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Safety Management Challenges for Aviation Cyber Physical Systems Prof. R. John Hansman & Roland Weibel MIT International Center for Air Transportation [email protected] , [email protected]

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Page 1: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Safety Management Challenges for Aviation Cyber Physical Systems

Prof. R. John Hansman & Roland Weibel

MIT International Center for Air Transportation

[email protected], [email protected]

Page 2: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 3: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 4: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y
Page 5: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y
Page 6: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y
Page 7: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Increasing Stringency Of Safety Standards

Safety targets and assessment process reviewed for past changes• CAA ILS Requirements• EU Reduced Vertical Separation Minimums (RVSM)• North Atlantic Track (NAT) Separation – (2 cases)• Precision Runway Monitor (PRM)

UK CAA ILS Requirement1x10-7 accidents/approach

NAT Track Spacing1x10-7 midairs/hr

NAT Track Spacing2x10-8 midairs/hr

Precision Runway Monitor4x10-8 accidents/approach

EU RVSM2.5x10-9 accidents/hr

Page 8: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Approaches to Setting the Target Level of Safety

Parity: TLS set equal to the current accident rateExample: Precision Runway Monitor (PRM)

Time of change

Target level of safety

Acc

iden

ts/

expo

sure

Acc

iden

ts/

expo

sure

Target level of safety

Current accident rate

Projected time

Operation s

Target level of safety (acc/hr)

Accidents / yr

Acc

iden

ts/

expo

sure

Target level of safety

Extrapolation/Risk Ratio: TLS set by fixed improvement in risk, or continuance of extrapolated risk reduction

Examples: North Atlantic Longitudinal Spacing, TCAS

Homeostasis: TLS calculated to maintain constant annual accident frequency

Examples: Mineta Commission, SESAR targets

Absolute: TLS set regardless of accident frequencies

Examples: ATO Safety Management System

Page 9: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Continued Target Reductions in Accident Rates

2008 AVS Business Plan

Page 10: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Safety Risk Management

FAA Safety Management System (SMS)

Documented Guidelines for Performing Safety Risk Management

Primarily Directed to ATO Personnel

Stated Applicability to all systems related to ATC, navigation, and acquisition

Purpose of Risk Management: A structured process to examine potential causes of accidents and prioritize requirements to mitigate risk to an acceptable level

Page 11: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

NAS Change Areas for Analysis of Safety Impacts

Source: FAA Safety Management System Manual, Version 1.1, May 21, 2004, p. 10.

Page 12: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 13: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

System Complexity “Simplified” NAS Architecture

Page 14: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

ATC-Based Applications•Surveillance•Separation procedures•Trajectory-based operations

Distributed Air-Ground Systems (eg ADS-B)

Air Vehicle Component

Cockpit-Based Applications•Self-separation•Equivalent VFR operations•Traffic & runway awareness•Airspace, weather, terrain awareness•Precision Navigation

Ground Component

Coverage Volume

Operating Procedures Operating

Procedures

Air Traffic Control

Aircraft CockpitOther Aircraft

Cockpit

ATC

Global Navigation Satellite System

Avionics Integration Avionics

Integration

ATC Integration

ATC Integration

ADS-B OutPosition & intent broadcast from aircraft to ground or other aircraft

Air to Air

Air to Ground

ADS-B InInformation transmitted from ground to the aircraft

Radar Tracks

Page 15: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 16: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Need for New Approaches to Data Analysis

Forensic vs Prognostic Approaches

As safety improves, signals of accident causes weaken• “Paradox of Almost Totally Safe Transportation Systems” – Rene

Amalberti

Current data approaches are generally based on simple excedance parameters• FOQA – envelope exceedance• Operations certificate – procedural non-compliance

Current data mining methods are not prognostic• Require hypothesis or identified problem• Forensic: after-accident investigation

Page 17: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Accidents and Precursors

Accidents

Incidents

Unsafe Acts

Latent Conditions

Decreasing Signal

Strength Toward Root

Causes

Measures

Midair collision ratesAccident RatesRunway Collisions

Loss of SeparationGround IncursionsNear-accidents

Operational ErrorsOperational DeviationsPilot Deviations

???

Modified from H.W. Heinrich, Industrial Accident Prevention, 1931

Page 18: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Confidence Intervals on Rate of Rare Event

fX x | λ,t( )= λ( )x e−λ

x!• Poisson Distribution: probability f of observing x events over

time t if true rate is λ• Alternate formulation (after applying Bayes rule): given x

observed events over time t, what is distribution g of true rate λ? g λ | x,t( )= λt( )x e−λt

x!

x = no. of eventst = observation timeλ

= true event ratet = 108 hours

Page 19: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Need for New Approaches to Data Analysis

Forensic vs Prognostic Approaches

As safety improves, signals of accident causes weaken• “Paradox of Almost Totally Safe Transportation Systems” – Rene

Amalberti

Current data approaches are generally based on simple excedance parameters• FOQA – envelope exceedance• Operations certificate – procedural non-compliance

Current data mining methods are not prognostic• Require hypothesis or identified problem• Forensic: after-accident investigation

Page 20: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Increasing Set of Potential Data Sources (Multiple Formats)

Flight Data Recorder (CVR) • 300 to 1000 states• 1/5 to 30 hz

Other Electronic Recordings• GPS, FMS, Instrumentation

Cockpit Voice Recorder (CVR)

Air Ground Communications• Voice, Data

Trajectory Data• Radar, Multilateration, ADS-B

Self Reports• Pilots, Controllers, Mechanics• ASAS, NASA ASRS

Accident, Incident Reports

Dispatch and Weather Data

Maintenance Data• Performance Tracking Data• Logbook writeups

Aircrew Data• Medical• Perfornece • Rest

Developmental Test Data

Video

Oversight• Air Carrier Oversight (ATOS)

Page 21: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 22: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Severity/Likelihood Measure of Risk

*Source: FAA Safety Management System Manual, Version 1.1, May 21, 2004, p. 45.

From SMS:

High Risk-Unacceptable

Medium Risk-Minimum Acceptable

Low Risk-Target

Page 23: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Simplified Set of States Required to Achieve Operational Capability

Certified Installation

Certified Installation

Installed Equipment

Certified Avionics Certified Avionics

Operationa l Approval Operationa l Approval

Avionics Spec.

Designed Avionics

Operations/ Applications

Spec

Approved Infrastruct. Approved Infrastruct.

Trained Controller

Designed Procedures (Airborne)

Approved Equipment Approved Equipment

Designed Equipment

Designed Infrastruct.

In-Service Decision

In-Service Decision

Infrastruct.Spec.

Deployed Infrastruct.

Verified Equipment

Verified Equipment

System Operational Capability

System Operational Capability

Airborne Elements

Shared Procedures

Ground/ATC Elements

Published Procedures

Acquired Equipment

Airborne Operational Capability

Airborne Operational Capability

Procedural Operational Capability

Procedural Operational Capability

Ground Infrastructure

Capability

Ground Infrastructure

Capability

General Air/Ground Integrated System

Designed Procedures

(Control)

Operating Spec.

Operating Spec.

Trained Pilot

Operationa l Approval Operationa l Approval

Certification Process

Acquisition Process

System Operational

Approval

Page 24: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Level of Requirements for Future Functionality

Level of Requirements

Functionality

current requirements

future requirements

overspecification for requirement B

A

B

underspecification from requirement B

Page 25: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 26: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

CNS/ATM Software Assurance Based on Risk

A L 6 /E A L 5 /D A L 3 /C A L 2 /B A L 1 /A

A L 6

A L 6

A L 6

A L 2

A L 3

A L 4

A L 3

A L 4

A L 5

A L 4

A L 4

A L 5

A L 5

A L 5

A L 6E xtrem ely Im probable

E xtrem ely R em ote

R em ote

P robable (N ote : 2 )

N o S a fe ty E ffec t

M inor M ajor H azardous C atas troph ic

L IK E L IH O O D O F O C C U R R E N C E

C N S /A T M SW A L A ssignm ent M atrix

SEVE

RIT

Y

N ote :

1 . M in im a lly recom m ended S W assurance leve ls based on system r isk , any dev ia tion m ust be p re -approved by the app ropria te app roval/ce rtifica tion au tho rity .

2 . D O -278 equa tes to D O -178B fo r S W w hose functiona lity has a d irect im pact on a ircra ft opera tions (e .g ., ILS , W A A S ).

•S o ftwa re assurance is o ften used to con tro l risk by m itiga ting anom a lous so ftware behav io r.

•S o ftwa re assurance p rov ides the con fidence and a rtifac ts to ensure the system sa fe ty requ irem ents im p lem en ted in so ftwa re function as designed .

Frequent A L 1 /AA L 2 /BA L 3 /CA L 5 /DA L 6 /E

From FAA System Safety Management Program Manual, December 2004, p.42

Page 27: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

DO-178B Software Design Assurance Levels (DALs)

Level Failure condition Objectives With

independence

A Catastrophic 66 25

B Hazardous 65 14

C Major 57 2

D Minor 28 2

E No effect 0 0

DO-178B Assurance Levels and Conditions

De facto standard for certification of safety-critical software systems

Currently in update: DO-178C

Page 28: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 29: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Need to Consider Entire System

Software

Human

Hardware Environment

Page 30: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y
Page 31: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Mode Awareness

Mode Awareness is becoming a serious issues in Complex Automation Systems

• automation executes an unexpected action (commission), or fails to execute an action (omission) that is anticipated or expected by one or more of the pilots

Multiple accidents and incidents• Strasbourg A320 crash: incorrect vertical mode

selection• Orly A310 violent pitchup: flap overspeed• B757 speed violations: early leveloff conditions

Pilot needs to• Identify current state of automation• Understand implications of current state• Predict future states of automation

Page 32: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Operator Directed Process

AutomationModel

TrainingMaterial

SoftwareSpecification

Software

ConfigurationManagement

Training material is derived from Automation Model. Training Representation is created.

Automation Model is derived from Functional Analysis, operator and expert user input.

Software specification is derived from Training Material.

System is certified againstAutomation Model.

Specification changes must be consistent with Automation Model.

Certification

Configuration Management verifies and maintains consistency with Automation Model.

FunctionalAnalysis

Iterative Human-Centered Prototype Evaluation Stage

Page 33: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Challenges

Target Level of Safety Expectations

System Complexity

Prognostic vs Forensic Data Analysis

Safety Assurance and Operational Approval• New Systems and Procedures• Standards

Software Development and Certification

High Confidence Human-Systems Integration

Page 34: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y
Page 35: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Spectrum of Judgment in Approval Process Steps

Decision Aspects

Type of Analysis

judgment

structure/rules

mix

Expert Appraisal

Modeling & Quantification

system description

mitigations to reach sufficient safety

standards for evaluation

abstraction to potential hazards &

effects

Hazard Analysis

categorization of potential hazards

system description

mitigations to reach sufficient safety

hazard likelihood & effects

safety standard

mitigation design

hazard likelihood & effects

approval decision approval decision approval decision

abstraction

system description

Standard Compliance

compliance evidence

standards for evaluation

system description

compliance decision

Page 36: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Confidence Intervals on Rate of Rare Event

fX x | λ,t( )= λ( )x e−λ

x!• Poisson Distribution: probability f of observing x events over

time t if true rate is λ• Alternate formulation (after applying Bayes rule): given x

observed events over time t, what is distribution g of true rate λ? g λ | x,t( )= λt( )x e−λt

x!

x = no. of eventst = observation timeλ

= true event ratet = 108 hours

Page 37: Safety Management Challenges for Aviation Cyber Physical ... Safety Management v2.pdf · Other Electronic Recordings • GPS, FMS, Instrumentation y Cockpit Voice Recorder (CVR) y

Addressing Multiple Hazards in System

Level of Risk Standard

(less safe)

Dominant Hazard

Dominant Hazard

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s) Unacceptable

risk

Dominant Hazard Case

Multiple Equal Hazards

All hazards of equal severity, therefore likelihood combines to overall level of risk

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

Other Hazard(s)

HazardHazard

Unacceptable risk