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DOT/FAA/TC-16/57 Commercial Off-The-Shelf Federal Aviation Administration William J. Hughes Technical Center Airborne Electronic Hardware Aviation Research Division Atlantic City International Airport Issues and Emerging Solutions: New Jersey 08405 Authority for Expenditure No. 75 Report September 2017 Final Report This document is available to the U.S. public through the National Technical Information Services (NTIS), Springfield, Virginia 22161. This document is also available from the Federal Aviation Administration William J. Hughes Technical Center at actlibrary.tc.faa.gov. U.S. Department of Transportation Federal Aviation Administration NOTICE This document is disseminated under the sponsorship of the U.S. Department of Transportation in the interest of information exchange. The U.S. Government assumes no liability for the contents or use thereof. The U.S. Government does not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the objective of this report. The findings and conclusions in this report are those of the author(s) and do not necessarily represent the views of the funding agency. This document does not constitute FAA policy. Consult the FAA sponsoring organization listed on the Technical Documentation page as to its use. This report is available at the Federal Aviation Administration William J. Hughes Technical Center’s Full-Text Technical Reports page: actlibrary.tc.faa.gov in Adobe Acrobat portable document format (PDF). Technical Report Documentation Page 1. Report No. 2. Government Accession No. 3. Recipient's Catalog No. DOT/FAA/TC-16/57 4. Title and Subtitle 5. Report Date COMMERCIAL OFF-THE-SHELF AIRBORNE ELECTRONIC HARDWARE ISSUES AND September 2017 EMERGING SOLUTIONS: AUTHORIZATION FOR EXPENDITURE NO. 75 6. Performing Organization Code 7. Author(s) 8. Performing Organization Report No. Condra, Lloyd1, Horan, Gary2, Forsberg, Håkan3, Matthews, Dave4, Peterson, James5, Martin, Avelino6, Barbagelata, Serge6, Lillestolen, Kirk7, Redman, Dave8, Petre, Brian9, Kilgore, Charles10, Strasburger, John11, Manners, Robert12, and Gregory, Bob13 9. Performing Organization Name and Address 10. Work Unit No. (TRAIS) 1Boeing 2Federal Aviation Administration 3Saab PO Box 3707 E&PD Standards Staff, Engine SE-58188 Linkoping Seattle, WA 98124-2207 Controls Sweden 11. Contract or Grant No. Burlington, MA 01803 4Rockwell Collins 5Honeywell Aerospace 6Airbus Group 400 Collins Road NE 9201 San Mateo Blvd, NE, 12 Rue Pasteur, BP76 Cedar Rapids, IA 52498 MS C01 92150 Suresnes Albuquerque, NM 87113 France 7UTC Aerospace Systems 8Texas A&M Engineering 9GE Aviation Systems 1 Hamilton Road Experiment Station 3290 Patterson Ave, SE Windsor Locks, CT 06096 3126 TAMU Grand Rapids, MI 49512 College Station, TX 77843-3126 10Federal Aviation Administration 11Federal Aviation Administration 12Hi-Tec Systems, Inc. Software and Electronics Section Systems Integration Section (FAA contractor) Atlantic City Int’l. Airport, NJ 08405 Fort Worth, TX 76137 6727 Delilah Road Egg Harbor Township, NJ 08234 13Rolls-Royce plc P.O. Box 2000, Raynesway, Derby, DE21 7XX England 12. Sponsoring Agency Name and Address 13. Type of Report and Period Covered U.S. Department of Transportation, Federal Aviation Administration Aircraft Certification Service—Design, Manufacturing, and Airworthiness Final Report FAA National Headquarters 14. Sponsoring Agency Code AIR-134 950 L’Enfant Plaza, S.W., Washington, D.C. 20024 15. Supplementary Notes The FAA William J. Hughes Technical Center Aviation Research Division COR was Charles Kilgore. 16. Abstract This report, based on global industry and regulatory expert experience and knowledge, illustrates only the top level of elemental aspects regarding commercial off-the-shelf (COTS) components embedded in airborne electronic hardware (AEH) issues and provides possibilities for COTS AEH solutions development including: 1) the use of existing standards and guidance documents as a structure for future evolution of COTS standards, 2) possible future COTS standards to implement this structure, 3) the need for combined industry/regulatory/manufacturing research to develop COTS AEH issues mitigations, including the development of COTS standards and guidance, 4) mechanisms to shorten the slow evolution of standards, 5) a candidate structure for relevant and emerging COTS standards linked to evolving development assurance standards, and 6) the identification of standard bodies responsible for the implementation of the ongoing COTS solution(s). This report provides a COTS AEH assurance framework, including a common structured approach to evaluate COTS AEH issues. This approach is applied to the 22 issues addressed in the report and is recommended for application to future issues not addressed herein. The approach is presented in a manner that supports development of project-level COTS AEH mitigations that can be rolled into development, design assurance, and a practical compliance solution for FAA engineers, delegates, and standards administrators. There is a stand-alone treatment of each issue and a five-step suggested evolution of COTS and development assurance standards and guidelines. The research (1) includes detailed technical information about the issues, (2) introduces research required to provide new knowledge needed to implement solutions for the COTS AEH issues, (3) explores required tools, standards, and guidance needed for COTS-based systems development assurance, certification, and maintenance, and (4) considers certification-process and assessment criteria as well as methods for the given issues. The approach may be used to evaluate and develop emerging COTS AEH issues. This report also addresses design, component selection, development assurance, and certification-process issues for AEH COTS electronics product items, such as hybrids, multichip modules, microprocessors, field-programmable gate arrays, application-specific integrated circuits, and small assemblies including printed wiring assemblies and disk drives. All organizations and individuals who work with COTS AEH in avionics are encouraged to read and understand this report — and those who address these COTS AEH issues should use the AFE 75 research approach and results described. 17. Key Words 18. Distribution Statement Commercial off-the-shelf, COTS, Airborne electronic hardware, Avionics, Aircraft certification, This document is available to the U.S. public Regulatory standards and guidance, System qualification, Avionics safety, Hybrids, Multichip through the National Technical Information modules, Microprocessors, Field programmable gate arrays, Application-specific integrated Service (NTIS), Springfield, Virginia 22161. circuits, COTS assemblies, Derating, Uprating, Sparing reliability, Complementary metal-oxide This document is also available from the FAA semiconductor, Single event effects, Atmospheric radiation, Limited-life semiconductors, Reliability, Lead-free electronics, Errata, Counterfeit parts, Undocumented features, Usage, William J. Hughes Technical Center at Production, Unknown changes, Embedded controllers, Packaging and mounting, Obsolescence actlibrary.tc.faa.gov. management, Compliance, Design assurance, System on chip 19. Security Classif. (of this report) 20. Security Classif. (of this page) 21. No. of Pages 22. Price Unclassified Unclassified 152 Form DOT F 1700.7 (8-72) Reproduction of completed page authorized ACKNOWLEDGEMENTS The project management committee (PMC) chairman for this commercial off-the-shelf airborne electronic hardware assurance project, Brian Petre, would like to thank the following people for their direct contributions to the research detailed in this report and persistent efforts throughout the course of this project: Serge Barbagelata, Airbus Group Andrew Berner, BAE Systems Lloyd Condra, The Boeing Company Chris Eckert, GE Aviation Håkan Forsberg, SAAB Bob Gregory, Rolls Royce Dan Higgins, BF Goodrich Gary Horan, FAA Charles Kilgore, FAA Kirk Lillestolen, UTC Bob Manners, Hi-Tec Systems, FAA contractor Avelino Martin, Airbus Group Dave Mathews, Rockwell Collins James Peterson, Honeywell William Scofield, Boeing Ingemar Söderquist, SAAB John Strasburger, FAA The PMC chairman would also like to acknowledge the following individuals and organizations for providing support to the project: Bob Chobot, BAE Systems Chantel Gil, Airbus Group/Eurocopter Barbara Lingberg, FAA Dave Redman, AVSI Director Jordan Smith, Texas A&M University iii TABLE OF CONTENTS EXECUTIVE SUMMARY xvii 1. INTRODUCTION 1 1.1 Principles 1 1.2 Scope 2 1.3 AFE 75 Project Structure 2 1.4 Document Structure 3 1.5 COTS AEH Assurance Objective 4 1.6 COTS AEH Issues 4 2. ISSUE DEFINITIONS AND RECOMMENDATIONS 5 2.1 COTS Assemblies 6 2.1.1 Description of the Issue 6 2.1.2 Relationship to Safety and Certification 7 2.1.3 Existing Activity 7 2.1.4 Technology Weakness/Deficiency 8 2.1.5 Process Weakness/Deficiency 8 2.1.6 Recommendations/Desired Outcome 8 2.1.7 References 9 2.1.8 Acronyms 10 2.2 Derating 10 2.2.1 Description of the Issue 10 2.2.2 Relationship to Safety and Certification 10 2.2.3 Existing Activity 11 2.2.4 Technology Weakness/Deficiency 11 2.2.5 Process Weakness/Deficiency 12 2.2.6 Recommendation/Desired Outcome 12 2.2.7 References 14 2.2.8 Abbreviations and Acronyms 14 2.3 Sparing Reliability 16 2.3.1 Description of the Issue 16 2.3.2 Relationship to Safety and Certification 16 2.3.3 Existing Activity 17 2.3.4 Technology Weakness/Deficiency 18 2.3.5 Process