ML072630671
| ML072630671 | |
| Person / Time | |
|---|---|
| Site: | Nuclear Energy Institute |
| Issue date: | 09/20/2007 |
| From: | Division of Engineering |
| To: | |
| Smith, John NRO/DNRL, 415-1320 | |
| References | |
| Download: ML072630671 (36) | |
Text
Instrumentation and Controls Task Working Group #6:
Digital I & C Licensing Process DRAFT INTERIM STAFF GUIDANCE Issue:
SRP Chapter 7 provides guidance to the NRC staff for review of I&C systems against the applicable regulatory criteria for nuclear reactor plant licenses and amendments to existing licenses. Digital systems used for I&C systems are somewhat unique in that the qualification of those systems, and the ultimate approval for use in safety-related systems is dependant not only on testing, but also on a high quality design process, which results in a considerable amount of documentation that must be reviewed by the staff. In light of this, the industry and vendors have requested clarification as to what documentation needs to be delivered to the staff for review, at which phase in the review this documentation is needed, which documentation needs to be on the docket, and which documentation does not need to be docketed, but needs to be available for staff review during the audit.
Staff Position:
This Interim Staff Guidance addresses the design and review of digital systems proposed for safety-related service in nuclear power plants. These guidelines address only selected digital aspects of such systems. Such systems are also subject to other licensing requirements germane to safety-related systems, such as requirements for separation, independence, electrical isolation, seismic qualification, Quality Requirements, etc., which are delineated in the Standard Review Plan, Appendix 7.1-A, Acceptance Criteria and Guidelines for Instrumentation and Control Systems Important to Safety.
This guidance specifically addresses the information needed by the NRC to see a clear path to the acceptance and review of the license amendment request. In general, this means all planning documentation must be available at the time of the submittal. The results of the life cycles tasks, such as final design, procedures, results of testing, and final configuration are not needed at the time of submittal, but are needed prior to the SER completion. As a practical matter, these documents should be submitted within 6 months after the acceptance review completion. Some limited documentation, which cannot be completed prior to final installation, such as results of installation test and the V & V report on installation testing, must be available for staff audit prior to start-up.
This guidance is intended to provide clarification and enhanced guidance in recognition of the inherent differences between digital systems that might be used in the future and analog / hardwired systems that have been used in the past. This guidance is based on staff requirement necessary to review a complex digital system upgrade (e.g., completer RTS/ESF digital upgrade) which would normally take about 18 months from acceptance of the LAR.
These guidelines do not modify or supersede existing regulatory requirements or guidance. These guidelines present means acceptable to the staff for meeting existing requirements. Alternative means of meeting existing requirements will be considered if requested and adequately documented and justified. A documented technical basis showing that the proposed alternative measures provide equivalent assurance of safe and correct
operation would be required.
Some of the provisions of this guidance may be interrelated, so acceptance of an alternative in one area may require that compensatory measures be taken in another. Thus acceptance of alternative provisions may require the imposition of other measures that would not otherwise be necessary for conformance to this guidance as-written. Such details must be addressed on a case-by-case basis.
In general, any failure to comply with any element of this guidance (expressed typically as should ) is to be considered to be a proposed alternative design as described above. In some cases the guidance itself addresses alternative measures, but in most cases it will be up to the applicant to identify, present, and justify them.
Systems accepted for review by the staff in the past that are not fully in accordance with this guidance were accepted on the basis of detailed case-by-case review: that prior acceptance is not rescinded or diminished by this guidance, nor does it serve as precedent for waiving the guidance provided herein. However, past precedent SERs will be considered in reviewing license application.
The extensive existing guidance (Regulatory Guides, SRP, etc. identified in column 2 of the attached table) on these subjects should also be taken into consideration in evaluating proposed digital systems. The provisions expressed herein are intended to supplement and clarify, not replace, the provisions of the existing guidance. The provisions of the existing guidance remain applicable even though many of those provisions are not addressed or referenced herein.
The purpose of Interim Staff Guidance is to clarify the licensing criteria the staff will use in confirming that a proposed design meets applicable requirements. Interim Staff Guidance will remain in effect until final guidance is developed and promulgated and the interim guidance has been explicitly rescinded. The staff intends to continue working with stakeholders in refining the interim guidance and in developing final guidance.
Rationale:
In general, there are a number of things the staff looks for in a high quality design process, such as configuration control, verification and validation activities, or testing of the product. In order to investigate these processes, a number of stages in each process must be examined by the staff.
First, the staff reviews what the vendor or licensee is planning to do in order to make a determination that these activities will result in a high quality design process. This is done by reviewing the various plans for the digital system development activities. For this reason, the planning documentation should be submitted at the time of the vendor submittal of a topical report of a licensee submittal or a license amendment request to the NRC. These plans must be docketed because they serve as part of the basis for the SER.
Second, the staff reviews the methods, e.g., procedures, used to implement the plans. These procedures need to be developed before the work is actually done, but may not be necessary until that phase of the lifecycle is reached. For this reason, the staff does not required that the procedures be submitted at the time of initial submittal, however for those activities which will occur quite early in the design lifecycle, the staff asks for preliminary procedures to be submitted, however, it need not be on the docket. The exact timing of when these procedures will vary depending on how far along in the lifecycle the project is, and for this reason, the exact time will vary. In general, the final version of these procedures need to be docketed, but
preliminary procedures used for initial review do not require docketing.
Third, the staff reviews these activities to verify they were done pursuant to the plans and procedures. In addition, the staff will review the training and qualifications of the personnel performing these activities. This portion of the review is done during the on-site audit, where the staff will have an opportunity to observe the activities, and talk to the personnel involved.
Forth and finally, the staff reviews the results for these activities to provide reasonable assurance that the goals were achieved. This is done by reviewing the documentation of the final results, such as test reports, V&V reports, problem reports, etc.
The draft staff guidance on each of these areas is provided in the attached tables.
Consolidated lists of which documentation is needed in which phase of the review is also attached.
Guidance for Document Submittal Organization of Tables:
TWG6 has determined that the licensing process addresses following different areas addressed by different sections of the standard review plan.
- 1. SRP Appendix 7.0-A - Review process for Digital I & C Systems
- 2. SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603
- 3. SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2
- 4. SRP Appendix 7.1-D - Cyber Security Requirements
- 5. SRP Chapter 18 - Human Factors Engineering
Column one identifies the applicable SRP sections.
Column two lists the requirements, standards, regulatory guides.
Column three describe how these requirements are met in the submittal.
Column 4 describes documents which needs to be docketed prior to acceptance of the submittal for review. Delay in submission of these documents will result in non-acceptance of the review.
Column 5 may be submitted and reviewed after the acceptance review but are necessary to make the regulatory finding. If these documents are not submitted in a timely manner, the regulatory finding of acceptance or denial will be delayed.
Column 6 identifies those documents that are available for audit and not docketed at the
time of submittal or prior to SER.
Column 7 identifies those documents available for audit prior to operation.
References:
10 CFR 50 10 CFR 50 Appendix B Ch.15 of SAR EPRI TR-102323 EPRI TR-106439 EPRI TR-107330 GDC-20 GDC-24 Generic Letter 89-02 Generic Letter 91-05 IEC 12207.0 IEC 60880-2 IEC 61000 IEEE/EIA 12207.0-1996 IEEE Std. 1008 IEEE Std. 1012-1998 IEEE Std. 1028, IEEE Std. 1042-1987 IEEE Std. 1050 IEEE Std. 1074 IEEE Std. 1228 IEEE Std. 1540-2001 IEEE Std. 308 IEEE Std. 323 IEEE Std. 344 IEEE Std. 352 IEEE Std. 379 IEEE Std. 384 IEEE Std. 420 IEEE Std. 494 IEEE Std. 577 IEEE Std. 603 IEEE Std. 7-4.3.2-2003 IEEE Std. 828 and 1042 IEEE Std. 828-1998 IEEE Std. 829 IEEE Std. 830 IEEE Std. C62.41 IEEE Std. C62.45 ISA S67.04 ISG on Communications ISG on D3 ISG on Human Factors ISG on Cyber Security MIL-STD-461E NUREG/CR 6101 NUREG/CR 6463 Regulatory Guide 1.100 Regulatory Guide 1.105 Regulatory Guide 1.152 Regulatory Guide 1.168 Regulatory Guide 1.169 Regulatory Guide 1.170 Regulatory Guide 1.171 Regulatory Guide 1.171 Regulatory Guide 1.172 Regulatory Guide 1.173 Regulatory Guide 1.180 Regulatory Guide 1.209 Regulatory Guide 1.22 Regulatory Guide 1.47 Regulatory Guide 1.53 Regulatory Guide 1.62 Regulatory Guide 1.75 SECY 93-087 SPR BTP 7-12 SPR BTP 7-17 SPR BTP 7-17 SPR BTP 7-21 SRP App 7.1-C SRP App 7.1D.
SRP BTP 4, SRP BTP 5 SRP BTP 6 SRP BTP 7-14 SRP BTP 7-17 SRP BTP 7-19 SRP BTP 7-2 SRP BTP 7-21 SRP BTP 7-6 SRP Section 7.1 SRP Section 7-6 SRP Section 7-9
DRAFT SRP Appendix 7.0-A - Review process for Digital I&C Systems 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 3.A Adequacy of Design Criteria and Guidance RG 1.152, IEEE Std. 7.4.3.2-2003, RG 1.168, 169, 170, 171, 172 and 173 Adequacy of design criteria and guidance applied to the proposed system None None None 3.C Diversity and Defense in depth Secy-93-087, SRP BTP 7-19 and ISG on D3 Adequacy of D3 in the proposed System Final D3 Analysis None None None 3.D Software Life Cycle Process Planning See separate table for BTP 7-14 3.E Functional Requirements SRP Sections 7.1 and 7.9, SRP Appendix 7.1-C, and SRP BTP 7-17 and 7-21 EQ including EMI/RFI, Real-time deterministic performance, online and periodic test provisions, Communications independence, and Control of access EMI, Temperature, Humidity, and Seismic testing plans Testing procedures and EMI, Temperature, Humidity, and Seismic testing results None None
DRAFT SRP Appendix 7.0-A - Review process for Digital I&C Systems 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 3.F Audit of Software life cycle process implementation See separate table for BTP 7-14 3.G Audit of Software life cycle design outputs See separate table for BTP 7-14 3.H Acceptance of Commercial grade digital equipment 10CFR50 Appendix B, IEEE Std 7-4.3.2-2003, EPRI TR-106439 and EPRI NP-5652, GL 89-02 and 91-05 Preliminary (not docketed) report on acceptance of commercial grade dedication process Final Commercial Grade Dedication Process Plans Commercial Grade Dedication Procedures and final report on acceptance of commercial grade dedication None None
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 4.0 Safety
System Design
Basis GDC-20, SRP BTP 7-6 Summary Description of the Design Basis and analysis showing proposed design continues to meet Design Basis Existing Plants-None New Plants -
Design Basis Documentation None None None 4.1 Identification of the Design Basis Events SRP BTP -4, SRP BTP -5 IEEE 603 (needed for new plants)
Identification of the Design Basis Events 4.4 Variables Monitored and Analytical Limit IEEE 603 (needed for new plants)
Identification of Variables Monitored and Associated Analytical Limit 4.5 Criteria for Manual Initiation SRP BTP -6 IEEE 603 (needed for new plants)
Minimum Criteria for Manual Initiation and Control of Protective Actions 4.6 Identification of the Minimum Sensors IEEE 603 (needed for new plants)
Identification of the Minimum Number and Location of Sensors
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 4.7 Range of Conditions IEEE 603 (needed for new plants)
Range of Transient and Steady-state Conditions 4.8 Identification of Degradation Conditions IEEE 603 (needed for new plants)
Identification of Conditions Having the Potential for Causing Functional Degradation of Safety System Performance 4.9 Reliability of the Safety
System Design
IEEE 603 (needed for new plants)
Identification of the Methods Used to Determine Reliability of the Safety System Design 5.0 Safety System Criteria 5.1 Single-Failure Criterion Reg. Guide 1.53, IEEE 379, SECY 93-087, SRP BTP 7-19 Single Failure Analysis & basis at system block diagram level Preliminary (not docketed) FMEA and final D3 analysis (see 3.C)
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 5.2 Completion of Protective Action IEEE 603 Text & high-level logic diagrams System description to block diagram level, detailed theory of operation description.
Final logic diagrams.
Final circuit schematics and code listings (needed for thread audit)
None 5.3 Quality 10 CFR 50 Appendix B, IEEE 7-4.3.2, SRP Appendix 7.1.D subsection 5.3 Describe QA Program applicable to the proposed digital system Quality Assurance Plan for digital hardware and software Quality Assurance Procedures for digital hardware and software None None 5.4 Equipment Qualification Reg. Guide. 1.100, IEEE Std 344 Reg. Guide 1.209.
IEEE-323 Reg. Guide 1.180, IEEE 1050 MIL - STD-461E IEC 61000 IEEE C62.41 IEEE C62.45 EPRI TR-102323 Describe program, and site specific bounding envelope, test plan EMI, Temperature, Humidity, and Seismic testing plans Qualification test procedures and summary of final EMI, Temperature, Humidity, and Seismic testing results Individual completed test procedures /
reports None
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 5.5 System Integrity SRP BTP 7-2 and 7-14, IEEE 7-4.3.2 Description of the safety system design System Requirements Specification and Design Analysis Report V&V report on analysis of System Requirements Specification Individual V&V Problem reports up to FAT All Individual V&V Problem reports 5.6 Independence Reg. Guide 1.75, IEEE 384 Description of the physical and electrical independence 5.7 Capability for Reg. Guide 1.22, Reg.
Description of the capability for test and calibration 5.8 Information Displays Reg. Guide 1.47 See also Section 5.14 Description of the Information displays 5.9 Control of Access See Cyber Security below 5.10 Repair SPR BTP 7-17 Describe how the system design facilitates repair.
System Requirements Specification and Design Analysis Report V&V report on analysis of System Requirements Specification Individual V&V Problem reports up to FAT All Individual V&V Problem reports 5.11 Identification IEEE 384, 420, and 494, RG 1.75, SRP BTP 7-14, SRP App.
7.1D.
Describe how components will be identified 5.12 Auxiliary Features N/A Description of Auxiliary Features
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 5.13 Multi-Unit Stations IEEE 308 and 379 Description of the shared components between Multi Unit Stations 5.14 Human Factors Considerations See separate table below: Chapter 18, Human Factors 5.15 Reliability IEEE 352 and 577 Description of system reliability analysis Preliminary (not docketed) FMEA Final FMEA None None 6 Sense and Command Features - Functional and Design Requirements 6.1 Automatic Control SRP BTP 7-12 and 7-21 Description of Sense and Command Features System Requirements Specifications; Hardware &
Software Architecture Descriptions; and Design Analysis Report None Vendor Build Documentation Site Installation Documentation 6.2 Manual Control RG 1.62 6.3 Interaction between the Sense and Command Features and Other Systems GDC 24
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 6.4 Derivation of System Inputs Ch.15 of SAR 6.5 Capability for Testing and Calibration SRP BTP 7-17 6.6 Operating Bypasses SRP 7-6 6.7 Maintenance Bypass SRP 7-6 6.8 Set points Reg. Guide 1.105 and ISA S67.04, SRP BTP 7-12 Description of the set point methodology Draft Set point methodology Final Set point methodology Set point calculations 7 Execute Features Functional And Design Requirements
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 7.1 Automatic Control SRP BTP 7-12 and 7-21 Description of the execute features System Requirements Specifications; Hardware &
Software Architecture Descriptions; and Design Analysis Report None Vendor Build Documentation Site Installation Documentation 7.2 Manual Control IEEE 308, RG 1.62 System Requirements Specifications; Hardware Descriptions; and Design Analysis Report None Vendor Build Documentation Site Installation Documentation 7.3 Completion of Protective Action 7.4 Operating Bypass 7.5 Maintenance Bypass
DRAFT SRP Appendix 7.1-C - Guidance for Evaluation of Conformance to IEEE Std 603 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation (not needed for SER) 8 Power Source Requirements IEEE 308 Description of the Power Source Requirements System Requirements Specifications; Hardware Descriptions; and Design Analysis Report None Vendor Build Documentation Site Installation Documentation
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 4.0 Safety
System Design
Basis No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.0 Safety System Criteria 5.1 Single-Failure Criterion No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.2 Completion of Protective Action SRP BTP 7.1-6 and 7.1-C No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 Safety Analysis V&V Report on Safety Analysis None None
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 5.3 Quality See separate table below: BTP 7-14:
Software Program Plan, 10 CFR App. B, IEEE 603, 1012, 828, 1042, and 1540, IEC 12207.0 and 60880-2, SRP BTP 7.1-6 and 7-14, RG 1.152, 1.168, and 1.169, EPRI TR-106439 and TR-107330 Software lifecycle documentation See Table on SRP BTP 7-14: Software Program Plan 5.3.1 Software development See Table on SRP BTP 7-14: Software Program Plan 5.3.2 Software tools IEEE 7-4.3.2 section 5.3.2 Description of Software Tool Verification Program Software Tool Verification Program Software Tool Analysis Report None None 5.3.3 Verification and validation IEEE Std 1012-1998 See Table on SRP BTP 7-14: Software Program Plan
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 5.3.4 Independent V&V requirements IEEE Std 1012-1998 See Table on SRP BTP 7-14: Software Program Plan 5.3.5 Software configuration management IEEE Std 1042-1987 IEEE Std 828-1998 See Table on SRP BTP 7-14: Software Program Plan 5.3.6 Software project risk management IEEE/EIA 12207.0-1996 IEEE Std 1540-2001 Description of Software Project Risk Management Program Software Project Risk Management Program Software Project Risk Management Report None None 5.4 Equipment Qualification See Sections 5.4.1 and 5.4.2 below
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 5.4.1 Computer System Testing Reg. Guide 1.170, IEEE 829, and Reg.
Guide 1.171, IEEE 1008 Description of Test program Test Plan Test procedures; Final Test Reports; V&V report on Test plans and Procedures; and Summary of Test Results (Including FAT)
Installation Test Plans and procedures.
Completed test procedure reports (Including FAT)
SAT Test Reports; Installation Test Reports, V&V Report on Installation Test 5.4.2 Qualification of Existing Commercial Computer 10 CFR 50 App. B, SRP App 7.1-C and BTP 14, EPRI TR-106439 and TR-107330 Summary description of the plans to qualify commercial computer equipment Commercial Grade Dedication Plans Final Commercial Grade Dedication Procedures; COTS Dedication Report; V&V Analysis of COTS Dedication Program Completed test procedure reports None
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 5.5 System Integrity IEEE 603, SRP App. 7.1-C Description of the Design for computer integrity, test and calibration; and Fault detection and self-diagnostics Design Report on computer integrity, test and calibration; and Fault detection and self-diagnostics V&V reports on System Requirements Specifications; Detailed system and hardware drawings, schematics, and software code listings.
None 5.6 Independence IEEE 603; GDC 24; SRP 7-9 and App 7.1-C; ISG on Communications Describe the communications independence Description of system in sufficient detail to determine compliance with the ISG on Communications None Detailed system and hardware drawings, schematics, and software code listings.
None 5.7 Capability for Test and Calibration No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.8 Information Displays No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.9 Control of Access See Cyber Security below 5.10 Repair No requirements beyond those in SRP Appendix 7.1-C and IEEE 603
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 5.11 Identification IEEE 7-4.3.2, Section 5.11 Description of the Hardware, Firmware and Software Identification Methods System Requirements Specifications; Hardware Description System Requirements Specifications; Hardware Description Final design description Detailed System &
Hardware drawings and schematics, code listings, Vendor Build Documentation None 5.12 Auxiliary Features No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.13 Multi-Unit Stations No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 5.14 Human Factors Considerations No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 See separate table below: Chapter 18, Human Factors 5.15 Reliability IEEE 7-4.3.2, Section 5-15 If reliability goals are Required, the method of meeting the goals, include the software Preliminary (non-docketed) FMEA and Reliability Analysis Final FMEA and Reliability Analysis None None
DRAFT SRP Appendix 7.1-D - Guidance for Evaluation of Conformance to IEEE Std 7-4.3.2 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation 6 Sense and Command Features No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 7 Execute Features No requirements beyond those in SRP Appendix 7.1-C and IEEE 603 8 Power Source Requirements No requirements beyond those in SRP Appendix 7.1-C and IEEE 603
DRAFT Cyber Security Requirements (Completion of this table is assigned to TWG-1 on Cyber Security) 1 2
3 4
5 6
7 SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation C.I.7.C-2 Cyber Security Requirements Concepts Phase RG 1.152, Regulatory Positions 2.1 through 2.9 Alternately use NEI 04-04 as revised and ISG on Cyber Security IEEE 603 Stand alone submittal; Sensitive information
- withhold from public disclosure pursuant to
§2.390.
Incorporate by reference pursuant to
§50.32 Address developer actions as well as licensees Address Reg. Guide 1.152 on how you have or will meet the Reg. Guide.
Cyber Security Programmatic Documents - Plans and procedures V&V Report on cyber security aspect of software and system design.
None None Requirements Phase Design Phase Implementation Phase Test Phase Installation, Checkout, and Acceptance Testing Operation Maintenance Retirement
DRAFT
DRAFT Chapter 18 - Human Factors Engineering (Completion of this table is assigned to TWG-4 on Human Factors) 1 2
3 4
5 6
7 NUREG 0711 Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation HFE Program Management IEEE Std 1023, 1988, NUREG-0711 and ISG Summary description HFE program plan V&V Report on HFE program Plan Details to support plan summary, e.g.,
quals of team members, tracking system None Operating Experience Review Summary description of significant safety findings Operating Experience Review Plan Operating Experience Review Report Operating Experience Tracking Items None Functional Requirements Analysis Summary description of significant changes from past practice FRA and FA document None FRA Results Report Plan for updating FRA /
FA Task Analysis Task Analysis Task Analysis Plan Summary Report on Task Analysis Results Design inputs derived from task analysis Task analysis documentation Staffing &
Qualifications Define minimum operational staffing Staffing plan Final justification of operating staffing Changes to staffing plan None Human Reliability Analysis Human Reliability Analysis Integration of Human Reliability Analysis into plant design Human Reliability Analysis Results Design inputs derived from HRA analysis Completed HRA Reports and Documents
DRAFT Chapter 18 - Human Factors Engineering (Completion of this table is assigned to TWG-4 on Human Factors) 1 2
3 4
5 6
7 NUREG 0711 Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Human-System Interface Design Conceptual Design Plan Final Design Summary Description HF Design Input /
Requirements documentation prototyping /
Test results final description Procedure Development SRP Chapter 13 GTGs / EPGs Generic EOPs on PSTGs V&V Results report Final approved procedures Training Program Development SRP Chapter 13 Training program planning documentation Training program manuals and schedule Course materials Assessment Plan None Human Factors V&V IEEE Std 1023, 1988, NUREG-0711 V&V Planing documentation Final V&V Reports, summary Individual V&V Problem reports V&V Results /
Resolutions Design Implementation IEEE 603 System Requirements Specifications; Hardware Description System Requirements Specifications; and Hardware Description None None None
DRAFT Chapter 18 - Human Factors Engineering (Completion of this table is assigned to TWG-4 on Human Factors) 1 2
3 4
5 6
7 NUREG 0711 Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Human Performance Monitoring IEEE Std 1023, 1988, NUREG-0711 None None None None None
DRAFT SRP BTP 7-14: Software Program Plan 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Software Management Plan RG 1.173 and 1.152, IEEE Std 1074 NUREG/CR 6101 IEEE Std 7-4.3.2, BTP 7-14 Reg. Guide 1.172, IEEE 830 Reg. Guide 1.168, IEEE 1012 Reg. Guide 1.169, IEEE 828 and 1042 Summary description of overall software life cycle process Summary description of Plans, plus hardware & software architecture Software Management Plan Software Requirements Specification Software Design Specification Software Management implementing procedures V&V report on the System build documents Operations manuals Code listings None Software Development Plan RG 1.173, RG 1.152, IEEE Std 1074 NUREG/CR 6101 and 6463, IEEE Std 7-4.3.2, BTP 7-14 Software Development Plan; Hardware &
software architecture V&V report on the Installation configuration tables Individual V&V Problem reports up to FAT All Individual V&V Problem reports Software QA Plan 10 CFR 50, App. B, IEEE 1074, RG 1.173, NUREG/CR 6101 Software QA Plan /
Procedures V&V report on the Software QA Plan Individual V&V Problem reports up to FAT All Individual V&V Problem reports
DRAFT SRP BTP 7-14: Software Program Plan 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Software Integration Plan RG 1.173, IEEE Std 1074 NUREG/CR 6101 Software Integration Plan V&V Report on Software Integration Plan Final configuration tables Final Software Integration Report; Individual V&V Problem reports up to FAT All Individual V&V Problem reports Software Installation Plan RG 1.173, IEEE Std 1074 and 1012, NUREG/CR 6101 Software Installation Plan V&V report on the Installation Plan, Installation Procedures, Final configuration lists Individual V&V Problem reports up to FAT Final Installation Report Software Maintenance Plan RG 1.152, IEEE 7-4.3.2, NUREG/CR 6101 Software Maintenance Plan V&V report on the Maintenance Plan Individual V&V Problem reports up to FAT, Maintenance manuals All Individual V&V Problem reports Software Training Plan IEEE 1074, NUREG/CR 6101 Software Training Plan V&V report on the Training Plan Individual V&V Problem reports up to FAT; and Training manuals & course material All Individual V&V Problem reports
DRAFT SRP BTP 7-14: Software Program Plan 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Software Operations Plan RG 1.152 Software Operations Plan V&V report on the Operations Plan; Operations Manual Operations procedures Individual V&V Problem reports up to FAT All Individual V&V Problem reports Software Safety Plan NUREG/CR 6101, RG 1.173, IEEE-1228 Software Safety Plan V&V report on the Software Safety Plan Individual V&V Problem reports up to FAT All Individual V&V Problem reports
DRAFT SRP BTP 7-14: Software Program Plan 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Software V&V Plan RGs 1.152, 1.168, 1.170 and 1.171, IEEE 7-4.3.2, 829, 1012, 1008, and
- 1028, NUREG/CR 6101 Software V&V Plan and procedures V&V Requirements Analysis Report V&V Design Analysis Report V&V Implementation Analysis & Test Report V&V Integration Analysis & Test Report V&V Validation &
Test Report V&V Change Report Individual V&V Problem reports up to FAT All Individual V&V Problem reports
DRAFT SRP BTP 7-14: Software Program Plan 1
2 3
4 5
6 7
SRP Section Requirements &
Standards (guidance)
Describe how met in submittal Documents needed to be docketed prior to acceptance for review Documents needed to be docketed within 6 months after acceptance (prior to SER)
Documents Available for Audit
- non docketed (prior to SER)
Documents available for audit prior to operation Software CM Plan RG 1.152 and 1.173, IEEE Std 7-4.3.2, 828, and 1074, Reg.
Guide 1.169, NUREG/CR 6101 Software CM Plan V&V report on the Initial CM Report, Final System Configuration Documentation, Individual V&V Problem reports up to FAT Configuration Management Reports None Software Test Plan Reg. Guide 1.170, IEEE 829 Reg. Guide 1.171, IEEE 1008 Software Test Plan V&v Report on Software Test Plan Software Test Procedures (unit and integration test)
Individual completed test procedures.
None
Consolidated List of Documents Required for Acceptance Review In Accordance with Column 4 in Tables in TWG 6 ISG Documents Needed to Be Docketed Prior to Acceptance for Review 1.
Commercial Grade Dedication Plans 2.
D3 Analysis 3.
Description of system in sufficient detail to determine compliance with the ISG on Communications 4.
Design Analysis Report 5.
Design Report on computer integrity, test and calibration; and Fault detection and self-diagnostics 6.
Detailed theory of operation description.
7.
Draft Set point methodology 8.
EMI, Temperature, Humidity, and Seismic testing plans 9.
Software QA Plan / Procedures 10.
System description to block diagram level 11.
Hardware & Software Architecture Descriptions 12.
Preliminary FMEA (non-docketed) 13.
Quality Assurance Plan for digital hardware and software 14.
Reliability Analysis 15.
Safety Analysis 16.
System Requirements Specification 17.
Test Plan 18.
Software Life Cycle Documentation a.
Software CM Plan b.
Software Design Specification c.
Software Development Plan; d.
Software Installation Plan e.
Software Integration Plan f.
Software Maintenance Plan g.
Software Management Plan h.
Software Operations Plan I.
Software Project Risk Management Program j.
Software Requirements Specification k.
Software Safety Plan l.
Software Test Plan m.
Software Tool Verification Program n.
Software Training Plan o.
Software V&V Plan and procedures
Consolidated List of Documents Required for System Review In Accordance with Column 5 in Tables in TWG 6 ISG Documents Needed to Be Docketed Within Six Months after Acceptance 1.
Commercial Grade Dedication Report 2.
Commercial Grade Dedication Procedures 3.
Design Analysis Report 4.
Final configuration lists 5.
Final configuration tables 6.
Final design description 7.
Final FMEA 8.
Final logic diagrams.
9.
Final Reliability Analysis 10.
Final Report on acceptance of commercial grade dedication 11.
Final Set point methodology 12.
Final System Configuration Documentation, 13.
Final Test Reports; 14.
Installation Test Plans and procedures.
15.
Operations manuals 16.
Qualification test procedures 17.
Quality Assurance Procedures for digital hardware and software 18.
Summary of final EMI, Temperature, Humidity, and Seismic testing results 19.
Summary of Test Results (Including FAT) 20.
Test procedures; 21.
Testing procedures and EMI, Temperature, Humidity, and Seismic testing results 22.
Software Life Cycle Documentation a.
Software Management implementing procedures b.
Software Project Risk Management Report c.
Software Test Procedures (unit and integration test) d.
Software Tool Analysis Report 23.
V&V Reports a.
V&V Analysis of COTS Dedication Program b.
V&V Change Report c.
V&V Design Analysis Report d.
V&V Implementation Analysis & Test Report e.
V&V Integration Analysis & Test Report f.
V&V Report on the Installation Procedures g.
V&V Report on the Installation configuration tables h.
V&V Report on the Installation Plan I.
V&V Report on the System build documents j.
V&V Report on the Training Plan k.
V&V Report on the Operations Plan; l.
V&V Report on the Initial CM Report m.
V&V Report on the Software Safety Plan n.
V&V Report on analysis of System Requirements Specification o.
V&V Report on the Software QA Plan p.
V&V Report on the Maintenance Plan q.
V&V Report on Test plans and Procedures r.
V&V Report on Software Integration Plan
s.
V&V Report on Safety Analysis t.
V&V Report on Software Test Plan u.
V&V reports on System Requirements Specifications; v.
V&V Requirements Analysis Report w.
V&V Validation & Test Report
Consolidated List of Documents Required for Audit In Accordance with Column 6 in Tables in TWG 6 ISG Documents Available for Audit - non docketed 1.
Completed test procedure / reports (Including FAT) 2.
Configuration Management Reports 3.
Detailed system and hardware drawings 4.
Detailed System & Hardware drawings 5.
Final circuit schematics 5.
Final Software Integration Report; 7.
Individual completed test procedures / reports 8.
Individual V&V Problem reports up to FAT 9.
Maintenance manuals 10.
Operations procedures 11.
Set point calculations 12.
Software code listings.
13.
Training manuals & course material 14.
Vendor Build Documentation
Consolidated List of Documents Required for Audit In Accordance with Column 7 in Tables in TWG 6 ISG Documents available for audit prior to operation 1.
All Individual V&V Problem reports 2.
Final Installation Report 3.
Final Test Reports; 4.
Installation Test Reports 5.
Site Acceptance Test Reports 6.
Site Installation Documentation 7.
Completed Test procedures; 8.
Summary of Test Results (Including FAT) 9.
V&V report on Test plans and Procedures 10.
V&V Report on Installation Test