CEN/TR 17602-30-03:2021
(Main)Space product assurance - Human dependability handbook
Space product assurance - Human dependability handbook
The handbook defines the principles and processes of human dependability as integral part of system safety and dependability. The handbook focuses on human behaviour and performance during the different operation situations as for example in a control centre such as handover to routine mission operation, routine mission operation, satellite maintenance or emergency operations.
This handbook illustrates the implementation of human dependability in the system life cycle, where during any project phase there exists the need to systematically include considerations of the:
- Human element as part of the space system,
- Impact of human behaviour and performance on safety and dependability.
Within this scope, the main application areas of the handbook are to support the:
a. Development and validation of space system design during the different project phases,
b. Development, preparation and implementation of space system operations including their support such as the organisation, rules, training etc.
c. Collection of human error data and investigation of incidents or accidents involving human error.
The handbook does not address:
- Design errors: The handbook intends to support design (and therefore in this sense, addresses design errors) regarding the avoidance or mitigation of human errors during operations. However, human error during design development are not considered.
- Quantitative (e.g. probabilistic) analysis of human behaviour and performance: The handbook does not address probabilistic assessment of human errors as input to system level safety and dependability analysis and consideration of probabilistic targets, and
- Intentional malicious acts and security related issues: Dependability and safety deals with "threats to safety and mission success" in terms of failures and human non malicious errors and for the sake of completeness includes "threats to safety and mission success" in terms of malicious actions, which are addressed through security risk analysis. However by definition "human dependability" as presented in this handbook excludes the consideration of "malicious actions" and security related issues i.e. considers only "non-malicious actions" of humans.
The handbook does not directly provide information on some disciplines or subjects, which only indirectly i.e. at the level of PSFs (see section 5) interface with "human dependability". Therefore the handbook does not provide direct support to "goals" such as:
- optimize information flux in control room during simulations and critical operations,
- manage cultural differences in a team,
- cope with negative group dynamics,
- present best practices and guidelines about team training needs and training methods,
- provide guidelines and best practices concerning planning of shifts,
- present basic theory about team motivation, and
- manage conflict of interests on a project.
1.2 Objectives
The objectives of the handbook are to support:
- Familiarization with human dependability (see section 5 "principles of human dependability"). For details and further reading see listed "references" at the end of each section of the handbook.
- Application of human dependability; (see section 6 "human dependability processes" and 7 "implementation of human dependability in system life cycle").
Raumfahrtproduktsicherung - Handbuch zur menschlichen Zuverlässigkeit
Assurance produit des projets spatiaux - Guide sur le facteur humain
Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Priročnik o človekovi zanesljivosti
Ta priročnik določa načela in postopke človekove zanesljivosti kot sestavni del varnosti in zanesljivosti sistemov. Priročnik se osredotoča na človekovo vedenje in zmogljivost v različnih situacijah, na primer v nadzornem centru (kot je prehod na rutinske postopke v okviru misije, izvajanje rutinskih postopkov v okviru misije, vzdrževanje satelitov ali izvajanje postopkov v sili).
V tem priročniku je predstavljeno izvajanje človekove zanesljivosti v življenjskem ciklu sistema, kadar je treba v kateri koli fazi projekta sistematično upoštevati:
– človeški dejavnik kot del vesoljskega sistema;
– vpliv človeškega vedenja in zmogljivosti na varnost ter zanesljivost.
Priročnik se v tem smislu uporablja predvsem kot podpora za:
a. razvoj in potrjevanje načrta vesoljskega sistema v različnih fazah projekta;
b. razvoj, pripravo in izvajanje postopkov vesoljskega sistema, vključno z njihovo podporo (npr. organizacija, pravila, usposabljanje itd.);
c. zbiranje podatkov o človeških napakah in preiskovanje incidentov ali nesreč, ki vključujejo človeške napake.
Ta priročnik ne obravnava:
– napak pri načrtovanju: namen priročnika je podpora pri načrtovanju (v tem smislu torej obravnava napake pri načrtovanju) v zvezi s preprečevanjem ali zmanjševanjem človeških napak med izvajanjem postopkov, vendar človeške napake med razvojem načrtovanja niso upoštevane;
– kvantitativnih (npr. verjetnostnih) analiz človeškega vedenja in zmogljivosti: priročnik ne obravnava verjetnostne ocene človeških napak kot vhodnega podatka za analizo varnosti in zanesljivosti na ravni sistema ter upoštevanje verjetnostnih ciljev; in
– namernih zlonamernih dejanj in težav, povezanih z varnostjo: priročnik na področju zanesljivosti in varnosti obravnava »grožnje za varnost in uspešnost misije« v smislu napak in človeških nezlonamernih napak ter zavoljo celovitosti vključuje »grožnje za varnost in uspešnost misije« v smislu zlonamernih dejanj, ki so obravnavane z analizo varnostnega tveganja. Vendar v skladu z opredelitvijo »človekova zanesljivost«, kot je predstavljena v tem priročniku, ne upošteva »zlonamernih dejanj« in težav, povezanih z varnostjo, tj. upošteva zgolj človeška »nezlonamerna dejanja«.
V tem priročniku niso neposredno vključene informacije o nekaterih disciplinah ali temah, ki so s »človekovo zanesljivostjo« povezane zgolj posredno, tj. na ravni PSF (glej razdelek 5). Priročnik zato ne zagotavlja neposredne podpore za »cilje«, kot so:
– optimizacija pretoka informacij v nadzorni sobi med simulacijami in kritičnimi postopki;
– obvladovanje kulturnih razlik znotraj ekipe;
– obvladovanje negativne skupinske dinamike;
– predstavitev najboljših praks in smernic v zvezi s potrebami po usposabljanju ekipe ter metodami usposabljanja;
– zagotavljanje smernic in najboljših praks v zvezi z načrtovanjem izmen;
– predstavitev osnovne teorije o motiviranju ekipe; ter
– obvladovanje navzkrižja interesov pri posameznem projektu.
General Information
Standards Content (Sample)
SLOVENSKI STANDARD
01-februar-2022
Zagotavljanje kakovosti proizvodov v vesoljski tehniki - Priročnik o človekovi
zanesljivosti
Space product assurance - Human dependability handbook
Raumfahrtproduktsicherung - Handbuch zur menschlichen Zuverlässigkeit
Assurance produit des projets spatiaux - Guide sur le facteur humain
Ta slovenski standard je istoveten z: CEN/TR 17602-30-03:2021
ICS:
03.120.99 Drugi standardi v zvezi s Other standards related to
kakovostjo quality
49.140 Vesoljski sistemi in operacije Space systems and
operations
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.
TECHNICAL REPORT CEN/TR 17602-30-03
RAPPORT TECHNIQUE
TECHNISCHER BERICHT
December 2021
ICS 49.140
English version
Space product assurance - Human dependability handbook
Assurance produit des projets spatiaux - Guide sur le Raumfahrtproduktsicherung - Handbuch zur
facteur humain menschlichen Zuverlässigkeit
This Technical Report was approved by CEN on 22 November 2021. It has been drawn up by the Technical Committee
CEN/CLC/JTC 5.
CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium,
Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy,
Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Republic of North Macedonia, Romania, Serbia,
Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.
CEN-CENELEC Management Centre:
Rue de la Science 23, B-1040 Brussels
© 2021 CEN/CENELEC All rights of exploitation in any form and by any means Ref. No. CEN/TR 17602-30-03:2021 E
reserved worldwide for CEN national Members and for
CENELEC Members.
Table of contents
European Foreword . 5
Introduction . 6
References . 6
1 Scope and objectives . 8
1.1 Scope . 8
1.2 Objectives . 9
2 References . 10
3 Terms, definitions and abbreviated terms . 11
3.1 Terms from other standards . 11
3.2 Terms specific to the present handbook . 11
3.3 Abbreviated terms. 13
4 Objectives of human dependability . 14
5 Principles of human dependability . 15
5.1 Human dependability concept . 15
5.1.1 Introduction . 15
5.1.2 Failure scenario integrating human errors . 16
5.1.3 Human error and error type . 16
5.1.4 Error precursors and error mitigators. 16
5.2 Human role in the system . 24
5.2.1 Overview . 24
5.2.2 Human contribution to safety and mission success . 24
5.2.3 Fundamental principles driving function allocation. 25
5.2.4 Some principles driving user interfaces design . 26
5.2.5 Automated processes and operator tasks in space systems . 28
5.3 References . 29
6 Human dependability processes . 31
6.1 General . 31
6.2 Human error analysis . 32
6.2.1 Objectives of human error analysis . 32
6.2.2 Principles of human error analysis . 33
6.2.3 Human error analysis process . 37
6.3 Human error reporting and investigation . 41
6.3.1 Objectives of human error reporting and investigation . 41
6.3.2 Principles of human error reporting and investigation . 41
6.3.3 Human error reporting and investigation process . 43
6.4 References . 45
7 Implementation of human dependability in system life cycle . 46
7.1 General . 46
7.2 Human dependability activities in project phases . 47
7.2.1 Overview . 47
7.2.2 Phase A: Feasibility . 47
7.2.3 Phase B: Preliminary Definition . 48
7.2.4 Phase C: Detailed Definition . 49
7.2.5 Phase D: Qualification and Production . 50
7.2.6 Phases: E Operations/Utilization and F Disposal . 52
7.3 References . 53
Annex A (informative) Human error analysis data - examples . 54
A.1 Overview . 54
A.2 Examples of the Evolution of PSFs . 55
A.3 Examples of Human Error Scenario Data . 58
A.4 References . 58
Annex B (informative) Human error analysis documentation . 59
Annex C (informative) Human error analysis example questions . 61
C.1 Examples of questions to support a risk analysis on anomalies and human
error during operations . 61
C.2 References . 63
Annex D (informative) Human dependability in various domains . 64
D.1 Human dependability in industrial sectors . 64
D.2 References . 66
Bibliography . 68
Figures
Figure 5-1: Examples of human error in failure scenarios . 16
Figure 5-2: Error precursors, error mitigators and human error in failure scenarios . 17
Figure 5-3: HFACS model . 20
Figure 5-4: Levels of human performance . 21
Figure 5-5: Basic error types . 23
Figure 5-6: MABA-MABA principle . 25
Figure 5-7: Small portion of Chernobyl nuclear power plant control room (from
http://www.upandatom.net/Chernobyl.htm) . 26
Figure 5-8: Example of a computer-based, concentrated control room (Large Hadron
Collider at CERN) . 27
Figure 5-9. Example of a computer-based, concentrated user interface – the glass
cockpit (transition to glass cockpit for the Boeing 747) . 27
Figure 6-1: Human error reduction examples . 33
Figure 6-2: Human error analysis and reduction process . 37
Figure 6-3: Human error analysis iteration . 41
Figure 6-4: Human error reporting and investigation process . 44
Figure 7-1: Human dependability in system life cycle . 46
Tables
Table A-1 : SPAR_H PSF modelling considerations for MIDAS [57] . 55
Table B-1 : Example of an “Human Error Analysis Form sheet” . 60
Table D-1 : Examples of Comparable External Domains . 65
European Foreword
This document (CEN/TR 17602-30-03:2021) has been prepared by Technical Committee
CEN/CLC/JTC 5 “Space”, the secretariat of which is held by DIN.
It is highlighted that this technical report does not contain any requirement but only collection of data
or descriptions and guidelines about how to organize and perform the work in support of EN 16602-
30.
This Technical report (CEN/TR 17602-30-03:2021) originates from ECSS-Q-HB-30-03A.
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. CEN [and/or CENELEC] shall not be held responsible for identifying any or all such
patent rights.
This document has been prepared under a mandate given to CEN by the European Commission and
the European Free Trade Association.
This document has been developed to cover specifically space systems and has therefore precedence
over any TR covering the same scope but with a wider domain of applicability (e.g.: aerospace).
Introduction
Space systems always have “human in the loop” such as spacecraft operators in a control centre, test
or maintenance staff on a ground or astronauts on board.
Human dependability complements disciplines that concern the interaction of the human element
with or within a complex sociotechnical system and its constituents and processes such as human
factors engineering (see ECSS-E-ST-10-11C “Human factors engineering” [1]), human systems
integration [2], human performance capabilities, human-machine interaction and human-computer
interaction in the space domain [3],[4].
Human dependability captures the emerging consensus and nascent effort in the space sector to
systematically include the considerations of “human behaviour and performance” in the design,
validation and operations of both crewed and un-crewed systems to take benefit of human capabilities
and to prevent human errors. Human behaviour and performance can be influenced by various
factors, also called precursors (e.g. performance shaping factors), resulting in human errors, or error
mitigators, limiting the occurrence or impact of human errors. Human errors can originate from
inadequate system design i.e. that ignores or does not properly account for human factor engineering
and system operation. Human errors can contribute to or be part of failure or accident scenarios
leading to undesirable consequences on a space mission such as loss of mission or as worst case loss of
life.
In the space domain, human dependability as a discipline first surfaced during contractor study and
policy work in the early 1990s in the product assurance, system safety and knowledge management
domain [5],[6] and concerned principles and practices to improve the safety and dependability of
space systems by focusing on human error, related design recommendations and root cause analysis
[7],[8].
The standards ECSS-Q-ST-30C “Dependability”[9] and ECSS-Q-ST-40C”Safety” [10] define principles
and requirements to assess and reduce safety and dependability risks and address aspects of human
dependability such as human error failure tolerance and human error analysis to complement FMECA
and hazard analysis. The objective of human error analysis is to identify,
...
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