Applying NQA-1 Requirements for Computer Software Used in Nuclear Facilities ASME 2014 Small Modular Reactors Symposium April 17, 2014

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Applying NQA-1 Requirements for Computer

Software Used in Nuclear Facilities

ASME 2014 Small Modular Reactors Symposium

April 17, 2014

Presented by:

Norman P. Moreau, PE, CSQE, CQA President and Principal Consultant Theseus Professional Services, LLC Westminster, MD 21158

410-857-0023

[email protected] www.theseuspro.com

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Who Am I?

 President and Principal Consultant of Theseus Professional Services.  Theseus is a Veteran-Owned Small Business providing quality related

services to various industries.

 B.S. in Mechanical Engr. and M.S.A in Software Engineering Administration  Started in the nuclear industry in 1986

 First software QA project in 1988  Member of NQA-1 since 1992

 Member of EPRI team that developed CGD guidance (Doc. #1025243)  Held positions as programmer, SQE, software tester, software process

engineering manager, SQA manager…

 Disclaimer:

 The views expressed by the speaker do not represent the views or

positions of the ASME NQA-1 Committee, the NRC or EPRI.

 They are the views of the speaker only

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Why We Need SQA?



SOFTWARE IS HARD.... writing of programs proved to

be much more difficult than all the other things I [Donald

E. Knuth] had done (like proving theorems or writing

books).



The creation of good software demands a significantly

higher standard of accuracy than those other things do,

and it requires a longer attention span than other

intellectual tasks.



[Meir Lehman]…it is easy to decide to change software,

it is another thing entirely to actually change it.

ICONE18-29934 3

Source: Technical Report, CMU/SEI-92-TR-34, ESC-TR-92-034, Academic Legitimacy of the Software

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Where Do Computer Programs Reside

& What Part of NQA-1 Applies?

Req. 2 Req. 3 400 & 800 All of 2.7 (depending on SW type) Req. 2.7 System Software HW Req. 8 & 12 SW Req. 3 & 2.7 CM De v elop er s SMR2014-3384 Slide 5

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NQA-1-2008 Part I Introduction:

Terms and Definitions



Computer program – a combination of computer instructions and

data definitions that enables computer hardware to perform

computational or control functions used for:

(a) Design analysis;

(b) Operations or process control; or

(c) Data base or document control registers when used as the controlled

source of quality information for (a) or (b) above.

(d) To the extent that computer programs are a physical part of plant

systems (SIS, DI&C) they are included in the term item.



Software – computer programs and associated documentation and

data pertaining to the operation of a computer system

The source of both definitions used in ASME NQA-1 is ANSI/IEEE 610.12-1990

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Software Used in the Nuclear Industry

Use:

Process Control

(Digital I&C)

Design Analysis

(Design &

Analysis)

Operations

(Mgmt. & Admin)

Ex:

PLC, EPROM,

Instrumentation,

HMI…

FEA, Code Calc,

Structural,

Geotechnical,

Seismic,

Dispersion…

ERP, MRP, e-P&ID,

CMMS,

e-Doc/e-Record Control

Systems…

Most software today is very much like an Egyptian pyramid with millions of bricks piled on top of each other, with no structural integrity, but just done by brute force and thousands of slaves.

Alan Kay

Also EPRI Guidance, Appendix C

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Software Requirements in ASME NQA-1



Part I describes the overall programmatic quality

assurance requirements applicable to all

aspects of nuclear facilities.



Part II contains amplifying quality assurance

requirements for certain specific work activities

that occur at various stages of a facility.

SMR2014-3384 Slide 8

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Software Guidance in ASME NQA-1



Part III provides nonmandatory guidance on

approaches and methods to implement the

requirements of Parts I and II.



Part IV was developed using lessons learned,

proven methods of performance, best practices,

and insights of the NQA Committee to provide

nonmandatory guidance on approaches and

methods to apply Part I and/or Part II

requirements to specific applications.

SMR2014-3384 Slide 9

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Where are the

Requirements and

Guidance for

Computer

Programs in

NQA-1?

Software Quality Assurance

Subpart 4.1 Guide on Computer Software 3-401& 800 Design Control 11-200, 400 & 602 Test Control Subpart 2.7 Computer Software A S M E N Q A -1 -2 0 0 8 w /2 0 0 9 Definitions P a rt I P a rt I II P a rt I V P a rt I I _CommercialSP 2.14 Grade Items and Services Subpart 3.2-2.14 Guide Software CGD

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NQA-1-

2014

SP 3.2-2.7.2

Example: Software Design Requirements

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SMR2014-3384 Slide 12

Software Requirements in Requirement 3

100 General

200 Design Input 300 Design Process 400 Design Analyses

401 Use of Computer Programs 402 Documentation of Design Analyses 500 Design Verification 501 Methods 600 Change Control 601 Configuration Management of Operating Facilities 700 Interface Control

800 Software Design Control 801 Software Design Process

801.1 Identification Software Design Requirements

801.2 Software Design

801.3 Implementation of the Software Design

801.4 Software Design Verification 801.5 Computer Program Testing 802 Software Configuration Management

802.1 Configuration Identification 802.2 Configuration Change Control 802.3 Configuration Status Control

900 Documentation and Records

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Req. 3: 400 – Computer Program Used for Design

Analyses



Computer Programs

 Acceptability of computer program preverified or results verified with

the design analysis for each application.

 Preverified computer programs controlled IAW the requirements of the Standard (Requirement 3 - 800; Requirement 11 - 100, 200, 400, 602; and Subpart 2.7).

 Simple and easily understood computer programs that can be confirmed (results verified) through hand calculations may be excluded from Subpart 2.7 (Subpart 4.1 - 101.1)

 Complex design/analysis computer programs to be developed following controls in Subpart 2.7 (Subpart 4.1 - 101.2)



Computer program verified for correct solutions for the

mathematical model within defined limits.



Encoded mathematical model produces a valid solution

to the physical problem.

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Software Requirements in Requirement 11

 100 General

 200 Test Requirements

 Software Design Verifications  Factory Acceptance Tests  Site Acceptance Tests  In-Use Tests

 300 Test Procedures (Other than

for Computer Programs)

 400 Computer Program Test

Procedures (a) Provides for:

 Adherence to requirements  Correct results

 Performance over range

 Technical adequacy

(b) In-Use test procedures:

 Confirmation of acceptable performance

 Different installation

 Significant changes in OS

 Periodic when hardware effects

 500 Test Results  600 Test Records

 601 Test Records

 602 Computer Program Test

Records

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Software Requirements in Subpart 2.7

100 General

 Applicability

101 Software Engineering

 Activities

102 Definitions

 Additional or Different than

Part I

200 General Requirements

 201 Documentation  202 Review

 203 SCM

 204 Problem Reporting and

Corrective Action

300 Software Acquisition

400 Software Engineering

Methods

500 Standards, Conventions, and

Other Work Practices

600 Support Software

700 References

* Same structure in SP 4.1

except no definitions or

reference paragraph

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Software Development Scenario



Software Used in Design and Analysis

 Activity:

 Software Life Cycle Development Process

 Requirements, Acquisition/Design, Implementation, Testing

 Configuration Control  Error Reporting

 Operation, Maintenance, and Retirement

 Criteria:

 Requirement 3 - 800

 Requirement 11 - 100, 200, 400, 500, 602  Subpart 2.7

 Subpart 2.14

 SP 3.2-2.14, 2012 and EPRI Guidance 1025243, Dec 2013

 Suggested Approach for Use of Simple vs. Complex Software

(Subpart 4.1)

SMR2014-3384 Slide 16

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Software Development Scenario



Process Control and Operations Software

 Activity:

 Software Life Cycle Development Process

 Requirements, Acquisition/Design, Implementation, Testing

 Configuration Control  Error Reporting

 Operation, Maintenance, and Retirement

 Criteria:

 Requirement 3 – 800

 Reg Guides 1.152 and 1.168

 Requirement 11 - 100, 200, 400, 500, 602  Subpart 2.7

 IEEE 7-4.3.2

 Subpart 2.14

 EPRI Report TR-106439 TR-107339

 Suggested Approach for Firmware (Subpart 4.1)

SMR2014-3384 Slide 17

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Questions or More Information?

If you want to consider participation in ASME NQA-1 Committee activities visit

http://cstools.asme.org/csconnect/CommitteePages.cfm?Committee=O10500000

For an ASME Short Course on NQA-1 Requirements for Computer Software Used in Nuclear Facilities visit

https://www.asme.org/products/courses/nqa1-requirements-computer-software-used-nuclear

For information on Theseus’ Software Dedication process

http://theseuspro.com/pdf/SWDedicationFlyer2013.pdf

Contact Information: Norm Moreau

Principal Consultant

Theseus Professional Services, LLC [email protected]

http://www.theseuspro.com

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Reference

 ASME NQA-1 several editions and addendum, Quality Assurance Requirements for Nuclear Facility Application. ASME New York

 DOE, Office of Environmental Safety and Quality, Guidance For Commercial Grade Dedication, September 2011

 EPRI, Generic Qualification/Dedication of Digital Components Screening of Candidate Components 1006842 EPRI Project Manager R. Torok, December 2002

 EPRI, Guideline on Evaluation and Acceptance of Commercial Grade Digital Equipment for Nuclear Safety Applications TR-106439 EPRI Project Manager R. C. Torok October 1996

 EPRI, Evaluating Commercial Digital Equipment for High Integrity Applications A Supplement to EPRI Report TR-106439

TR-107339 Final Report, December 1997 Principal Investigators B. Fink and J. Betlack Project Manager Ray Torok,

December 1997

 EPRI, NP-5652, Utilization of Commercial Grade Items in Nuclear Safety Related Applications, 1988

 EPRI, Plant Engineering: Guideline for the Acceptance of Commercial-Grade Design and Analysis Computer Programs

Used in Nuclear Safety-Related Applications ,TR- 1025243 Project Manager Marc Tannenbaum, June 2012

 Farris Engineering Services, iPRSM Commercial Grade Dedication Plan, Draft Rev. 1.502

 Moreau, NP, Schrotke, RC, Subir, S, Applying ASME NQA-1 Requirements for Computer Software Used in Nuclear

Facilities, ICONE 18, May 17–21, 2010 Xi’an, China

 IEEE Std. 7-4.3.2-1993, IEEE Standard Criteria for Digital Computers in Safety Systems of Nuclear Power Generating Stations

 NRC, 10 CFR Part 21, Reporting of Defects and Noncompliance,1992

 NRC, Review of TRICONEX Corporation Topical Reports 7286-545, "Qualification Summary Report" and 7286-546,

“Amendment 1 TO Qualification Summary Report," Revision 1 (TAC NO. MA8283), December 2001

http://adamswebsearch2.nrc.gov/idmws/doccontent.dll?library=PU_ADAMS^PBNTAD01&ID=004042634

 NRC Regulatory Guide 1.152, Criteria for Use of Computers in Safety Systems of Nuclear Power Plants

 NRC Regulatory Guide 1.168, Verification, Validation, Reviews, and Audits for Digital Computer Software Used in Safety Systems of Nuclear Power Plants

www.theseuspro.com

http://adamswebsearch2.nrc.gov/idmws/doccontent.dll?library=PU_ADAMS^PBNTAD01&ID=004042634