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{{#Wiki_filter:Enclosure B: Page 1 of 4 ENCLOSURE B, "Documents to be Submitted" Enclosure B Information to be Provided in Support of a Digital I&C Upgrade License Amendment Request Note: The list of information to be submitted is only a representation a typical system modification. Specific system modifications may require different information depending on the scope and complexity of the modification being performed to support NRC evaluation requirements. This enclosure can be used as a cross reference or checklist for addressing the descriptive material provided in the body of this ISG. This enclosure is intended to be used in conjunction with the referenced sections.
{{#Wiki_filter:Enclosure B Information to be Provided in Support of a Digital I&C Upgrade License Amendment Request Note: The list of information to be submitted is only a representation a typical system modification.
Specific system modifications may require different information depending on the scope and complexity of the modification being performed to support NRC evaluation requirements.
This enclosure can be used as a cross reference or checklist for addressing the descriptive material provided in the body of this ISG. This enclosure is intended to be used in conjunction with the referenced sections.
Enclosure B: Page 1 of 4                                ENCLOSURE B, Documents to be Submitted


Enclosure B: Page 1 of 4 ENCLOSURE B, "Documents to be Submitted" 09/18/2017 Proposed Table 1, Documents to be Submitted with the LAR Formatted: Font: Bold, Font color: Purple Formatted: Font: Bold, Italic, Font color: Purple Formatted: Font: Bold, Font color: Purple Enclosure B: Page 2 of 4 ENCLOSURE B, "Documents to be Submitted" Tier Plant Specific InformationDocuments to be Submitted with the LAR (Phase 1)
09/18/2017 Proposed Table 1, Documents to be Submitted with the LAR                     Formatted: Font: Bold, Font color: Purple Formatted: Font: Bold, Italic, Font color: Purple Formatted: Font: Bold, Font color: Purple Enclosure B: Page 1 of 4                       ENCLOSURE B, Documents to be Submitted
A1 1 2 3 1.1 X    Software Architecture Descriptions (D.3.2, D.4.4.3.2) 1.2 X    Summary of Application Software and other Planning and Processes to be performed 1.3 X    System Interfaces to the Plant, Operator, Maintainer, and Engineer1.4 X    System Response Time Requirements 1.5 X X X  Comparison of Plant Specific Environmental Conditions to Platform Capabilities and Gap Resolution Plan 1.6 X X X  Resolution of all Platform Topical Report / Safety Evaluation Report Application Specific Action Items (ASAIs) 1.7 X X X X System Description Drawings (To block diagram level) (new D.19.2, D.10.2) 1.8 X X X X System Architecture Descriptions Drawings (new D.21.2) 1.9 X X X X Defense-in-Depth and Diversity (D3) Analysis (new D.2.4.46.2) New X    System Requirements Specification (new D.2.2.2) New X    System Level FMEA (new D.2.4.1) New X X X X Technical Specification changes (new D.7) 1.10 X X X X Summary of Setpoint Methodology and Setpoint Calculations Discussion of Basis for Safety Limit Changes (D.9.4.3.8, D.11) (Only required when safety limits are being changed) 1.11 X X X X Summary of Vulnerability Assessment (D.12.4.1) 1.12 X X X X Summary of Secure Development and Operational Environment Controls to be applied (D.12.2) 1.13 X X X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 (new D.6) 1.14  X X X System Response Time Analysis Report (D.9.4.2.4) 1.15  X X X Software Requirements Specification (D.4.4.3.1) 1.16  X X X Software Design Specification (D.4.4.3.3) 1.17  X X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6) 1.18  X X Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10, D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6, D.9.4.3.7, D.9.4.4) 1.19  X X Design Report on Computer integrity, Test and Calibration, and Fault Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5, D.10.4.2.7) 1.20  X X Commercial Grade Dedication Plan (D.10.4.2.4.2) 1.21    X Quality Assurance Plan for Digital Hardware(D.2.2)1.22    X Vendor Software Plan For Platform Software (D.10.4.2.3.1) 1.23    X Equipment Qualification Testing Plans (Including EMI, Temperature, Humidity, and Seismic) (D.5.2) 1.24    X Software Tool Verification Program (D.10.4.2.3.2)
Commented [PG1]: Title of Enc B is "Documents to be Submitted". Enc B Table 1 should contain only documents submitted with the LAR. It does not need to list all of the LAR sub-parts - that is covered by ISG-06 text. Formatted: Font: Not Bold Formatted: Font: Not Bold Formatted: Font: Not Bold Formatted: Font: Italic Formatted: Font: Not Bold Formatted: Font: Italic Formatted: Font: Not Bold Formatted: Font: Not Bold, Italic Formatted: Font: Not Bold Formatted: Font: Italic Formatted: Font: Not Bold Formatted: Font: Not Bold, Not Italic Enclosure B: Page 2 of 4 ENCLOSURE B, "Documents to be Submitted" Tier Plant Specific Information Submitted with LAR (Phase 1)
A1 1 2 3  X X X X D.1 Plant System Description X X X X D.2 System Architecture  X X X  D.3 (Summary of) Modification Hardware Planning and Processes  X    D.4 (Summary of) Application Software Planning and Processes  X X X  D.5 Platform Topical Report SE Report  X X X X D.6 (Unified Compliance Matrix for) IEEE Stds. 603 and 7-4.3.2  X X X X D.7 (Changes to) Technical Specifications  X X X X D.8 Vulnerability Assessment and Secure Development and Operational Environment 1.1 X    Software System Architecture Descriptions(D.3.2, D.4.4.3.2)[D.2]1.2 X    Summary of Application Software and other Planning and Processes to be performed [D.3] 1.3 X    System Interfaces to the Plant, Operator, Maintainer, and Engineer
[D.2] 1.4 X    System Response Time Requirements [D.2] 1.5 X X X  Comparison of Plant Specific Environmental Conditions to Platform Capabilities and Gap Resolution Plan [D.3] 1.6 X X X  Resolution of all Platform Topical Report / Safety Evaluation Report Application Specific Action Items (ASAIs) [D.5] 1.7 X X X X System Description (To block diagram level)(D.9.2, D.10.2)[D.1]1.8 X X X X System Architecture Descriptions (D.1.2) [D.2] 1.9 X X X X Defense-in-Depth and Diversity (D3) Analysis (D.6.2) [D.2] 1.10 X X X X Summary of Setpoint Methodology and Setpoint Calculations Discussion of Basis for Safety Limit Changes [D.2, D.7]
(D.9.4.3.8, D.11) (Only required when safety limits are being changed) 1.11 X X X X Summary of Vulnerability Assessment (D.12.4.1)  [D.8] 1.12 X X X X Summary of Secure Development and Operational Environment Controls to be applied (D.12.2) [D.8] 1.13 X X X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 [D.6] The content below (Tier 1, 2, and 3) is to be added to the outline at "D.9" and below 1.14  X X X System Response Time Analysis Report (D.9.4.2.4) 1.15  X X X Software Requirements Specification (D.4.4.3.1) 1.16  X X X Software Design Specification (D.4.4.3.3) 1.17  X X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6) 1.18  X X Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10, D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6, D.9.4.3.7, D.9.4.4) 1.19  X X Design Report on Computer integrity, Test and Calibration, and Fault Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5, D.10.4.2.7) 1.20  X X Commercial Grade Dedication Plan (D.10.4.2.4.2) 1.21    X Quality Assurance Plan for Digital Hardware (D.2.2) Formatted... [1]Formatted... [2]Formatted... [3]Formatted... [4]Formatted... [5]Formatted... [6]Formatted... [7]Formatted... [8]Formatted... [9]Formatted... [10]Formatted... [11]Formatted... [12]Formatted... [13]Formatted... [14]Formatted... [15]Formatted... [16]Formatted... [17]Formatted... [18]Formatted... [19]Formatted... [20]Formatted... [21]Formatted... [22]Formatted... [23]Formatted... [24]Formatted... [25]Formatted... [26]Formatted... [27]Formatted... [28]Formatted... [29]Formatted... [30]Formatted... [31]Formatted... [32]Formatted... [33]Formatted... [34]Formatted... [35]Formatted... [36]Formatted... [37]Formatted... [38]Formatted... [39]Formatted... [40]
Enclosure B: Page 2 of 4 ENCLOSURE B, "Documents to be Submitted" 1.22    X Vendor Software Plan For Platform Software (D.10.4.2.3.1) 1.23    X Equipment Qualification Testing Plans (Including EMI, Temperature, Humidity, and Seismic) (D.5.2) 1.24    X Software Tool Verification Program (D.10.4.2.3.2)


Enclosure B: Page 3 of 4 ENCLOSURE B, "Documents to be Submitted" Tier Submitted prior to requested approval (Phase 2) Note: Phase 2 does not apply to Alternate Tier 1 applications. 1 2 3 2.1 X X X Safety Analysis (D.4.4.2.1) 2.2 X X X As-Manufactured, System Configuration Documentation (D.4.4.2.3) 2.3 X X X Summary Test Reports (Including Test Results up to FAT) (D.4.4.2.4) 2.4 X X X As-Manufactured Logic Diagrams (D.9.2) 2.5 X X X System Response Time Confirmation Report (D.9.4.2.4) 2.6 X X X Reliability Analysis (D.9.4.2.15, D.10.4.2.15) 2.7 X X X Setpoint Calculations (D.9.4.3.8) Only required if setpoints are being changed.2.8 X X Platform Level Failure Modes and Effects Analysis (D.9.4.2.1.1) 2.9 X X Summary of Digital EMI, Temp., Humidity, and Seismic Testing Results (D.5.2) 2.10  X X Software Tool Analysis Report (D.10.4.2.3.2) 2.11  X X Commercial Grade Dedication Report(s) (D.10.4.2.4.2)
Tier      Plant Specific InformationDocuments to be Submitted with the A1  1 2 3    LAR (Phase 1)                                                         Commented [PG1]: Title of Enc B is Documents to be 1.1   X             Software Architecture Descriptions (D.3.2, D.4.4.3.2)                  Submitted. Enc B Table 1 should contain only documents submitted with the LAR. It does not need Summary of Application Software and other Planning and Processes      to list all of the LAR sub-parts - that is covered by ISG-1.2    X to be performed                                                        06 text.
Tier Available for audit prior to requested approval A1 1 2 3 3.1 - 3.8 X  X Documents that Describe the System and Software Development ProcessesSoftware Management Plan (D.4.4.1.1, D.4.4.1.2, D.4.4.1.3, D.10.4.2.3.1, D.4.4.1.4, D.4.4.1.9, D.4.4.1.10, D.4.4.1.11, and D.4.4.1.12
1.3    X            System Interfaces to the Plant, Operator, Maintainer, and Engineer 1.4   X             System Response Time Requirements Comparison of Plant Specific Environmental Conditions to Platform 1.5   X   X X Capabilities and Gap Resolution Plan Resolution of all Platform Topical Report / Safety Evaluation Report 1.6   X   X X Application Specific Action Items (ASAIs)
) [vendor and utility in D.4] 3.2 X  X Software Development Plan (D.4.4.1.2) 3.3 X   X Software QA Plan (D.4.4.1.3, D.10.4.2.3.1) 3.4 X  X Software Integration Plan (D.4.4.1.4) 3.5 X   X Software Safety Plan (D.4.4.1.9) 3.6 X  X Software V&V Plan (D.4.4.1.10) 3.7 X  X Software Configuration Management Plan (D.4.4.1.11) 3.8 X  X Software Test Plan (D.4.4.1.12) 3.9 X X X X V&V Summary Reports (for Available Phases)
System Description Drawings (To block diagram level) (new D.19.2,     Formatted: Font: Not Bold 1.7   X  X X X D.10.2) 1.8   X  X X X     System Architecture Descriptions Drawings (new D.21.2)                Formatted: Font: Not Bold 1.9   X  X X X     Defense-in-Depth and Diversity (D3) Analysis (new D.2.4.46.2)         Formatted: Font: Not Bold New    X             System Requirements Specification (new D.2.2.2)
(D.4.4.2.2) [D.4] 3.10 X X X X Requirement Traceability Matrix (for Available Phases) (D.9.4.2) [D.4] 3.11 X X X X Validation Test Planrocedure and System Test Design s Specifications (D.4.4.2.4)
Formatted: Font: Italic New    X             System Level FMEA (new D.2.4.1)
[D.4] 3.12 .XX. X X X System Level Failure Modes and Effects Analysis 3.13 X X X X Configuration Management Status Accounting Reports (for Available Phases) (D.4.4.2.3) [D.4] 3.14  X X X System Build Documents ( D.4.4.3.5) 3.15  X X X Software Integration Report (D.4.4.1.4, D.4.4.2.2) 3.16  X X X Completed Test Procedures and Reports (D.4.4.2.4, D.5.2) 3.17  X X X Test Incident Reports (D.4.4.2.4) 3.18 X X X Code Listings (D.4.4.3.4) 3.19  X X X Software Project Risk Management Report(D.10.4.2.3.6)3.20  X X X Software Project Risk Management Program (D.10.4.2.3.6) 3.21    X Equipment Qualification Test Methodologies (D.5.2) Table 3 items are snapshots in time of vendor process execution. These items are available for audit to demonstrate that the licensee and vendor are complying with the process described in LAR Section D.4.
New    X  X X X     Technical Specification changes (new D.7)                              Formatted: Font: Not Bold Summary of Setpoint Methodology and Setpoint Calculations              Formatted: Font: Italic 1.10   X  X X X     Discussion of Basis for Safety Limit Changes                          Formatted: Font: Not Bold (D.9.4.3.8, D.11) (Only required when safety limits are being changed)
Formatted:
Formatted: Font: Not Bold, Italic 1.11   X  X X X    Summary of Vulnerability Assessment (D.12.4.1)
Strikethrough Formatted:
Summary of Secure Development and Operational Environment              Formatted: Font: Not Bold 1.12   X   X X X Controls to be applied (D.12.2)                                       Formatted: Font: Italic 1.13  X   X   X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 (new D.6)      Formatted: Font: Not Bold 1.14      X   X X System Response Time Analysis Report (D.9.4.2.4)
Strikethrough Formatted:
Formatted: Font: Not Bold, Not Italic 1.15      X   X X Software Requirements Specification (D.4.4.3.1) 1.16      X   X X Software Design Specification (D.4.4.3.3) 1.17      X   X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6)
Strikethrough Formatted:
Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10, 1.18           X X D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6, D.9.4.3.7, D.9.4.4)
StrikethroughCommented [MB2]: Revised to focus on I&C system validation testing and align with associated IEEE 102 expectations for development through the design stage. Formatted:
Design Report on Computer integrity, Test and Calibration, and Fault 1.19            X X  Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5, D.10.4.2.7) 1.20            X X Commercial Grade Dedication Plan (D.10.4.2.4.2) 1.21              X Quality Assurance Plan for Digital Hardware (D.2.2) 1.22              X Vendor Software Plan For Platform Software (D.10.4.2.3.1)
Strikethrough Formatted: Strikethrough, Highlight Formatted:
Equipment Qualification Testing Plans (Including EMI, Temperature, 1.23              X Humidity, and Seismic) (D.5.2) 1.24              X Software Tool Verification Program (D.10.4.2.3.2)
Highlight Formatted: Strikethrough, Highlight Formatted Table Formatted:
Enclosure B: Page 2 of 4                           ENCLOSURE B, Documents to be Submitted
Strikethrough Enclosure B: Page 4 of 4 ENCLOSURE B, "Documents to be Submitted" Tier Available for Inspection After Approval (Phase 3) A1 1 2 3 4.1 - 4.8 X X X X Plant Ddocuments that Describe the Process for Modifications, Maintenance, Operation, and TrainingSoftware Installation Plan (D.4.4.1.5, D.4.4.1.6, D.4.4.1.7, D.4.4.1.8, D.4.4.2.4, D.4.4.3.7, D.4.4.3.8, and D.4.4.3.9
) [handled by normal licensee operating procedures]
4.2 X X X X Software Maintenance Plan (D.4.4.1.6) 4.3 X X X X Software Training Plan (D.4.4.1.7) 4.4 X X X X Software Operations Plan (D.4.4.1.8) 4.5 X X X X Site Test Documentation (D.4.4.2.4) 4.6 X X X X Operations Manual (D.4.4.3.7) 4.7 X X X X Software Maintenance Manuals (D.4.4.3.8) 4.8 X X X X Software Training Manuals (D.4.4.3.9) 4.9  X X Installation Configuration Tables(D.4.4.3.6)
Formatted:
StrikethroughCommented [MB3]: Revised to make sure the table is clear that it is acceptable to use existing plant processes for these activities rather than create new documents as suggested in BTP 7-14.
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Tier      Plant Specific Information Submitted with LAR (Phase 1)
A1  1 2 3                                                                            Formatted  ... [6]
X  X X X    D.1 Plant System Description                                          Formatted  ... [7]
X  X X X    D.2 System Architecture                                                Formatted  ... [8]
X  X X      D.3 (Summary of) Modification Hardware Planning and Processes Formatted  ... [9]
X            D.4 (Summary of) Application Software Planning and Processes X  X X      D.5 Platform Topical Report SE Report                                  Formatted ... [10]
X  X X X D.6 (Unified Compliance Matrix for) IEEE Stds. 603 and 7-4.3.2            Formatted ... [11]
X  X X X D.7 (Changes to) Technical Specifications                                  Formatted ... [12]
D.8 Vulnerability Assessment and Secure Development and X X X X                                                                              Formatted ... [13]
Operational Environment 1.1    X            Software System Architecture Descriptions (D.3.2, D.4.4.3.2) [D.2]    Formatted ... [14]
Summary of Application Software and other Planning and Processes      Formatted ... [15]
1.2    X to be performed [D.3]                                                  Formatted ... [17]
System Interfaces to the Plant, Operator, Maintainer, and Engineer 1.3    X                                                                                    Formatted ... [18]
[D.2]
1.4    X            System Response Time Requirements [D.2]                                Formatted ... [19]
Comparison of Plant Specific Environmental Conditions to Platform      Formatted ... [16]
1.5    X X X Capabilities and Gap Resolution Plan [D.3]
Formatted ... [20]
Resolution of all Platform Topical Report / Safety Evaluation Report 1.6    X X X                                                                                Formatted ... [21]
Application Specific Action Items (ASAIs) [D.5]
1.7    X X X X System Description (To block diagram level) (D.9.2, D.10.2) [D.1]            Formatted ... [22]
1.8    X X X X System Architecture Descriptions (D.1.2) [D.2]                              Formatted ... [23]
1.9    X X X X Defense-in-Depth and Diversity (D3) Analysis (D.6.2) [D.2]
Formatted ... [24]
Summary of Setpoint Methodology and Setpoint Calculations 1.10    X X X X Discussion of Basis for Safety Limit Changes [D.2, D.7]                      Formatted ... [25]
(D.9.4.3.8, D.11) (Only required when safety limits are being changed) Formatted ... [26]
1.11    X X X X Summary of Vulnerability Assessment (D.12.4.1) [D.8]                        Formatted ... [27]
Summary of Secure Development and Operational Environment 1.12    X X X X                                                                              Formatted ... [28]
Controls to be applied (D.12.2) [D.8]
1.13    X X X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 [D.6]                Formatted ... [29]
The content below (Tier 1, 2, and 3) is to be added to the outline at D.9 and below            Formatted ... [30]
1.14        X X X System Response Time Analysis Report (D.9.4.2.4)                          Formatted ... [31]
1.15        X X X Software Requirements Specification (D.4.4.3.1)
Formatted ... [32]
1.16        X X X Software Design Specification (D.4.4.3.3) 1.17        X X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6)              Formatted ... [33]
Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10,    Formatted ... [34]
1.18            X X D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6,    Formatted ... [35]
D.9.4.3.7, D.9.4.4)
Formatted ... [36]
Design Report on Computer integrity, Test and Calibration, and Fault 1.19            X X Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5,      Formatted ... [37]
D.10.4.2.7)                                                            Formatted ... [38]
1.20            X X Commercial Grade Dedication Plan (D.10.4.2.4.2)                          Formatted ... [39]
1.21              X Quality Assurance Plan for Digital Hardware (D.2.2)
Formatted ... [40]
Enclosure B: Page 2 of 4                            ENCLOSURE B, Documents to be Submitted
 
1.22            X  Vendor Software Plan For Platform Software (D.10.4.2.3.1)
Equipment Qualification Testing Plans (Including EMI, Temperature, 1.23            X Humidity, and Seismic) (D.5.2) 1.24            X  Software Tool Verification Program (D.10.4.2.3.2)
Enclosure B: Page 2 of 4                          ENCLOSURE B, Documents to be Submitted
 
Tier      Submitted prior to requested approval (Phase 2) 1  2    3    Note: Phase 2 does not apply to Alternate Tier 1 applications.
2.1    X  X    X    Safety Analysis (D.4.4.2.1) 2.2    X  X    X    As-Manufactured, System Configuration Documentation (D.4.4.2.3) 2.3    X  X    X    Summary Test Reports (Including Test Results up to FAT) (D.4.4.2.4) 2.4    X  X    X    As-Manufactured Logic Diagrams (D.9.2) 2.5    X  X    X    System Response Time Confirmation Report (D.9.4.2.4) 2.6    X  X    X    Reliability Analysis (D.9.4.2.15, D.10.4.2.15) 2.7    X  X    X    Setpoint Calculations (D.9.4.3.8) Only required if setpoints are being changed.
2.8        X    X    Platform Level Failure Modes and Effects Analysis (D.9.4.2.1.1) 2.9        X    X    Summary of Digital EMI, Temp., Humidity, and Seismic Testing Results (D.5.2) 2.10        X    X    Software Tool Analysis Report (D.10.4.2.3.2) 2.11        X    X    Commercial Grade Dedication Report(s) (D.10.4.2.4.2)
Tier          Available for audit prior to requested approval A1    1    2    3 3.1                            Documents that Describe the System and Software Development
-                              ProcessesSoftware Management Plan (D.4.4.1.1, D.4.4.1.2, D.4.4.1.3, D.10.4.2.3.1, Formatted: Strikethrough X                X 3.8                            D.4.4.1.4, D.4.4.1.9, D.4.4.1.10, D.4.4.1.11, and D.4.4.1.12) [vendor and utility in D.4]
3.2    X                X    Software Development Plan (D.4.4.1.2) 3.3    X                X    Software QA Plan (D.4.4.1.3, D.10.4.2.3.1) 3.4    X                X    Software Integration Plan (D.4.4.1.4) 3.5    X                X    Software Safety Plan (D.4.4.1.9) 3.6    X                X    Software V&V Plan (D.4.4.1.10) 3.7    X                X    Software Configuration Management Plan (D.4.4.1.11) 3.8    X                X    Software Test Plan (D.4.4.1.12) 3.9    X    X    X    X    V&V Summary Reports (for Available Phases) (D.4.4.2.2) [D.4]                        Formatted: Strikethrough 3.10    X    X    X    X    Requirement Traceability Matrix (for Available Phases) (D.9.4.2) [D.4]              Formatted: Strikethrough 3.11    X                      Validation Test Planrocedure and System Test Designs Specifications (D.4.4.2.4)
X    X    X                                                                                        Formatted: Strikethrough
[D.4]
3.12    .XX                    System Level Failure Modes and Effects Analysis                                      Commented [MB2]: Revised to focus on I&C system X    X    X                                                                                        validation testing and align with associated IEEE 102
        .                                                                                                          expectations for development through the design Configuration Management Status Accounting Reports (for Available Phases)            stage.
3.13    X    X    X    X (D.4.4.2.3) [D.4]                                                                    Formatted: Strikethrough 3.14          X    X    X System Build Documents ( D.4.4.3.5)
Formatted: Strikethrough, Highlight 3.15          X    X    X Software Integration Report (D.4.4.1.4, D.4.4.2.2) 3.16          X    X    X Completed Test Procedures and Reports (D.4.4.2.4, D.5.2)                                Formatted: Highlight 3.17          X    X    X Test Incident Reports (D.4.4.2.4)                                                      Formatted: Strikethrough, Highlight 3.18          X    X    X Code Listings (D.4.4.3.4)                                                              Formatted: Strikethrough 3.19          X    X    X Software Project Risk Management Report (D.10.4.2.3.6)
Formatted Table 3.20          X    X    X Software Project Risk Management Program (D.10.4.2.3.6) 3.21                      X Equipment Qualification Test Methodologies (D.5.2)
Table 3 items are snapshots in time of vendor process execution. These items are available for audit to demonstrate that the licensee and vendor are complying with the process described in LAR Section D.4.
Enclosure B: Page 3 of 4                          ENCLOSURE B, Documents to be Submitted
 
Tier      Available for Inspection After Approval (Phase 3)
A1 1      2  3 4.1                    Plant Ddocuments that Describe the Process for Modifications, Maintenance,
-                      Operation, and TrainingSoftware Installation Plan (D.4.4.1.5, D.4.4.1.6, D.4.4.1.7, Formatted: Strikethrough X  X    X  X 4.8                    D.4.4.1.8, D.4.4.2.4, D.4.4.3.7, D.4.4.3.8, and D.4.4.3.9) [handled by normal      Commented [MB3]: Revised to make sure the table is licensee operating procedures]                                                      clear that it is acceptable to use existing plant 4.2  X  X    X  X    Software Maintenance Plan (D.4.4.1.6)                                              processes for these activities rather than create new documents as suggested in BTP 7-14.
4.3  X  X    X  X    Software Training Plan (D.4.4.1.7) 4.4  X  X    X  X    Software Operations Plan (D.4.4.1.8) 4.5  X  X    X  X    Site Test Documentation (D.4.4.2.4) 4.6  X  X    X  X    Operations Manual (D.4.4.3.7) 4.7  X  X    X  X    Software Maintenance Manuals (D.4.4.3.8) 4.8  X  X    X  X    Software Training Manuals (D.4.4.3.9) 4.9            X  X    Installation Configuration Tables (D.4.4.3.6)
Enclosure B: Page 4 of 4                          ENCLOSURE B, Documents to be Submitted
 
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Latest revision as of 17:16, 29 October 2019

Enclosure B All Tiers Mark B Version W New Table 1 Peg 20170919 DCH
ML17268A332
Person / Time
Issue date: 09/21/2017
From: Lynnea Wilkins
Licensing Processes Branch (DPR)
To:
Wilkins L, NRR/DPR, 415-1377
Shared Package
ML17268A332 List:
References
Download: ML17268A332 (4)
v • d • e


Text

Enclosure B Information to be Provided in Support of a Digital I&C Upgrade License Amendment Request Note: The list of information to be submitted is only a representation a typical system modification.

Specific system modifications may require different information depending on the scope and complexity of the modification being performed to support NRC evaluation requirements.

This enclosure can be used as a cross reference or checklist for addressing the descriptive material provided in the body of this ISG. This enclosure is intended to be used in conjunction with the referenced sections.

Enclosure B: Page 1 of 4 ENCLOSURE B, Documents to be Submitted

09/18/2017 Proposed Table 1, Documents to be Submitted with the LAR Formatted: Font: Bold, Font color: Purple Formatted: Font: Bold, Italic, Font color: Purple Formatted: Font: Bold, Font color: Purple Enclosure B: Page 1 of 4 ENCLOSURE B, Documents to be Submitted

Tier Plant Specific InformationDocuments to be Submitted with the A1 1 2 3 LAR (Phase 1) Commented [PG1]: Title of Enc B is Documents to be 1.1 X Software Architecture Descriptions (D.3.2, D.4.4.3.2) Submitted. Enc B Table 1 should contain only documents submitted with the LAR. It does not need Summary of Application Software and other Planning and Processes to list all of the LAR sub-parts - that is covered by ISG-1.2 X to be performed 06 text.

1.3 X System Interfaces to the Plant, Operator, Maintainer, and Engineer 1.4 X System Response Time Requirements Comparison of Plant Specific Environmental Conditions to Platform 1.5 X X X Capabilities and Gap Resolution Plan Resolution of all Platform Topical Report / Safety Evaluation Report 1.6 X X X Application Specific Action Items (ASAIs)

System Description Drawings (To block diagram level) (new D.19.2, Formatted: Font: Not Bold 1.7 X X X X D.10.2) 1.8 X X X X System Architecture Descriptions Drawings (new D.21.2) Formatted: Font: Not Bold 1.9 X X X X Defense-in-Depth and Diversity (D3) Analysis (new D.2.4.46.2) Formatted: Font: Not Bold New X System Requirements Specification (new D.2.2.2)

Formatted: Font: Italic New X System Level FMEA (new D.2.4.1)

New X X X X Technical Specification changes (new D.7) Formatted: Font: Not Bold Summary of Setpoint Methodology and Setpoint Calculations Formatted: Font: Italic 1.10 X X X X Discussion of Basis for Safety Limit Changes Formatted: Font: Not Bold (D.9.4.3.8, D.11) (Only required when safety limits are being changed)

Formatted: Font: Not Bold, Italic 1.11 X X X X Summary of Vulnerability Assessment (D.12.4.1)

Summary of Secure Development and Operational Environment Formatted: Font: Not Bold 1.12 X X X X Controls to be applied (D.12.2) Formatted: Font: Italic 1.13 X X X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 (new D.6) Formatted: Font: Not Bold 1.14 X X X System Response Time Analysis Report (D.9.4.2.4)

Formatted: Font: Not Bold, Not Italic 1.15 X X X Software Requirements Specification (D.4.4.3.1) 1.16 X X X Software Design Specification (D.4.4.3.3) 1.17 X X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6)

Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10, 1.18 X X D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6, D.9.4.3.7, D.9.4.4)

Design Report on Computer integrity, Test and Calibration, and Fault 1.19 X X Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5, D.10.4.2.7) 1.20 X X Commercial Grade Dedication Plan (D.10.4.2.4.2) 1.21 X Quality Assurance Plan for Digital Hardware (D.2.2) 1.22 X Vendor Software Plan For Platform Software (D.10.4.2.3.1)

Equipment Qualification Testing Plans (Including EMI, Temperature, 1.23 X Humidity, and Seismic) (D.5.2) 1.24 X Software Tool Verification Program (D.10.4.2.3.2)

Enclosure B: Page 2 of 4 ENCLOSURE B, Documents to be Submitted

Formatted ... [1]

Formatted ... [2]

Formatted ... [3]

Formatted ... [4]

Formatted ... [5]

Tier Plant Specific Information Submitted with LAR (Phase 1)

A1 1 2 3 Formatted ... [6]

X X X X D.1 Plant System Description Formatted ... [7]

X X X X D.2 System Architecture Formatted ... [8]

X X X D.3 (Summary of) Modification Hardware Planning and Processes Formatted ... [9]

X D.4 (Summary of) Application Software Planning and Processes X X X D.5 Platform Topical Report SE Report Formatted ... [10]

X X X X D.6 (Unified Compliance Matrix for) IEEE Stds. 603 and 7-4.3.2 Formatted ... [11]

X X X X D.7 (Changes to) Technical Specifications Formatted ... [12]

D.8 Vulnerability Assessment and Secure Development and X X X X Formatted ... [13]

Operational Environment 1.1 X Software System Architecture Descriptions (D.3.2, D.4.4.3.2) [D.2] Formatted ... [14]

Summary of Application Software and other Planning and Processes Formatted ... [15]

1.2 X to be performed [D.3] Formatted ... [17]

System Interfaces to the Plant, Operator, Maintainer, and Engineer 1.3 X Formatted ... [18]

[D.2]

1.4 X System Response Time Requirements [D.2] Formatted ... [19]

Comparison of Plant Specific Environmental Conditions to Platform Formatted ... [16]

1.5 X X X Capabilities and Gap Resolution Plan [D.3]

Formatted ... [20]

Resolution of all Platform Topical Report / Safety Evaluation Report 1.6 X X X Formatted ... [21]

Application Specific Action Items (ASAIs) [D.5]

1.7 X X X X System Description (To block diagram level) (D.9.2, D.10.2) [D.1] Formatted ... [22]

1.8 X X X X System Architecture Descriptions (D.1.2) [D.2] Formatted ... [23]

1.9 X X X X Defense-in-Depth and Diversity (D3) Analysis (D.6.2) [D.2]

Formatted ... [24]

Summary of Setpoint Methodology and Setpoint Calculations 1.10 X X X X Discussion of Basis for Safety Limit Changes [D.2, D.7] Formatted ... [25]

(D.9.4.3.8, D.11) (Only required when safety limits are being changed) Formatted ... [26]

1.11 X X X X Summary of Vulnerability Assessment (D.12.4.1) [D.8] Formatted ... [27]

Summary of Secure Development and Operational Environment 1.12 X X X X Formatted ... [28]

Controls to be applied (D.12.2) [D.8]

1.13 X X X X Unified Compliance Matrix for IEEE Stds. 603 & 7-4.3.2 [D.6] Formatted ... [29]

The content below (Tier 1, 2, and 3) is to be added to the outline at D.9 and below Formatted ... [30]

1.14 X X X System Response Time Analysis Report (D.9.4.2.4) Formatted ... [31]

1.15 X X X Software Requirements Specification (D.4.4.3.1)

Formatted ... [32]

1.16 X X X Software Design Specification (D.4.4.3.3) 1.17 X X X Design Analysis Reports (D.7.2, D.8.2, D.9.4.2.6, D.10.4.2.6) Formatted ... [33]

Theory of Operation Description (D.9.4.2.8, D.9.4.2.9, D.9.4.2.10, Formatted ... [34]

1.18 X X D.9.4.2.11, D.9.4.2.13, D.9.4.2.14, D.9.4.3.2, D.9.4.3.5, D.9.4.3.6, Formatted ... [35]

D.9.4.3.7, D.9.4.4)

Formatted ... [36]

Design Report on Computer integrity, Test and Calibration, and Fault 1.19 X X Detection (D.9.4.2.5, D.9.4.2.7, D.9.4.2.10, D.9.4.3.5, D.10.4.2.5, Formatted ... [37]

D.10.4.2.7) Formatted ... [38]

1.20 X X Commercial Grade Dedication Plan (D.10.4.2.4.2) Formatted ... [39]

1.21 X Quality Assurance Plan for Digital Hardware (D.2.2)

Formatted ... [40]

Enclosure B: Page 2 of 4 ENCLOSURE B, Documents to be Submitted

1.22 X Vendor Software Plan For Platform Software (D.10.4.2.3.1)

Equipment Qualification Testing Plans (Including EMI, Temperature, 1.23 X Humidity, and Seismic) (D.5.2) 1.24 X Software Tool Verification Program (D.10.4.2.3.2)

Enclosure B: Page 2 of 4 ENCLOSURE B, Documents to be Submitted

Tier Submitted prior to requested approval (Phase 2) 1 2 3 Note: Phase 2 does not apply to Alternate Tier 1 applications.

2.1 X X X Safety Analysis (D.4.4.2.1) 2.2 X X X As-Manufactured, System Configuration Documentation (D.4.4.2.3) 2.3 X X X Summary Test Reports (Including Test Results up to FAT) (D.4.4.2.4) 2.4 X X X As-Manufactured Logic Diagrams (D.9.2) 2.5 X X X System Response Time Confirmation Report (D.9.4.2.4) 2.6 X X X Reliability Analysis (D.9.4.2.15, D.10.4.2.15) 2.7 X X X Setpoint Calculations (D.9.4.3.8) Only required if setpoints are being changed.

2.8 X X Platform Level Failure Modes and Effects Analysis (D.9.4.2.1.1) 2.9 X X Summary of Digital EMI, Temp., Humidity, and Seismic Testing Results (D.5.2) 2.10 X X Software Tool Analysis Report (D.10.4.2.3.2) 2.11 X X Commercial Grade Dedication Report(s) (D.10.4.2.4.2)

Tier Available for audit prior to requested approval A1 1 2 3 3.1 Documents that Describe the System and Software Development

- ProcessesSoftware Management Plan (D.4.4.1.1, D.4.4.1.2, D.4.4.1.3, D.10.4.2.3.1, Formatted: Strikethrough X X 3.8 D.4.4.1.4, D.4.4.1.9, D.4.4.1.10, D.4.4.1.11, and D.4.4.1.12) [vendor and utility in D.4]

3.2 X X Software Development Plan (D.4.4.1.2) 3.3 X X Software QA Plan (D.4.4.1.3, D.10.4.2.3.1) 3.4 X X Software Integration Plan (D.4.4.1.4) 3.5 X X Software Safety Plan (D.4.4.1.9) 3.6 X X Software V&V Plan (D.4.4.1.10) 3.7 X X Software Configuration Management Plan (D.4.4.1.11) 3.8 X X Software Test Plan (D.4.4.1.12) 3.9 X X X X V&V Summary Reports (for Available Phases) (D.4.4.2.2) [D.4] Formatted: Strikethrough 3.10 X X X X Requirement Traceability Matrix (for Available Phases) (D.9.4.2) [D.4] Formatted: Strikethrough 3.11 X Validation Test Planrocedure and System Test Designs Specifications (D.4.4.2.4)

X X X Formatted: Strikethrough

[D.4]

3.12 .XX System Level Failure Modes and Effects Analysis Commented [MB2]: Revised to focus on I&C system X X X validation testing and align with associated IEEE 102

. expectations for development through the design Configuration Management Status Accounting Reports (for Available Phases) stage.

3.13 X X X X (D.4.4.2.3) [D.4] Formatted: Strikethrough 3.14 X X X System Build Documents ( D.4.4.3.5)

Formatted: Strikethrough, Highlight 3.15 X X X Software Integration Report (D.4.4.1.4, D.4.4.2.2) 3.16 X X X Completed Test Procedures and Reports (D.4.4.2.4, D.5.2) Formatted: Highlight 3.17 X X X Test Incident Reports (D.4.4.2.4) Formatted: Strikethrough, Highlight 3.18 X X X Code Listings (D.4.4.3.4) Formatted: Strikethrough 3.19 X X X Software Project Risk Management Report (D.10.4.2.3.6)

Formatted Table 3.20 X X X Software Project Risk Management Program (D.10.4.2.3.6) 3.21 X Equipment Qualification Test Methodologies (D.5.2)

Table 3 items are snapshots in time of vendor process execution. These items are available for audit to demonstrate that the licensee and vendor are complying with the process described in LAR Section D.4.

Enclosure B: Page 3 of 4 ENCLOSURE B, Documents to be Submitted

Tier Available for Inspection After Approval (Phase 3)

A1 1 2 3 4.1 Plant Ddocuments that Describe the Process for Modifications, Maintenance,

- Operation, and TrainingSoftware Installation Plan (D.4.4.1.5, D.4.4.1.6, D.4.4.1.7, Formatted: Strikethrough X X X X 4.8 D.4.4.1.8, D.4.4.2.4, D.4.4.3.7, D.4.4.3.8, and D.4.4.3.9) [handled by normal Commented [MB3]: Revised to make sure the table is licensee operating procedures] clear that it is acceptable to use existing plant 4.2 X X X X Software Maintenance Plan (D.4.4.1.6) processes for these activities rather than create new documents as suggested in BTP 7-14.

4.3 X X X X Software Training Plan (D.4.4.1.7) 4.4 X X X X Software Operations Plan (D.4.4.1.8) 4.5 X X X X Site Test Documentation (D.4.4.2.4) 4.6 X X X X Operations Manual (D.4.4.3.7) 4.7 X X X X Software Maintenance Manuals (D.4.4.3.8) 4.8 X X X X Software Training Manuals (D.4.4.3.9) 4.9 X X Installation Configuration Tables (D.4.4.3.6)

Enclosure B: Page 4 of 4 ENCLOSURE B, Documents to be Submitted

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