Policy, Regulations and Standards in Prognostics and Health Management



Published Mar 30, 2021
Kai Goebel Ravi Rajamani


As the field of PHM matures, it needs to be aware of the regulations, policies, and standards that will both impose boundaries as well as provide guidance for operations. All three - regulations, policies, and standards - provide information on how to design or operate something, but with different degrees of enforceability. Policies include both public policies as well as organizational policies. Operators may be required to adhere to public policies(say, an environmental policy which provides guidance for the pollution prevention act (the latter is a US law)) whereas organisational often reflect policies that come out of strategic considerations within private organizations (such as maintenance policies). Regulations (such as aeronautics or nuclear energy) typically impose binding rules of engagement and are imposed by regulatory bodies that are responsible for a particular field. Standards, in contrast, are community-consensus guidelines that are meant to provide benefit to the community by describing best practices. Adoption of such guidelines is entirely voluntary but may provide benefits by not having to reinvent the wheel and for finding common ground amongst other adopters. Awareness of both guidelines and barriers will enable practitioners in adopting best practices within the legal constraints. This paper provides an overview of the current regulations, policies, and standards in the field of Prognostics and Health Management.

Abstract 40 | PDF Downloads 56



Standards, PHM, Policy, Regulations

§50.65 (2005) Requirements for monitoring the effectiveness of maintenance at nuclear power plants, NRC Regulation 10 CFR.
42 U.S.C. §13101 et seq. (1990), Pollution Prevention Act, US Congress.
49 CFR Parts 571, (2012). Department of Transportation, National Highway Traffic Safety Administration.
49 U.S. Code Chapter 301 - Motor Vehicle Safety (2008). Department of Transportation, National Highway Traffic Safety Administration.
A4A (2019), ATA eBusiness Program, http://www.ataebiz.org/Pages/standards.aspx, retrieved March 2019.
Ancelin, J., Cheriaux, F., Gaussot, J.-P., Pichot, D. Sancerni, G., Voisin, G. (1991). KSE: a real-time expert system to diagnose nuclear power plant failures; Real Time Systems. Proceedings of Euromicro '91, 70 – 76.
ANSI/MTC1.4-2018, MTConnect® Standard, - The Association For Manufacturing Technology, 2018.
Asset Insights. (2018). Maintenance Policy, http://www.assetinsights.net/Glossary/G_Maintenance_Policy.html, retrieved 1/9/2019.
Attieh, I. K., Gribok, A. V., Hines, J. W., Uhrig, R. E. (2000a). Pattern Recognition Techniques for Transient Detection to Enhance Nuclear Reactors' Operational Safety, Proceedings of the Maintenance and Reliability Conference (MARCON 2000), May 7-10, Knoxville, TN.
Attieh, I. K., Gribok, A. V., Hines, J. W., & Uhrig, R. E. (2000b). Transient Detection Module to Enhance Nuclear Reactors' Operational Safety. Proceedings of The Third American Nuclear Society International Topical Meeting on Nuclear Plant Instrumentation and Control and Human-Machine Interface Technologies, Washington DC, November 13-17.
Beale, R., & Davis, M. (2016), Application of Rotorcraft Structural Usage and Loads Monitoring Methods for Determining Usage Credits, FAA Technical Report DOT/FAA/TC-16/2, June 2016.
Beales, H., Brito, J., Davis, Jr., J., DeMuth, C., Devine, D., Dudley, S., Mannix, B., & McGinnis, J. (2017) Government Regulation: The Good, The Bad, & The Ugly, Regulatory Transparency Project, Federalist Society, June 12, 2017.
Bigelow, P. (2018) Tesla/NTSB Feud Shows Complications of Crash Investigations Involving Autonomous Systems, Car and Driver. https://www.caranddriver.com/news/teslantsb-feudshows-complications-of-crash-investigations-involvingautonomous-systems, retrieved 4/17/18.
Burgess, M. (2018). What is GDPR? The need-to-know guide, Wired, http://www.wired.co.uk/article/what-isgdpr-uk-eu-legislation-compliance-summary-fines-2018, retrieved 4/9/2018.
CAA. (2006). CAP 753, Helicopter Vibration Health Monitoring (VHM), Guidance Material for Operators Utilising VHM in Rotor and Rotor Drive Systems of Helicopters.
California Air Resources Board. (2006). CCR Title 13 Section 1968.1.
California Code of Regulations (2013), Chapter 4. Development, Regulation, and Conservation of Oil and Gas Resources, Title 14, Division 2, Chapter 4.
Cheetham, W., Cuddihy, P., & Goebel, K. (2001) Applications of Soft CBR at GE, in: Soft Computing in Case Based Reasoning; Eds: S. Pal, T. Dillon, and D. Yeung; Springer Verlag, London, pp. 335-365.
Coble, J., Ramuhalli, P., Bond, L., Hines, W., Upadhyaya, B., (2015). A review of prognostics and health management applications in nuclear power plants, International Journal of Prognostics and Health Management
Daigle, M., & Goebel, K. (2011). A Model-based Prognostics Approach Applied to Pneumatic Valves International Journal of Prognostics and Health Management, 008.
Delaney, J., Olson, P., Lieu, R., Khanna, R., Cleaver, E., DeSaulnier, M., & Doyle, M. (2017). Fundamentally Understanding The Usability and Realistic Evolution of Artificial Intelligence Act of 2017, H.R.4625 — 115th Congress (2017-2018).
Department Undersecretary of Defense for Logistics and Materiel Readiness (2008). Condition Based Maintenance Plus (CBM+) Guidebook 11-02-2017, May 2008.
Department of Defense, (2016). Performance Based Logistics Guidebook, p.9.
EASA (2017), Certification of VHM Systems for Compliance with Commission Regulation (EU) 2016/1199 Introducing Annex V (Part-SPA) of Regulation (EU) No 965/2012 Subpart K, Helicopter Offshore Operations (HOFO), Nov 2017.
Eaton. (2006). Eaton Aerospace Oil Debris Monitoring Technology, Presentation to the Aircraft Builders Council, Inc. September 26.
EPA. (2005). 40 CFR 86.1806-01 - On-board diagnostics.
EPA, (2019). Pollution Prevention Law and Policies, https://www.epa.gov/p2/pollution-prevention-law-andpolicies#policy (retrieved 2/10/2019)
EPA, (2010). 2010-2014 Pollution Prevention (P2) Program Strategic Plan.
EU, (1998). European emission standards Directive 98/69/EC.
FAA. (2011). 14 CFR 121.161 - Airplane limitations: Type of route, rev. 2011.
FAA. (2012). 14 CFR Part 21, Certification Procedures for Products, Articles, and Parts.
Gibbs, S. (2017) Triton: hackers take out safety systems in 'watershed' attack on energy plant, The Guardian, https://www.theguardian.com/technology/2017/dec/15/triton-hackers-malware-attack-safety-systems-energyplant, retrieved 4/10/2018
Goebel, K. (2013) Safety and IVHM in: Integrated Vehicle Health management: Business Case Theory and Practice, eds. I. Jennions, chapter 9, pp 109-123.
Goebel, K., Smith, B., & Bajwa, A. (2019) Ethics in Prognostics Health Management, International Journal of PHM.
IATA (2017), Guidance Material for the implementation of Paperless Aircraft Operations Technical Operations (PAO:TO), Nov 2017.
ISO (2003), Condition monitoring and diagnostics of machines – Data processing, communication and presentation – Part 1: General Guidelines. ISO 13374-1, http://www.iso.org/iso/iso_catalogue/catalogue_tc/catalogue_detail.htm?csnumber=21832.
Jennions, I., (ed.), (2011). Integrated Vehicle Health Management: Perspectives on an Emerging Field, SAE International, R-405.
Jennions, I., (ed.), (2012), Integrated Vehicle Health Management: Business Case Theory and Practice, SAE International, R-414.
Jennions, I., (ed.), (2013a). Integrated Vehicle Health Management: The Technology, SAE International, R-405.
Jennions, I., (ed.) (2013b), Integrated Vehicle Health Management: Essential Reading, SAE International, PT-162
Jennions, I. (ed.), (2014), R-429 Integrated Vehicle Health Management: Implementation and Lessons Learned, SAE International, R-438.
Jennions, I., Khan, S., Hockley, C., & Phillips, P., (eds.), (2015). No Fault Found: The Search for the Root Cause, SAE International, R-441.
Koch, R., & Kuehn, T. (2017). Defending the Grid: Backfitting Non-Expandable Control Systems, Proceedings 9th International Conference on Cyber Conflict.
Kwon, D., Hodkiewicz, M., Fan, J., Shibutani, T., & Pecht, M. (2016). IoT-Based Prognostics and Systems Health Management for Industrial Applications, Special Section on Trends and Advances for Ambient Intelligence with Internet of Things (IoT) Systems, IEEE Access.
Goodman, B., & Flaxman, S. (2016). European union regulations on algorithmic decision-making and a ”right to explanation”. arXiv preprint arXiv:1606.08813. IEEE, (2017). IEEE Standard Framework for Prognostics and Health Management of Electronic Systems IEEE 1856-2017.
Merriam Webster (2019), Policy, https://www.merriamwebster.com/dictionary/policy (last accessed 3/15/2020).
Michael, J., Collingwood, G., Augustine, M., & Cronkhite, J. (2004). Continued Evaluation and Spectrum Development of a Health and Usage Monitoring System, DOT/FAA/AR-04/6, Final Report.
MIMOSA (2001). Open System Architecture for Condition-Based Maintenance, https://www.mimosa. org/mimosaosa-cbm/
Misener, J., Nowakowski, C. Cooper, D., & Margulici, J. (2006). Onboard Monitoring for Truck Safety: From Concept to Prototype to Field Operational Test, Intellimotion, Volume 12, No. 2.
National Highway Traffic Safety Administration. (2017). Automated Driving Systems 2.0: A Vision for Safety, 2017.
National Institute of Standards and Technology (NIST) (1994), Federal Information Processing Standards (FIPS).
National Institute of Standards and Technology (NIST) (2001), Advanced Encryption Standard (FIPS 197)
National Science and Technology Council, Committee on Technology, Executive Office of the President (2016a). Preparing for the Future of AI, https://obamawhitehouse.archives.gov/sites/default/files/whitehouse_files/microsites/ostp/NSTC/preparing_for_the_future_of_ai.pdf, retrieved 3/15/18
National Science and Technology Council, Committee on Technology (2016b). Executive Office of the President, Artificial Intelligence, Automation, and the Economy, https://obamawhitehouse.archives.gov/sites/whitehouse.gov/files/documents/Artificial-Intelligence-Automation-Economy.PDF, retrieved 3/15/2018
National Institute of Standards and Technology (NIST) (2018). Framework for Improving Critical Infrastructure Cybersecurity, Ver 1.1., Apr 2018.
Oberhettinger, D. (2015) “The PRACA system as an ‘incubator’ for lessons learned”, Proceedings 2015 IEEE Aerospace Conference.
Presidential Executive Order 13636 (2013) “Improving Critical Infrastructure Cybersecurity”
Qin, X., Jiang, Z., Ip, W., Sheng, Y., Wu, C. (2018). Analyzing manufacturer and the Insurance-Based Risk Mitigation Policy with Equipment Service Contracting, Enterprise Information Systems, vol. 12, no. 10, pp. 1359-1381.
Rajamani, R., (2018a). ed. Diagnostics and Prognostics of Aerospace Engines, SAE International, November 2018.
Rajamani, R., (2018b). ed. Condition-Based Maintenance in Aviation: The History, The Business and The Technology, SAE International, December 2018
Reim, W., Parida, V., & Sjödin, D. (2016). Risk Management for Product-Service System Operation”, International Journal of Operation & Production Management, Vol. 36, no. 6, pp 665-686.
SAE International (1975). E-32 Aerospace Propulsion Systems Health Management, https://www.sae.org/servlets/works/committeeHome.do?comtID=TEAE32, retrieved March 2019.
SAE International (2008). Aerospace Industry Steering Group on Structural Health, AISCSHM, https://www.sae.org/works/committeeHome.do?comtID=TEAAISCSHM, retrieved March 2019.
SAE International (2011). HM-1 Integrated Vehicle Health Management Committee, https://www.sae.org/works/committeeHome.do?comtID=TEAHM1, retrieved March 2019.
SAE International (2013). Guidance on Structural Health Monitoring for Aerospace Applications, ARP 6461. Sep 2013.
SAE International (2016). IVHM Concepts, Technology, and Implementation Overview, ARP6803, March 2016.
SAE International (2017). A Guide to Aircraft Turbine Engine Vibration Monitoring Systems
SAE International (2017). Digital and Data Steering Group, https://www.sae.org/works/committeeHome.do?comtID=TEADDSG, retrieved November 2019.
SAE International (2018). G-31 Electronic Transactions for Aerospace, https://www.sae.org/servlets/works/committeeHome.do?comtID=TEAG31, retrieved March 2019.
SAE ITC (2018), Health-Ready Components and Systems (HRCS) Strategy Group, https://www.saeitc.com/health-ready-components-and-systems-hrcsstrategy-group, retrieved March 2019.
Sheppard, J., Kaufman, M., & Wilmering, T. (2008), IEEE Standards for Prognostics and Health Management, Proc. IEEE AUTOTESTCON 2008.
Sigma-Technik. (2012). Gaining Regulatory Approval for Helicopter CBM Programs, Engineering Study Paper http://www.sigmatechnik.com/uploads/Gaining_Regulatory_Approval_for_Helicopter_CBM_Programs.pdf, retrieved 3/10/2012.
Srikrishna Committee, (2018) The Personal Data Protection Bill, Parliament of the Republic of India.
ThomasNet, (2008), IMTS 2008: The \"Rosetta Stone\"of Interoperability and More, https://www.thomasnet.com/insights/imt/2008/09/12/international_manufacturing_technology_show_imts_2008_highlights_robots_mtconnect/, last accessed 1/18/2021.
Thune, J., Peters, G., Blunt, R., Stabenow, D., Wicker, R. (2017). Senate Bill 1885 - AV START Act, 115th Congress (2017-2018).
Uhrig, R., Hines, W., & Nelson, W., (1998). Integration of Artificial Intelligence Systems into a Monitoring and Diagnostic System for Nuclear Power Plants, Proceedings of Special Meeting on Instrumentation and Control of the Halden Research Center, Lillehammer, Norway, March 28-21.
Vogl, G., Weiss, B., & Donmez, M. (2014a) Standards Related to Prognostics and Health Management (PHM) for Manufacturing, NISTIR 8012
Vogl, G., Weiss, B., & Donmez, M, (2014b) Standards for Prognostics and Health Management (PHM) Techniques within Manufacturing Operations, Proc. PHM Society Conf. 2014.
Weiss, B., Sharp, M., & Klinger, A., (2018). Developing a Hierarchical Decomposition Methodology to Increase Manufacturing Process and Equipment Health Aware- ness, Journal of Manufacturing Systems
Wilmering, T., (Ed.) (2017), Integrated Vehicle Health Management - System of Systems Integration, SAE International, PT-182.
Zhou, Y., Bo, J., & Wei, T., (2013). A Review of Current Prognostics and Health Management System Related Standards, Chemical Engineering Transactions, vol. 33, 277-282.
Technical Papers