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Technological infrastructural needs to support third party certification Certification of Safety-Critical Software-Intensive Systems First Public Workshop.

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Presentation on theme: "Technological infrastructural needs to support third party certification Certification of Safety-Critical Software-Intensive Systems First Public Workshop."— Presentation transcript:

1 Technological infrastructural needs to support third party certification Certification of Safety-Critical Software-Intensive Systems First Public Workshop November 11, 2011 Sushil Birla Division of Engineering Office of Nuclear Regulatory Research ( ,

2 Background & source of vision Context: U.S. Govt. Inter-agency coordination activities –NITRD (Networking & IT R&D) HCSS (High Confidence Software & Systems) –Cyber-physical systems »Focus area: Safety critical systems 2 Sectors Health Energy Defense Transportation National Security Commonalities

3 Current state – some commonalities Safety-critical CPSs are typically too complex to be completely verified and validated. Remaining uncertainties are significant, but not well understood. Safety analysis and evaluation require high competence and judgment, but these capabilities are very scarce. Cyber adversaries’ ability to develop and launch new attack tools and techniques outpaces the ability to develop and deploy countermeasures. The competence  complexity gap is widening rapidly. Similar problems exist in most safety-critical, mission-critical application domains, but there is little synergy to find a common core set of underlying solution capabilities. The requisite knowledge is not well-systematized Commercially available tools, driven by non-critical consumer applications, are being used in critical applications, but their commensurate verification Is not feasible economically. 3

4 Current state: Some complexity issues A single defect can make logic wrong, potentially leading to serious consequences, but the capability to engineer defect- free systems does not exist. Networking (wired or wireless) introduces new vulnerabilities that are not well understood –Hidden dependencies and couplings Latent defects could combine in many scenarios Latent defects could cause a high consequence failure The more complex a system the more exposure to defects Verification of a high-integrity system or component, e.g. operating system, takes more effort and time than its initial development. 4

5 Vision state: Some commonalities Systems can be routinely developed with built-in assurance of safety and security –“Do it right the first time” becomes the cheapest and fastest way to realize a system Accredited third party services are commercially available for verification & validation (V&V) Accredited third party services are commercially available for review, attestation, and certification Requisite tools are certified Requisite competence (knowledge, skills) is certified Requisite competence becomes readily available Requisite body of knowledge is mature and readily accessible Educational and training institutions have mature curricula to produce and certify the requisite competence 5

6 6 ISO definitions - 1 Third-party attestation related to products, processes, systems or persons 5.5 certification Issue of a statement, based on a decision following review, that fulfillment of specified requirements has been demonstrated 5.2 attestation Verification of the suitability, adequacy and effectiveness of selection and determination activities, and the results of these activities, with regard to fulfillment of specified requirements by an object of conformity assessment 5.1 review

7 7 ISO definitions - 2 Need or expectation that is stated. NOTE: Specified requirements may be stated in normative documents such as regulations specified requirement Demonstration that specified requirements relating to a product, process, system, person or body are fulfilled 2.1 conformity assessment A person or body that is independent of the person or organization that provides the object, and of user interests in that object 2.4 third party

8 8 ISO definitions - 3 Third-party attestation related to a conformity assessment body conveying formal demonstration of its competence to carry out specific conformity assessment tasks 5.6 accreditation Body that performs conformity assessment services 2.5 conformity assessment body Authoritative body that performs accreditation NOTE … authority … generally derived from government 2.6 accreditation body

9 Some expectations & gaps 9 Accreditation bodies 3 rd party conformity assessment bodies Competence criteria Formally demonstrate competence Enable certification of safety-critical software

10 10 Some more gaps Regulatory requirements are abstract SW in safety system Concrete d erived requirements missing/incomplete Review Interpret Regulatory guides Standards Expert Judgment needed Scarce!

11 11 Research needs identified Questions posed to expert group What are sources of uncertainties? What evidence do we need to reduce these uncertainties? What are the areas that need more research?

12 Uncertainties even after best practices 12 Residual Uncertainties? “Good” design practice NRC’s regulatory guidance framework Appendix A in RIL-1001 Focus of group Assume conformity Uncertainties and resulting size of potential fault space

13 13 Some sources of uncertainties Validation of Requirements Architecture: Complexity Verification: Adequacy of coverage Impact of change: Hidden/obscure dependencies Transformation tools Integrating/Combining evidence

14 14 Current review practice Perform thread audits of several requirements Check for conformance clause-by-clause Is clause-by-clause review enough?

15 15 Combined effects of deviations Charles Perrow in “Normal Accidents- Living with High Risk technologies” 1984: –A major failure of a complex system is typically caused by a combination of relatively small incidents: Three Mile Island

16 16 Combined effects in SW A single defect can make logic wrong Hidden dependencies and couplings Latent defects –Could combine in many scenarios –Could cause a high consequence failure- –The more complex a system the more exposure to defects

17 17 Combined effects of seemingly insignificant deviations High consequence failure of a complex system Operators’ Action Faulty Equipment Incorrect indicator Inadequate Procedures  Inadequate Design

18 18 Example of evidence gaps Uncertainties cannot combine to produce more complex uncertainties Independence and decoupling Compliance with architecture principles & constraints Demonstrate Inadequate criteria

19 19 Architecture: Complexity issues New I&C architectures overly complex 1. High degree of connectivity between two systems which are suppose to be independent 2. Safety to non-safety interconnectivity

20 20 Transformation tool issues New (unknown) ways of introducing defects Preservation of semantics

21 21 Tools Integrating effect of uncertainties in software assurance Reqmts Arch Reqmts Arch D I Unit Test Integr Test FAT Auto code gen Auto test gen Safety demonstration in the presence of uncertainties Change Impact Analysis ? ?? ? ? ? ? ? ? system software system V&V results ? Each anomaly or uncertainty by itself seems to be small

22 Coverage evidence (Diverse complementary) 22 V&V: Adequacy of coverage Environment Assumptions Input validity Requirements Correct? Complete? Consistent? Incomplete coverage Interference Analysis Model checking Testing - Coverage based … Proof of non- interference Proof of non- interference Some major sources of uncertainties Safety Demonstration (e.g. assurance case) Safety Demonstration (e.g. assurance case)  Evidence about other uncertainties

23 Safety demonstration: Adaptation of Toulmin’s model 23 Backing, e.g., theoretical or causal model Inference rule Evidence/ Grounds Assertion/ Belief/Claim Factors influencing validity of argument basis for Qualifiers (Strength; Condition) Challenges; rebuttals; inconsistencies Argument used in affects

24 24 Recap: NRC areas of interest Certification infrastructure needed Accreditation bodies Competence criteria 3 rd party conformity assessment bodies Some gaps in assurance technology infrastructure Validation of Requirements Architecture: Complexity Verification: Adequacy of coverage Impact of change: Hidden/obscure dependencies Transformation tools Integrating/Combining evidence


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