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All sourcesNASA NTRSDOE OSTI
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 OSTI2019

Photoelectron spectroscopy and theoretical studies of PCSe-, AsCS-, AsCSe-, and NCSe-: Insights into the electronic structures of the whole family of ECX- anions (E = N, P, and As; X = O, S, and Se)

The newly synthesized, phosphorus- and arsenic-containing analogues of the thio- and seleno-cyanate anions, PCSe-, AsCS-, and AsCSe-, as well as the known ion NCSe-, were investigated in the gas phase by negative ion photoelectron spectroscopy (NIPES), velocity-map imaging (VMI) spectroscopy, and quantum chemical computations. The electron affinities (EA), spin-orbit (SO) splittings, and “symmetric” / “antisymmetric” stretching frequencies (?1 and ?2) of the neutral radicals ECX• (E = N, P and As, X = S and Se), generated by electron detachment from the corresponding anions, were obtained from the spectra. The calculated EAs, SO splittings, and vibrational frequencies are in excellent agreement with the measured values. These newly obtained values, when combined with those previously determined for the lighter analogues, show interesting trends on descending the pnictogen and chalcogen series. These trends are rationalized on the basis of electronegativity arguments, the electron distribution in the HOMO, and NBO/NRT analyses.

Yuan, Qinqin↗
DOE OSTI2018

Multi‐dimensional lock‐free arrays for multithreaded mode‐directed tabling in Prolog

Summary This work proposes a new design for the supporting data structures used to implement multithreaded tabling in Prolog systems. Tabling is an implementation technique that improves the expressiveness of traditional Prolog systems in dealing with recursion and redundant computations. Mode‐directed tabling is an extension to the tabling technique that supports the definition of alternative criteria for specifying how answers are aggregated, thus being very suitable for problems where the goal is to dynamically calculate optimal or selective answers. In this work, we leverage the intrinsic potential that mode‐directed tabling has to express dynamic programming problems by creating a new design that improves the representation of multi‐dimensional arrays in the context of multithreaded tabling. To do so, we introduce a new mode for indexing arguments in mode‐directed tabled evaluations, named dim , where each dim argument features a uni‐dimensional lock‐free array. Experimental results using well‐known dynamic programming problems on a 32‐core machine show that the new design introduces less overheads and clearly improves the execution time for sequential and multithreaded tabled evaluations.

Areias, Miguel↗
DOE OSTI2018

Holographic Entropy Relations

Abstract We develop a framework for the derivation of new information theoretic quantities which are natural from a holographic perspective. We demonstrate the utility of our techniques by deriving the tripartite information (the quantity associated to monogamy of mutual information) using a set of abstract arguments involving bulk extremal surfaces. Our arguments rely on formal manipulations of surfaces and not on local surgery or explicit computation of entropies through the holographic entanglement entropy prescriptions. As an application, we show how to derive a family of similar information quantities for an arbitrary number of parties. The present work establishes the foundation of a broader program that aims at the understanding of the entanglement structures of geometric states for an arbitrary number of parties. We stress that our method is completely democratic with respect to bulk geometries and is equally valid in static and dynamical situations. While rooted in holography, we expect that our construction will provide a useful characterization of multipartite correlations in quantum field theories.

Hubeny, Veronika E.↗
DOE OSTI2012

Analytic Result for the Two-loop Six-point NMHV Amplitude in N = 4 Super Yang-Mills Theory

We provide a simple analytic formula for the two-loop six-point ratio function of planar N = 4 super Yang-Mills theory. This result extends the analytic knowledge of multi-loop six-point amplitudes beyond those with maximal helicity violation. We make a natural ansatz for the symbols of the relevant functions appearing in the two-loop amplitude, and impose various consistency conditions, including symmetry, the absence of spurious poles, the correct collinear behavior, and agreement with the operator product expansion for light-like (super) Wilson loops. This information reduces the ansatz to a small number of relatively simple functions. In order to fix these parameters uniquely, we utilize an explicit representation of the amplitude in terms of loop integrals that can be evaluated analytically in various kinematic limits. The final compact analytic result is expressed in terms of classical polylogarithms, whose arguments are rational functions of the dual conformal cross-ratios, plus precisely two functions that are not of this type. One of the functions, the loop integral {Omega}{sup (2)}, also plays a key role in a new representation of the remainder function R{sub 6}{sup (2)} in the maximally helicity violating sector. Another interesting feature at two loops is the appearance of a new (parity odd) x (parity odd) sector of the amplitude, which is absent at one loop, and which is uniquely determined in a natural way in terms of the more familiar (parity even) x (parity even) part. The second non-polylogarithmic function, the loop integral {tilde {Omega}}{sup (2)}, characterizes this sector. Both {Omega}{sup (2)} and {tilde {Omega}}{sup (2)} can be expressed as one-dimensional integrals over classical polylogarithms with rational arguments.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
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 OSTI2016

SUSY’s Ladder: Reframing sequestering at Large Volume

Theories with approximate no-scale structure, such as the Large Volume Scenario, have a distinctive hierarchy of multiple mass scales in between TeV gaugino masses and the Planck scale, which we call SUSY's Ladder. This is a particular realization of Split Supersymmetry in which the same small parameter suppresses gaugino masses relative to scalar soft masses, scalar soft masses relative to the gravitino mass, and the UV cutoff or string scale relative to the Planck scale. This scenario has many phenomenologically interesting properties, and can avoid dangers including the gravitino problem, flavor problems, and the moduli-induced LSP problem that plague other supersymmetric theories. We study SUSY's Ladder using a superspace formalism that makes the mysterious cancelations in previous computations manifest. This opens the possibility of a consistent effective field theory understanding of the phenomenology of these scenarios, based on power-counting in the small ratio of string to Planck scales. We also show that four-dimensional theories with approximate no-scale structure enforced by a single volume modulus arise only from two special higher-dimensional theories: five-dimensional supergravity and ten-dimensional type IIB supergravity. As a result, this gives a phenomenological argument in favor of ten dimensional ultraviolet physics which is different from standard arguments based on the consistency of superstring theory.

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 OSTI2019

Discrete gauge symmetries and the weak gravity conjecture

In theories with discrete Abelian gauge groups, requiring that black holes be able to lose their charge as they evaporate leads to an upper bound on the product of a charged particle's mass and the cutoff scale above which the effective description of the theory breaks down. This suggests that a non-trivial version of the Weak Gravity Conjecture (WGC) may also apply to gauge symmetries that are discrete, despite there being no associated massless field, therefore pushing the conjecture beyond the slogan that `gravity is the weakest force'. Here, we take a step towards making this expectation more precise by studying Z N and Z$N\atop{2}$ gauge symmetries realised via theories of spontaneous symmetry breaking. We show that applying the WGC to a dual description of an Abelian Higgs model leads to constraints that allow us to saturate but not violate existing bounds on discrete symmetries based on black hole arguments. In this setting, considering the effect of discrete hair on black holes naturally identifies the cutoff of the effective theory with the scale of spontaneous symmetry breaking, and provides a mechanism through which discrete hair can be lost without modifying the gravitational sector. We explore the possible implications of these arguments for understanding the smallness of the weak scale compared to M Pl .

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2019

Photon masses in the landscape and the swampland

In effective quantum field theory, a spin-1 vector boson can have a technically natural small mass that does not originate from the Higgs mechanism. For such theories, which may be written in Stückelberg form, there is no point in field space at which the mass is exactly zero. I argue that quantum gravity differs from, and constrains, effective field theory: arbitrarily small Stückelberg masses are forbidden. In particular, the limit in which the mass goes to zero lies at infinite distance in field space, and this distance is correlated with a tower of modes becoming light according to the Swampland Distance Conjecture. Application of Tower or Sublattice variants of the Weak Gravity Conjecture makes this statement more precise: for a spin-1 vector boson with coupling constant e and Stückelberg mass m, local quantum field theory breaks down at energies at or below ΛUV = min((mMPl/e)1/2, e1/3MPl). Combined with phenomenological constraints, this argument implies that the Standard Model photon must be exactly massless. It also implies that much of the parameter space for light dark photons, which are the target of many experimental searches, is compatible only with Higgs and not Stückelberg mass terms. This significantly affects the experimental limits and cosmological histories of such theories. I explain various caveats and weak points of the arguments, including loopholes that could be targets for model-building.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
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 OSTI2017

Weyl versus conformal invariance in quantum field theory

We argue that conformal invariance in flat spacetime implies Weyl invariance in a general curved background metric for all unitary theories in spacetime dimensions d ≤ 10. We also study possible curvature corrections to the Weyl transformations of operators, and show that these are absent for operators of sufficiently low dimensionality and spin. We find possible ‘anomalous’ Weyl transformations proportional to the Weyl (Cotton) tensor for d > 3 (d = 3). The arguments are based on algebraic consistency conditions similar to the Wess-Zumino consistency conditions that classify possible local anomalies. The arguments can be straightforwardly extended to larger operator dimensions and higher d with additional algebraic complexity.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗