CSA N286 7 1-2009 Guideline for the application of N286 7-99 Quality assurance of analytical scientific and design computer programs for nuclear power plants (First Edition).pdf

1、N286.7.1-09Guideline for the application of N286.7-99, Quality assurance of analytical, scientific, and design computer programs for nuclear powerplantsLegal NoticeThis document is provided by the Canadian Standards Association (CSA) as a convenience only. The opinions in this document are the opini

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14、ion.Visit CSAs policy on privacy at www.csagroup.org/legal to find out how we protect your personal information.N286.7.1-09CSA Standards Update ServiceN286.7.1-09November 2009Title: Guideline for the application of N286.7-99, Quality assurance of analytical, scientific, and design computer programs

15、for nuclear power plantsPagination: 82 pages (viii preliminary and 74 text), each dated November 2009Automatic notifications about any updates to this publication are available. To register for e-mail notifications, and/or to download any existing updates in PDF, enter the Online Store at www.ShopCS

16、A.ca and click on My Account on the navigation bar.The List ID for this Guideline is 2420154.To receive printed updates, please complete and return the attached card.AffranchirsuffisammentPlaceStamp HereASSOCIATION CANADIENNE DENORMALISATIONBUREAU CENTRAL DE LINFORMATION5060, SPECTRUM WAY, BUREAU 10

17、0MISSISSAUGA ON L4W 5N6CANADACANADIAN STANDARDSASSOCIATIONCONSOLIDATED MAILING LIST5060 SPECTRUM WAY, SUITE 100MISSISSAUGA ON L4W 5N6CANADAPublished in November 2009 by Canadian Standards AssociationA not-for-profit private sector organization5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canad

18、a L4W 5N61-800-463-6727 416-747-4044Visit our Online Store at www.ShopCSA.caN286.7.1-09Guideline for the application of N286.7-99, Quality assurance of analytical, scientific, and design computer programs for nuclear power plantsCSA Special Publication100%ISBN 978-1-55436-744-3Technical Editor: Andy

19、 Kwong Canadian Standards Association 2009All rights reserved. No part of this publication may be reproduced in any form whatsoever without the prior permission of the publisher.To purchase CSA Standards and related publications, visit CSAs Online Store at www.ShopCSA.ca or call toll-free 1-800-463-

20、6727 or 416-747-4044.The Canadian Standards Association (CSA) prints its publications on Rolland Enviro100, which contains 100% recycled post-consumer fibre, is EcoLogo and Processed Chlorine Free certified, and was manufactured using biogas energy.November 2009 iiiContents Canadian Standards Associ

21、ationGuideline for the application of N286.7-99, Qualityassurance of analytical, scientific, and designcomputer programs for nuclear power plantsCOG IST Working Group for CSA N286.7.1 viiPreface viii1Scope 12 Reference publications 23 Definitions 34Background 44.1 General 44.2 Purpose 54.3 Scope of

22、CSA N286.7 54.3.1 General 54.3.2 Definition of safety-related system 64.3.3 Safety-related systems 64.4 Use and maintenance of partially qualified codes 64.5 Minimum considerations 74.6 Use of this Guideline 75 Roles and responsibilities 95.1 General 95.2 Scope of CSA N286.7 95.3 Applicability 105.4

23、 Guidance 105.4.1 Change requester 105.4.2 Code custodian 105.4.3 Code owner 105.4.4 Configuration manager 105.4.5 Management 105.4.6 Owner 105.4.7 Participants 105.4.8 Primary holder 105.4.9 Procurement group 115.4.10 Software authority 115.4.11 Subject matter expert (SME) 115.4.12 Supplier organiz

24、ation 115.4.13 User 115.5 Hierarchy of roles 115.6 Documentation 116 Relaxation of CSA N286.7 requirements based on software grade 116.1 General 116.2 CSA N286.7 requirements 126.3 Applicability 126.4 Roles and responsibilities 126.5 Guidance 126.5.1 Software grades 126.5.2 Graded software requireme

25、nts 136.5.3 Requirement relaxation 13N286.7.1-09 Canadian Standards Associationiv November 20096.5.4 Determination, review, approval, and documentation of software grade 146.6 Documentation 157 Design and development 157.1 General 157.2 CSA N286.7 requirements 157.3 Applicability 157.4 Roles and res

26、ponsibilities 157.5 Guidance 157.6 Documentation 167.6.1 General 167.6.2 Graded approach 167.6.3 Design and development documentation 167.6.4 Application documents 168Acquisition 178.1 General 178.2 CSA N286.7 requirements 178.3 Applicability 178.4 Roles and responsibilities 178.5 Guidance 188.5.1 U

27、se of procurement group 188.5.2 Ensuring that the computer code is valid for its intended use 188.5.3 Feedback on computer program deficiencies and limitations 188.5.4 Verifying the proper operation on the target computer 188.5.5 Third-party software developed under an equivalent software quality as

28、surance (SQA) process 188.6 Documentation 189Legacy codes 199.1 General 199.2 CSA N286.7 requirements 199.3 Applicability 209.4 Roles and responsibilities 209.5 Guidance 209.5.1 Codes used prior to March 1999 that will not be used again 209.5.2 Codes that will be used to perform non-substantial new

29、analysis 209.5.3 Codes used to perform substantial new analysis 209.6 Documentation 2110 Verification 2110.1 General 2110.2 CSA N286.7 requirements 2110.3 Applicability 2110.4 Roles and responsibilities 2210.4.1 Primary holder 2210.4.2 Code custodian 2210.5 Guidance 2210.5.1 Verification during desi

30、gn and development 2210.5.2 Verification of coding 2210.5.3 Verification of other activities 2210.5.4 Independence of verification activity 2310.5.5 Verification plan and verification report 2310.6 Verification documentation 23 Canadian Standards AssociationGuideline for the application of N286.7-99

31、, Qualityassurance of analytical, scientific, and designcomputer programs for nuclear power plantsNovember 2009 v11 Validation 2311.1 General 2311.2 CSA N286.7 requirements 2411.3 Applicability 2411.4 Roles and responsibilities 2411.5 Guidance 2411.5.1 Categories of software 2411.5.2 Validation base

32、d on grade 2411.5.3 Relaxation of requirements 2511.6 Documentation 2512 Maintenance 2512.1 General 2512.2 CSA N286.7 requirements 2512.3 Applicability 2612.4 Roles and responsibilities 2612.5 Guidance 2612.5.1 General 2612.5.2 Software maintenance 2612.5.3 Applications not covered by this Guideline

33、 2612.5.4 Change request and assessment 2712.5.5 Change plan 2712.5.6 Testing and verification 2712.5.7 Configuration management 2712.6 Documentation 2713 Documentation 2813.1 General 2813.2 CSA N286.7 requirements 2813.3 Applicability 2813.4 Roles and responsibilities 2913.5 Guidance on incremental

34、 documentation 2914 Configuration management/Change control 2914.1 General 2914.2 CSA N286.7 requirements 3014.3 Applicability 3014.4 Roles and responsibilities 3014.5 Guidance 3114.5.1 General 3114.5.2 Software developed or maintained in-house 3114.5.3 Software maintained by a service provider 3114

35、.5.4 Software acquired from a vendor/other organization 3214.5.5 Software from a service provider 3214.6 Documentation 3315 Scripts, processors, and couplers 3315.1 General 3315.2 CSA N286.7 requirements 3415.3 Applicability 3415.4 Roles and responsibilities 3415.5 Guidance 3415.5.1 Script, processo

36、r, or coupler type specification 3415.5.2 Development and verification of scripts, processors, and couplers 35N286.7.1-09 Canadian Standards Associationvi November 200915.5.3 Special instructions for couplers 3515.6 Documentation 3516 Use 3516.1 General 3516.2 CSA N286.7 requirements 3516.3 Applicab

37、ility 3716.4 Guidance 3716.5 Roles and responsibilities 3716.6 Documentation 37AnnexesA Guidelines for grading of scientific, engineering, and safety analysis (SESA) software 66Tables1 Use of this Guideline 82 Program elements 93 Areas of relaxation based upon risk 384 Graded application for develop

38、ment tasks 395 Graded documentation for acquisition of computer programs Commercial off-the-shelf (COTS) software and configurable software 416 Graded documentation for acquisition of computer programs Custom-designed software 427 Graded treatment of legacy software 438 Graded application for verifi

39、cation of coding for a module 459 Graded application for verification independence 4510 Graded application for verification planning, reporting, and documentation 4611 Graded application of validation processes for codes with validation matrix 4712 Graded application of validation processes for code

40、s for which the technical basis is documented 4913 Graded application of software maintenance processes 5114 Graded requirements for documentation 5215 Graded application of configuration management 5516 Graded application of change control 5617 Basis for establishing script, processor, or coupler t

41、ype 5718 Script, processor, or coupler development and verification 5719 Script, processor, or coupler documentation 5820 Graded activities for use of computer programs 5821 Documentation content for use of computer programs 61Figures1 Waterfall life-cycle model for software 622 Hierarchy of roles 6

42、33 Interfacing or supporting roles 634 Graded approach to software quality assurance requirements 645 Development and usage process 65 Canadian Standards AssociationGuideline for the application of N286.7-99, Qualityassurance of analytical, scientific, and designcomputer programs for nuclear power p

43、lantsNovember 2009 viiCOG IST Working Group for CSA N286.7.1D. Richards Atomic Energy of Canada Limited,Chalk River, OntarioChairJ. Skears CANDU Owners Group,Toronto, OntarioSecretaryR. Chun Bruce Power,Tiverton, OntarioR. Ghai Atomic Energy of Canada Limited,Mississauga, OntarioF. Iglesias Bruce Po

44、wer,Tiverton, OntarioE. Mileta Ontario Power Generation,Toronto, OntarioO. Nainer Candesco Corporation,Toronto, OntarioM. Nguyen Hydro-Qubec,Montral, QubecY. Parlatan Ontario Power Generation,Toronto, OntarioJ. Pascoe Nuclear Safety Solutions,Toronto, OntarioB. Willemsen New Brunswick Power,Saint Jo

45、hn, New BrunswickT. Shin Canadian Standards Association,Mississauga, OntarioProject ManagerN286.7.1-09 Canadian Standards Associationviii November 2009PrefaceThis is the first edition of CSA N286.7.1, Guideline for the application of N286.7-99, Quality assurance of analytical, scientific, and design

46、 computer programs for nuclear power plants. This Guideline is intended to provide guidance on the application of CSA N286.7, based on industry experience.This Guideline is intended to assist owner organizations and participants in the preparation and implementation of software quality assurance pro

47、cesses in compliance with CSA N286.7. CSA N286.7 contains requirements that need interpretation or expansion in order to be implemented. This Guideline provides guidance on graded implementation and draws from software quality assurance/management processes currently in use by owner and participant

48、organizations.This Guideline is based on the AECL document, Guideline for the Application of CSA N286.7-99, and has been provided to CSA as a supporting document for CSA N286.7.November 2009Notes: (1) Use of the singular does not exclude the plural (and vice versa) when the sense allows.(2) Although

49、 the intended primary application of this Special Publication is stated in its Scope, it is important to note that it remains the responsibility of the users of the Special Publication to judge its suitability for their particular purpose.(3) All enquiries regarding this Special Publication should be addressed to Canadian Standards Association, 5060 Spectrum Way, Suite 100, Mississauga, Ontario, Canada L4W 5N6. Requests for interpretation should(a) define the problem, making reference to the specific clause, an