensing and in-situ instruments; a schedule estimator; a set of rules to estimate cost and schedule by life cycle phases (B/C/D); and a novel tool for developing joint probability distributions for cost and schedule risk (Joint Confidence Level (JCL)). This paper describes the development and use of NICM, including the data normalization processes, data mining methods (cluster analysis, principal components analysis, regression analysis and bootstrap cross validation), the estimating equations themselves and a demonstration of the NICM tool suite.

JCL↗

A Team Mental Model Perspective of Pre-Quantitative Risk

This study was conducted to better understand how teams conceptualize risk before it can be quantified, and the processes by which a team forms a shared mental model of this pre-quantitative risk. Using an extreme case, this study analyzes seven months of team meeting transcripts, covering the entire lifetime of the team. Through an analysis of team discussions, a rich and varied structural model of risk emerges that goes significantly beyond classical representations of risk as the product of a negative consequence and a probability. In addition to those two fundamental components, the team conceptualization includes the ability to influence outcomes and probabilities, networks of goals, interaction effects, and qualitative judgments about the acceptability of risk, all affected by associated uncertainties. In moving from individual to team mental models, team members employ a number of strategies to gain group recognition of risks and to resolve or accept differences.

Cooper, Lynne P.↗

Life Qualification of Hall Thrusters By Analysis and Test

High power Hall thrusters under development for deep space robotic and human exploration missions have demanding lifetime and operational requirements that make thruster life qualification challenging. The required burn times make it infeasible to conduct multiple tests with durations exceeding the life requirement, and complex wearout phenomena and the need for power throttling during missions complicate analyses and testing. The traditional qualification approach, a single life test that typically demonstrates 50 to 100% margin on the required lifetime, does not provide enough information to demonstrate low failure risk. It is a weak source of statistical information about the location of the peak in the failure probability distribution and provides no information on the width of the distribution. Testing does provide information that can be used to validate physics-based models of failure processes, however, and the combination can be used to assess mission risk. Validated, conservative, deterministic analysis can be used to demonstrate that most failure processes have such large margins that more detailed analysis is unnecessary. For a subset of the failure modes a more detailed probabilistic analysis is required. Pole erosion in a 12.5 kW Hall thruster is used as a detailed example of this qualification process.

Brophy, John R.↗

Reliability considerations for the total strain range version of strainrange partitioning

A proposed total strainrange version of strainrange partitioning (SRP) to enhance the manner in which SRP is applied to life prediction is considered with emphasis on how advanced reliability technology can be applied to perform risk analysis and to derive safety check expressions. Uncertainties existing in the design factors associated with life prediction of a component which experiences the combined effects of creep and fatigue can be identified. Examples illustrate how reliability analyses of such a component can be performed when all design factors in the SRP model are random variables reflecting these uncertainties. The Rackwitz-Fiessler and Wu algorithms are used and estimates of the safety index and the probablity of failure are demonstrated for a SRP problem. Methods of analysis of creep-fatigue data with emphasis on procedures for producing synoptic statistics are presented. An attempt to demonstrate the importance of the contribution of the uncertainties associated with small sample sizes (fatique data) to risk estimates is discussed. The procedure for deriving a safety check expression for possible use in a design criteria document is presented.

Wirsching, P. H.↗

Effect of Cross-Correlation of Orbital Error on Probability of Collision Determination

This paper discusses the effect of global model error on probability of collision (Pc) determination. Modifications to the Pc formulation for cross-correlation of orbital error in prediction are developed and assessed for recent conjunctions. While specific geometries can be identified or constructed to produce significant change in Pc for the modified formulation, it is of operational interest to quantify the relative occurrence of such cases for satellite conjunction risk assessment. Such analysis is feasible per data collections in place over the past year.

Cross-correlation↗

An Approach to Risk-Based Design Incorporating Damage Tolerance Analyses

Incorporating risk-based design as an integral part of spacecraft development is becoming more and more common. Assessment of uncertainties associated with design parameters and environmental aspects such as loading provides increased knowledge of the design and its performance. Results of such studies can contribute to mitigating risk through a system-level assessment. Understanding the risk of an event occurring, the probability of its occurrence, and the consequences of its occurrence can lead to robust, reliable designs. This paper describes an approach to risk-based structural design incorporating damage-tolerance analysis. The application of this approach to a candidate Earth-entry vehicle is described. The emphasis of the paper is on describing an approach for establishing damage-tolerant structural response inputs to a system-level probabilistic risk assessment.

Knight, Norman F., Jr.↗

Trade can buffer climate-induced risks and volatilities in crop supply

Climate change is intensifying the frequency and severity of extreme events, posing challenges to food security. Corn, a staple crop for billions, is particularly vulnerable to heat stress, a primary driver of yield variability. While many studies have examined climate impact on average corn yields, little attention has been given to the climate impact on production volatility. This study investigates the future volatility and risks associated with global corn supply under climate change, evaluating the potential benefits of two key adaptation strategies: irrigation and market integration. A statistical model is employed to estimate corn yield response to heat stress and utilize NEX-GDDP-CMIP6 climate data to project future production volatility and risks of substantial yield losses. Three metrics are introduced to quantify these risks: Sigma (σ), the standard deviation of year-on-year yield change, which reflects overall yield volatility; Rho (ρ), the risk of substantial loss, defined as the probability of yield falling below a critical threshold; and Beta (β), a relative risk coefficient that captures the volatility of a region's corn production compared to the globally integrated market. The analysis reveals a concerning trend of increasing year-on-year yield volatility (σ) across most regions and climate models. This volatility increase is significant for key corn-producing regions like Brazil and the United States. While irrigated corn production exhibits a smaller rise in volatility, suggesting irrigation as a potential buffer against climate change impacts, it is not a sustainable option as it can cause groundwater depletion. On the other hand, global market integration reduces overall volatility and market risks significantly with less sustainability concerns. Furthermore, these findings highlight the importance of a multidimensional approach to adaptation in the food sector. While irrigation can benefit individual farmers, promoting global market integration offers a broader solution for fostering resilience and sustainability across the entire food system.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

Model Verification and Validation Concepts for a Probabilistic Fracture Assessment Model to Predict Cracking of Knife Edge Seals in the Space Shuttle Main Engine High Pressure Oxidizer

Physics-based models are routinely used to predict the performance of engineered systems to make decisions such as when to retire system components, how to extend the life of an aging system, or if a new design will be safe or available. Model verification and validation (V&V) is a process to establish credibility in model predictions. Ideally, carefully controlled validation experiments will be designed and performed to validate models or submodels. In reality, time and cost constraints limit experiments and even model development. This paper describes elements of model V&V during the development and application of a probabilistic fracture assessment model to predict cracking in space shuttle main engine high-pressure oxidizer turbopump knife-edge seals. The objective of this effort was to assess the probability of initiating and growing a crack to a specified failure length in specific flight units for different usage and inspection scenarios. The probabilistic fracture assessment model developed in this investigation combined a series of submodels describing the usage, temperature history, flutter tendencies, tooth stresses and numbers of cycles, fatigue cracking, nondestructive inspection, and finally the probability of failure. The analysis accounted for unit-to-unit variations in temperature, flutter limit state, flutter stress magnitude, and fatigue life properties. The investigation focused on the calculation of relative risk rather than absolute risk between the usage scenarios. Verification predictions were first performed for three units with known usage and cracking histories to establish credibility in the model predictions. Then, numerous predictions were performed for an assortment of operating units that had flown recently or that were projected for future flights. Calculations were performed using two NASA-developed software tools: NESSUS(Registered Trademark) for the probabilistic analysis, and NASGRO(Registered Trademark) for the fracture mechanics analysis. The goal of these predictions was to provide additional information to guide decisions on the potential of reusing existing and installed units prior to the new design certification.

Pai, Shantaram S.↗

Importance of Contrast-to-Noise Ratio Sensitivity Function in Nondestructive Evaluation

A reliable nondestructive evaluation (NDE) technique provides minimum 90% probability of detection (POD) with 95% confidence for detection of cracklike flaws of a specific size. This requirement comes from fracture control. Fracture control is a risk assessment and control approach for preventing structural failure of fracture critical hardware during its service life. One of the approaches of fracture control is damage tolerance safe life analysis, which assumes that NDE reliably detectable size flaw may exist in the hardware post nondestructive evaluation. Analysis and/or testing are performed to verify that the hardware will not fail during its service life despite existence of such a flaw. NDE methods are conventionally qualified by probability of detection (POD) demonstration testing to ensure reliable flaw detection. Here, a novel and alternative to POD flaw detection reliability approach that uses contrast-to-noise ratio (CNR) is given. The approach uses CNR sensitivity function (SF) and CNR. CNR SF is the minimum CNR needed for reliable flaw detection as a function of certain flaw indication characteristics. Primary difference between POD approaches and CNR flaw detection reliability approach is resolution of flaw detection system. POD approach does not account for the resolution of the system, while CNR approach accounts for the flaw detection resolution. Resolution is determined from the modulation transfer function (MTF) of the flaw detection system. CNR flaw detection reliability approach emphasizes quantitative assessment of “how well each flaw indication is detected”. Therefore, CNR approach is helpful in reducing number of flaws in the sample used in NDE procedure qualification, resulting in cost and time savings. CNR approach is also a case of multi-hit flaw detection analysis which has better flaw detectability size than conventional single-hit flaw detectability. Thus, CNR approach, where applicable, may be superior to conventional POD approach. The paper is an overview of development of CNR modeling, CNR SF modeling and measurement by the author. The paper gives key references to currently used NDE procedure POD qualification approaches including those specific to CNR and CNR SF development in multi-hit flaw detection in NDE. The paper covers core topics in nondestructive evaluation engineering.

Contrast-to-noise ratio↗

A Case for Developing a Ground Based Replication of the Earth, Moon and Mars Spaceflight Infrastructure

When the systems are developed and in place to provide the services needed to operate en route and on the Lunar and Martian surfaces, an Earth based replication will need to be in place for the safety and protection of mission success. The replication will entail all aspects of the flight configuration end to end but will not include any closed loop systems. This would replicate the infrastructure from Lunar and Martian robots, manned surface excursions, through man and unmanned terrestrial bases, through the various types of communication systems and technologies, manned and un-manned space vehicles (large and small), to Earth based systems and control centers. An Earth based replicated infrastructure will enable checkout and test of new technologies, hardware, software updates and upgrades and procedures without putting humans and missions at risk. Analysis of events, what ifs and trouble resolution could be played out on the ground to remove as much risk as possible from any type of proposed change to flight operational systems. With adequate detail, it is possible that failures could be predicted with a high probability and action taken to eliminate failures. A major factor in any mission to the Moon and to Mars is the complexity of systems, interfaces, processes, their limitations, associated risks and the factor of the unknown including the development by many contractors and NASA centers. The need to be able to introduce new technologies over the life of the program requires an end to end test bed to analyze and evaluate these technologies and what will happen when they are introduced into the flight system. The ability to analyze system behaviors end to end under varying conditions would enhance safety e.g. fault tolerances. This analysis along with the ability to mine data from the development environment (e.g. test data), flight ops and modeling/simulations data would provide a level of information not currently available to operations and astronauts. In this paper we will analyze the beginnings of such a replication and what it could do in terms of reducing risk in the near term for development. We will analyze the Space Shuttle Main Engine (SSME) test lab which has to a large extent accomplished this replication for the SSME and has been highly successful in analyzing hardware and software problems and changes. The cost of replicating the flight system as proposed here could be very high if attempted as an afterthought. We will describe the initial steps for the development of a replication of this infrastructure starting with the communication infrastructure. The Constellation of Labs (CofL) under the Command, Control, Communication and Information (C3I) project for the NASA Exploration Initiative will provide the initial foundation upon which to base this replication. Simply put, there is very little margin for error in high latency situations e.g. en-route to/from Mars or in an autonomous process on the Lunar far side. Any thought out approach to reduce risk and increase safety needs to be accomplished end to end with the actual systems configuration.

Bradford, Robert N.↗

A rotor optimization using regression analysis

The design and development of helicopter rotors is subject to the many design variables and their interactions that effect rotor operation. Until recently, selection of rotor design variables to achieve specified rotor operational qualities has been a costly, time consuming, repetitive task. For the past several years, Kaman Aerospace Corporation has successfully applied multiple linear regression analysis, coupled with optimization and sensitivity procedures, in the analytical design of rotor systems. It is concluded that approximating equations can be developed rapidly for a multiplicity of objective and constraint functions and optimizations can be performed in a rapid and cost effective manner; the number and/or range of design variables can be increased by expanding the data base and developing approximating functions to reflect the expanded design space; the order of the approximating equations can be expanded easily to improve correlation between analyzer results and the approximating equations; gradients of the approximating equations can be calculated easily and these gradients are smooth functions reducing the risk of numerical problems in the optimization; the use of approximating functions allows the problem to be started easily and rapidly from various initial designs to enhance the probability of finding a global optimum; and the approximating equations are independent of the analysis or optimization codes used.

Giansante, N.↗

Estimating the Risk of Renal Stone Events During Long-Duration Spaceflight

Introduction: Given the bone loss and increased urinary calcium excretion in the microgravity environment, persons participating in long-duration spaceflight may have an increased risk for renal stone formation. Renal stones are often an incidental finding of abdominal imaging studies done for other reasons. Thus, some crewmembers may have undiscovered, asymptomatic stones prior to their mission. Methods: An extensive literature search was conducted concerning the natural history of asymptomatic renal stones. For comparison, simulations were done using the Integrated Medical Model (IMM). The IMM is an evidence-based decision support tool that provides risk analysis and has the capability to optimize medical systems for missions by minimizing the occurrence of adverse mission outcomes such as evacuation and loss of crew life within specified mass and volume constraints. Results: The literature of the natural history of asymptomatic renal stones in the general medical population shows that the probability of symptomatic event is 8% to 34% at 1 to 3 years for stones < 7 mm. Extrapolated to a 6-month mission, for stones < 5 to 7 mm, the risk for any stone event is about 4 to 6%, with a 0.7% to 4% risk for intervention, respectively. IMM simulations compare favorably with risk estimates garnered from the terrestrial literature. The IMM forecasts that symptomatic renal stones may be one of the top drivers for medical evacuation of an International Space Station (ISS) mission. Discussion: Although the likelihood of a stone event is low, the consequences could be severe due to limitations of current ISS medical capabilities. Therefore, these risks need to be quantified to aid planning, limit crew morbidity and mitigate mission impacts. This will be especially critical for missions beyond earth orbit, where evacuation may not be an option.

Reyes, David↗

Estimating the Risk of Renal Stone Events during Long-Duration Spaceflight

Introduction: Given the bone loss and increased urinary calcium excretion in the microgravity environment, persons participating in long-duration spaceflight may have an increased risk for renal stone formation. Renal stones are often an incidental finding of abdominal imaging studies done for other reasons. Thus, some crewmembers may have undiscovered, asymptomatic stones prior to their mission. Methods: An extensive literature search was conducted concerning the natural history of asymptomatic renal stones. For comparison, simulations were done using the Integrated Medical Model (IMM). The IMM is an evidence-based decision support tool that provides risk analysis and has the capability to optimize medical systems for missions by minimizing the occurrence of adverse mission outcomes such as evacuation and loss of crew life within specified mass and volume constraints. Results: The literature of the natural history of asymptomatic renal stones in the general medical population shows that the probability of symptomatic event is 8% to 34% at 1 to 3 years for stones < 7 mm. Extrapolated to a 6-month mission, for stones < 5 to 7 mm, the risk for any stone event is about 4 to 6%, with a 0.7% to 4% risk for intervention, respectively. IMM simulations compare favorably with risk estimates garnered from the terrestrial literature. The IMM forecasts that symptomatic renal stones may be one of the top drivers for medical evacuation of an International Space Station (ISS) mission. Discussion: Although the likelihood of a stone event is low, the consequences could be severe due to limitations of current ISS medical capabilities. Therefore, these risks need to be quantified to aid planning, limit crew morbidity and mitigate mission impacts. This will be especially critical for missions beyond earth orbit, where evacuation may not be an option.

Reyes, David↗

Hierarchical Estimation For Planetary Protection

The software uses Bayes' theorem to describe the probability of an event based on prior knowledge of conditions that might be related to the event. The purpose of Bayesian analysis is to determine posterior probabilities based on prior probabilities where new information can be used in the decision-making process as additional data is gathered. The software will be used in Probabilistic Risk Assessments (PRAs) related to the Europa Clipper mission, which is one of NASA’s top priorities. Ultimately, the mission entails sending the Europa Clipper spacecraft to Jupiter’s Europa moon to orbit the planet and collect data for research and development. Europa is the smallest of the four Galilean moons orbiting Jupiter and is believed by researchers to be the most promising place to look for present-day environments suitable for life. Europa is thought to have an iron core, a rocky mantle, and a salt-water ocean covered by an ice-layered surface.

Gribok, Andrei [Idaho National Laboratory (INL), I↗

Accelerated Monte Carlo Simulation for Safety Analysis of the Advanced Airspace Concept

Safe separation of aircraft is a primary objective of any air traffic control system. An accelerated Monte Carlo approach was developed to assess the level of safety provided by a proposed next-generation air traffic control system. It combines features of fault tree and standard Monte Carlo methods. It runs more than one order of magnitude faster than the standard Monte Carlo method while providing risk estimates that only differ by about 10%. It also preserves component-level model fidelity that is difficult to maintain using the standard fault tree method. This balance of speed and fidelity allows sensitivity analysis to be completed in days instead of weeks or months with the standard Monte Carlo method. Results indicate that risk estimates are sensitive to transponder, pilot visual avoidance, and conflict detection failure probabilities.

Thipphavong, David↗

Pre-Flight Hazardous Gas Assessment Methodology for the Space Launch System

The complexity of the Artemis I liquid rocket propulsion systems produces many sources of hazards during the operation of the vehicle. Pre-flight hazardous gas leakages pose fire and explosion risks to rocket that could potentially lead to loss of the vehicle, mission, and crew. The National Aeronautics and Space Administration (NASA) uses a probability risk assessment strategy to assess the likelihood of the hazard and the consequence should the hazardous situation occur. For high probability hazards that pose a potentially catastrophic consequence to the vehicle, the most effective strategy for reducing the risk is accomplished by engineering and implementing systems that actively mitigate the hazard. A hazards analysis is completed to determine the likelihood and severity of each hazard. These hazard analyses are informed using relevant empirical data and physics-based analytical models. Time-accurate Computational Fluid Dynamics models used to quantify and understand the risks posed to Artemis I due to expulsions of hazardous gas near the vehicle. Several sources of hazardous gas that posed a risk to Artemis I during nominal pre-flight operations are analyzed in this work. The results of the analyses were used to develop flight rationale and make risk acceptance decisions for the Artemis I launch.

Brian R. Richardson↗