Ron Stroup

1
An Approach to the Software Aspects of Safety
Management

• Ron Stroup
• FAA, Office of Information Services
• Process Engineering Division, AIO-200
• Software Safety and Certification Lead
• PH. [phone]
• Ronald.L.Stroup_at_faa.gov
• www.faa.gov/aio

2
National Airspace System (NAS)
3
FAA Experience (1/2)

• What were our concerns?
• Ineffective Risk Management.
• Immature software acquisition processes.
• GAO Report - Air Traffic Control Immature
  Software Acquisition Processes Increase FAAs
  System Acquisition Risks. AIMD-97-47, March 1997

4
FAA Experience (2/2)

• How are we improving?
• Ineffective Risk Management
• Develop safety risk management policy.
• (FAA Order 8040.4 Safety Risk Management)
• (Software Safety and Certification
  Initiative)
• Improve knowledge of systems engineering.
• (Systems Engineering Council)
• Immature software acquisition processes.
• Improve knowledge of software engineering.
• (Software Engineering Body of Knowledge)
• Develop software policy, practices, and
  technologies.
• (FAA integrated Capability Maturity Model)

5
Order 8040.4 Safety Risk Management

• Purpose
• Established safety risk management policy
• Formalized process for all high-consequence
  decisions.
• Prescribes procedures for implementing safety
  risk management and decision-making tool
• Plan, Identify, Analysis, Assess, Decision
• Establishes Safety Risk Management Committee
• Provides advice, counsel the organizations
• Safety Risk Management Committee
• Provides supplemental support to assist in the
  overall risk analysis capability and efficiency
  of key FAA organizations
• Maintains a risk management resource directory
• Risk methodologies employed
• Resource assistance
• Identifying suitable risk analysis tools and
  training
• FORMALIZE A COMMON SENSE APPROACH

6
System Engineering Council

• Purpose
• Orchestrates common systems engineering
  activities across the NAS
• Responsibility, authority, and accountability for
  the development, documentation, deployment,
  control, and monitoring of the systems
  engineering process.
• Products
• System Engineering Management Plan
• System Engineering Manual

7
System Safety Working Group

• Purpose
• Working arm of the System Engineering Council
• Assists in supporting and evaluating Comparative
  and Operational Safety Assessments
• Products
• System Safety Management Plan
• System Safety Handbook

8
Acquisition Management System

• The FAAs Acquisition Management System
  (AMS)/Life-cycle Management System (LMS) consists
  of
• Mission Needs
• Investment Analysis
• Solution Implementation
• In-Service Management
• Service-life Extension

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System Safety Process
Mission Needs
Investment Analysis
Solution Implementation
In-Service Management
Service-life Extension
JRC1
JRC2
ISD
Option1
Concept of Operation
Operations and Maintenance
Upgrade or Retire
Option Selection
Option2
Option3
OSA NAS SSMP
PHA CRA SSPP
SHA/SSHA
SSAR HTRR
CRA
System Safety Program
NAS System Safety Management (Hazard Tracking)
10
FAA CNS/ATM Software

• FAA-iCMM
• Software development
• Software assurance
• Implement and integrate software engineering
  processes into systems engineering.

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Software Quality Triangle
Establishes a process and documentation guidance
for software development
Establishes a level of confidence for software
that is consistent with its environment
Software Assurance Guidance
FAA-STD-026 (IEEE12207)
QUALITY SW FOR NAS SYSTEMS
FAA-iCMM
Establishes essential elements of an
organizations software acquisition, engineering,
and management process
12
Software Assurance

• What do we want to achieve?
• Identify the objectives necessary, throughout the
  life cycle process, to provide confidence that a
  product and process satisfies given safety and
  security integrity level requirements. ICAO has
  established a targeted Global Risk Factor of
  extremely remote or 10-7

13
Safety and Security Similarities
ANALYSIS
REQUIREMENTS
VERIFICATION

• SECURITY
• Vulnerability/Threat Assessment
• Risk Determination
• Security Requirements
• Penetration testing

• SAFETY
• Operational Safety Assessment
• Risk Determination
• Safety Requirements
• Requirements-based testing

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Preliminary Safety/Security Model
System Development Process
System Safety Process
System Security Process
Requirements Specification
Assurance Milestones
Operational Safety Assessment
Protection Profiles
Mission Needs/ Investment Analysis
Threat Analysis
Preliminary Hazard Analysis
Preliminary Vulnerability Assessment
Requirements Analysis
Safety Requirements
Security Requirements
Security Target
Solution Implementation
System Specification
Refined Vulnerability Assessment
Procedures
System/SubSystem Hazard Analysis
HW Spec.
SW Spec.
SW Design
Continued Analysis
SW Code
SW Integration
Operating Support Hazard Analysis
System Integration Test
Certification
In-Service Decision
In-Service Management
Hazard Tracking Monitor Residual Risk
Service Life Extension
Monitor Vulnerability
Sustainment Retirement
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Summary

• The FAA continues to refine its systems and
  software engineering processes
• We are focusing on the technical and
  programmatic efficiencies that can be achieved by
  integrating safety and security into the system
  life cycle processes.
• The FAA is present to gain knowledge and
  understanding from other industries on their
  approach to mitigating safety issues.

16
Backup slides
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Acronyms (1/2)

• AIO Office of Information Services
• AMS Acquisition Management System
• ATM Air Traffic Management
• CNS Communications, Navigation and Surveillance
• CRA Comparative Risk Analysis
• FAA Federal Aviation Administration
• FMEA Failure Modes Effects Analysis
• HTRR Hazard Tracking and Risk Resolution
• ICAO International Civil Aviation
  Organization
• ICMM Integrated Capability Maturity Model
• ISD In-Service Decision
• JRC Joint Resource Council

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Acronyms (2/2)

• LMS Life-cycle Management System
• NAS National Airspace System
• OSA Operational Safety Assessment
• PHA Preliminary Hazard Assessment
• SEMP System Engineering Management Plan
• SEM System Engineering Manual
• SHA System Hazard Analysis
• SSH System Safety Handbook
• SSHA SubSystem Hazard Analysis
• SSMP System Safety Management Plan
• SSAR System Safety Assessment Report