Nuclear power plants - Instrumentation and control important to safety - Guidance for the decision on modernization

IEC/TR 62096:2009 is intended to support owners of a nuclear power plant in the decision-making process and in the preparation for partial or complete modernization of the I&C. For this, it provides a summary of the motivating factors for I&C modernization, the principal options for the elaboration of different scenarios for I&C modernization, the technical and economic criteria for the selection of a long term I&C strategy, the principal aspects to be taken into account for a detailed technical feasibility study. This new edition includes the following significant technical changes with respect to the previous edition:
- update on references, taking into account standards published since the previous edition;
- update on the terminology, incorporation of a number of clarifications proposed by National Committees.

Centrales nucléaires de puissance - Instrumentation et contrôle-commande importants pour la sûreté - Guide pour décider d'une modernisation

La CEI/TR 62096:2009 est destinée à aider les propriétaires de centrales nucléaires lors du processus décisionnel et pendant la préparation de la modernisation partielle ou totale de l'I&C. Pour cela, il propose un rappel des facteurs motivant une modernisation de l'I&C, les principales options pour l'élaboration de différent scénarios de modernisation de l'I&C, les critères économiques et techniques pour le choix d'une stratégie d'I&C à long terme, les principaux aspects à prendre en compte dans une étude de faisabilité technique détaillée. Cette nouvelle édition inclut les modifications techniques majeures suivantes par rapport à l'édition précédente:
- mise à jour des références en prenant en compte les normes publiées depuis la publication de l'édition précédente,
- mise à jour de la terminologie, prise en compte d'un certain de nombre d'éclaircissements proposés par les Comités Nationaux.

General Information

Status
Published
Publication Date
23-Mar-2009
Current Stage
PPUB - Publication issued
Start Date
24-Mar-2009
Completion Date
24-Mar-2009
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IEC/TR 62096
Edition 2.0 2009-03
TECHNICAL
REPORT
RAPPORT
TECHNIQUE
Nuclear power plants – Instrumentation and control important to safety –
Guidance for the decision on modernization
Centrales nucléaires de puissance – Instrumentation et contrôle-commande
importants pour la sûreté – Guide pour décider d'une modernisation
IEC/TR 62096:2009
---------------------- Page: 1 ----------------------
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---------------------- Page: 2 ----------------------
IEC/TR 62096
Edition 2.0 2009-03
TECHNICAL
REPORT
RAPPORT
TECHNIQUE
Nuclear power plants – Instrumentation and control important to safety –
Guidance for the decision on modernization
Centrales nucléaires de puissance – Instrumentation et contrôle-commande
importants pour la sûreté – Guide pour décider d'une modernisation
INTERNATIONAL
ELECTROTECHNICAL
COMMISSION
COMMISSION
ELECTROTECHNIQUE
PRICE CODE
INTERNATIONALE
CODE PRIX
ICS 27.120.20 ISBN 978-2-88910-618-9
® Registered trademark of the International Electrotechnical Commission
Marque déposée de la Commission Electrotechnique Internationale
---------------------- Page: 3 ----------------------
– 2 – TR 62096 © IEC:2009
CONTENTS

FOREWORD...........................................................................................................................4

INTRODUCTION.....................................................................................................................6

1 Scope and object..............................................................................................................8

2 Normative references .......................................................................................................8

3 Terms and definitions .......................................................................................................9

4 Abbreviations .................................................................................................................11

5 Motivation for modernization...........................................................................................12

5.1 General .................................................................................................................12

5.2 Economic motivating factors..................................................................................12

5.2.1 General .....................................................................................................12

5.2.2 Cost reductions .........................................................................................12

5.2.3 Revenue....................................................................................................13

5.2.4 Economically motivated modernization ......................................................13

5.3 Safety motivating factors .......................................................................................14

5.4 Summary of motivations for modernization ............................................................14

6 Modernization decision overview ....................................................................................14

6.1 I&C life cycle .........................................................................................................14

6.2 Long-term I&C strategy .........................................................................................17

6.2.1 General .....................................................................................................17

6.2.2 Preliminary evaluation of I&C systems status and future needs .................17

6.2.3 Renewing/upgrade priority for I&C systems ...............................................18

6.2.4 Budget boundary conditions ......................................................................18

6.2.5 Evaluation of different modernization scenarios .........................................18

6.3 Feasibility studies..................................................................................................19

6.3.1 General .....................................................................................................19

6.3.2 Evaluation of plant related preconditions and goals ...................................19

6.3.3 Licensing...................................................................................................20

6.3.4 Preliminary budget costs ...........................................................................21

6.3.5 Implementation strategy ............................................................................21

6.3.6 Evaluation of as-built documentation .........................................................22

6.3.7 Basic requirement specification .................................................................23

6.3.8 Function allocation ....................................................................................24

6.3.9 Function and task analysis for the HMI ......................................................24

6.3.10 Data management .....................................................................................25

6.3.11 Design tools ..............................................................................................25

6.4 Tender specification and purchasing of the individual systems ..............................26

6.4.1 General .....................................................................................................26

6.4.2 Specification of I&C system properties for candidate solutions ..................26

6.4.3 Specification of requirements for quotations ..............................................27

6.4.4 Tenders for each system ...........................................................................27

6.4.5 Order placement........................................................................................27

7 Considerations for modernization ...................................................................................28

7.1 General .................................................................................................................28

7.2 Technology considerations ....................................................................................28

7.3 Economic considerations.......................................................................................29

7.4 Regulatory codes and standards ...........................................................................30

---------------------- Page: 4 ----------------------
TR 62096 © IEC:2009 – 3 –

7.5 Company policy and engineering standards...........................................................30

7.6 Safety and process control system future needs....................................................30

7.7 I&C system reliability.............................................................................................32

7.8 Risks and benefit study .........................................................................................32

7.9 Safety classification ..............................................................................................33

7.10 Equipment qualification requirements ....................................................................33

7.11 Software qualification requirements.......................................................................34

7.12 Physical constraints ..............................................................................................35

7.13 Equipment availability (delivery and support).........................................................35

7.14 Human factors.......................................................................................................35

7.15 Defence-in-Depth and Diversity analysis (3D analysis) .........................................37

7.16 Separation and protection against fire and flooding ...............................................38

7.17 Uncertainty and set point calculation .....................................................................38

7.18 Response time analysis.........................................................................................38

7.19 Test procedures ....................................................................................................38

7.20 Documentation management .................................................................................39

7.21 Update of plant technical documentation ...............................................................40

7.22 Training and staff qualification...............................................................................40

7.23 Project organization ..............................................................................................41

7.24 Configuration management....................................................................................41

7.25 Interfaces to the other existing systems.................................................................41

7.26 Standardisation .....................................................................................................42

8 Implementation...............................................................................................................42

8.1 General remarks....................................................................................................42

8.2 Target architecture ................................................................................................42

8.3 Sequence of upgrading steps ................................................................................43

8.3.1 General .....................................................................................................43

8.3.2 One large versus several small work packages..........................................44

8.3.3 Definition of work packages.......................................................................44

8.3.4 Parallel operation and replacing equipment at power.................................45

8.3.5 Sequence of work packages ......................................................................45

9 Recommendations..........................................................................................................46

Bibliography..........................................................................................................................48

Figure 1 – IEC 62096 structure ...............................................................................................8

Table 1 – I&C life cycle phases.............................................................................................16

---------------------- Page: 5 ----------------------
– 4 – TR 62096 © IEC:2009
INTERNATIONAL ELECTROTECHNICAL COMMISSION
____________
NUCLEAR POWER PLANTS –
INSTRUMENTATION AND CONTROL IMPORTANT TO SAFETY –
GUIDANCE FOR THE DECISION ON MODERNIZATION
FOREWORD

1) The International Electrotechnical Commission (IEC) is a worldwide organization for standardization comprising

all national electrotechnical committees (IEC National Committees). The object of IEC is to promote

international co-operation on all questions concerning standardization in the electrical and electronic fields. To

this end and in addition to other activities, IEC publishes International Standards, Technical Specifications,

Technical Reports, Publicly Available Specifications (PAS) and Guides (hereafter referred to as “IEC

Publication(s)”). Their preparation is entrusted to technical committees; any IEC National Committee interested

in the subject dealt with may participate in this preparatory work. International, governmental and non-

governmental organizations liaising with the IEC also participate in this preparation. IEC collaborates closely

with the International Organization for Standardization (ISO) in accordance with conditions determined by

agreement between the two organizations.

2) The formal decisions or agreements of IEC on technical matters express, as nearly as possible, an international

consensus of opinion on the relevant subjects since each technical committee has representation from all

interested IEC National Committees.

3) IEC Publications have the form of recommendations for international use and are accepted by IEC National

Committees in that sense. While all reasonable efforts are made to ensure that the technical content of IEC

Publications is accurate, IEC cannot be held responsible for the way in which they are used or for any

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4) In order to promote international uniformity, IEC National Committees undertake to apply IEC Publications

transparently to the maximum extent possible in their national and regional publications. Any divergence

between any IEC Publication and the corresponding national or regional publication shall be clearly indicated in

the latter.

5) IEC provides no marking procedure to indicate its approval and cannot be rendered responsible for any

equipment declared to be in conformity with an IEC Publication.

6) All users should ensure that they have the latest edition of this publication.

7) No liability shall attach to IEC or its directors, employees, servants or agents including individual experts and

members of its technical committees and IEC National Committees for any personal injury, property damage or

other damage of any nature whatsoever, whether direct or indirect, or for costs (including legal fees) and

expenses arising out of the publication, use of, or reliance upon, this IEC Publication or any other IEC

Publications.

8) Attention is drawn to the Normative references cited in this publication. Use of the referenced publications is

indispensable for the correct application of this publication.

9) Attention is drawn to the possibility that some of the elements of this IEC Publication may be the subject of

patent rights. IEC shall not be held responsible for identifying any or all such patent rights.

The main task of IEC technical committees is to prepare International Standards. However, a

technical committee may propose the publication of a technical report when it has collected

data of a different kind from that which is normally published as an International Standard, for

example "state of the art".
IEC 62096, which is a technical report, has been prepared by subcommittee 45A:

Instrumentation and control of nuclear facilities, of IEC technical committee 45: Nuclear

instrumentation.
This second edition cancels and replaces the first edition published in 2002.

This edition includes the following significant technical changes with respect to the previous

edition:

– update on the format to align with the current IEC/ISO directives on style of documents;

– update on references, taking into account Standards published since the first edition;

– update on the terminology;
---------------------- Page: 6 ----------------------
TR 62096 © IEC:2009 – 5 –
– incorporation of a number of clarifications proposed by National Committees.
The text of this technical report is based on the following documents:
Enquiry draft Report on voting
45A/711/DTR 45A/726/RVC

Full information on the voting for the approval of this technical report can be found in the

report on voting indicated in the above table.

This publication has been drafted in accordance with the ISO/IEC Directives, Part 2.

The committee has decided that the contents of this publication will remain unchanged until

the maintenance result date indicated on the IEC web site under "http://webstore.iec.ch" in

the data related to the specific publication. At this date, the publication will be

• reconfirmed,
• withdrawn,
• replaced by a revised edition, or
• amended.
---------------------- Page: 7 ----------------------
– 6 – TR 62096 © IEC:2009
INTRODUCTION
a) Technical background, main issues and organisation of this Technical Report

Normal procedures for evaluation of plant safety, operations and maintenance provide

information about potential needs for renewal or upgrades. After many years of operation, the

Instrumentation & Control (I&C) systems may no longer fulfil actual or anticipated safety

requirements, may be obsolete or unreliable, or may no longer be fit for required lifetime

extensions. In such cases, modernization provides the way forward to adapt the I&C systems

to meet the requirements or to deal with the problems and costs caused by the obsolescence

or aging of the equipment. During modernization, the benefits offered by modern I&C

equipment can be evaluated.

It is intended that this Technical Report be used by operators of NPPs (utilities), systems

evaluators and by licensors.
b) Situation of the current Technical Report in the structure of the IEC SC 45A
standard series

IEC 62096, as a Technical Report, is the fourth level IEC SC 45A document tackling the issue

of guidance for decision for modernisation.

For more details on the structure of the IEC SC 45A standard series, see d) of this

introduction.
c) Recommendations and limitations regarding the application of this Technical
Report

There are no particular recommendations, neither limitations regarding the use of this

Technical Report.

d) Description of the structure of the IEC SC 45A standard series and relationships

with other IEC documents and other bodies’ documents (IAEA, ISO)

The top-level document of the IEC SC 45A standard series is IEC 61513. It provides general

requirements for I&C systems and equipment that are used to perform functions important to

safety in NPPs. IEC 61513 structures the IEC SC 45A standard series.

IEC 61513 refers directly to other IEC SC 45A standards for general topics related to

categorization of functions and classification of systems, qualification, separation of systems,

defence against common cause failure, software aspects of computer-based systems,

hardware aspects of computer-based systems, and control room design. The standards

referenced directly at this second level should be considered together with IEC 61513 as a

consistent document set.

At a third level, IEC SC 45A standards not directly referenced by IEC 61513 are standards

related to specific equipment, technical methods, or specific activities. Usually these

documents, which make reference to second-level documents for general topics, can be used

on their own.

A fourth level extending the IEC SC 45A standard series, corresponds to the technical reports

which are not normative.

IEC 61513 has adopted a presentation format similar to the basic safety publication

IEC 61508 with an overall safety life-cycle framework and a system life-cycle framework and

provides an interpretation of the general requirements of IEC 61508-1, IEC 61508-2 and

IEC 61508-4, for the nuclear application sector. Compliance with IEC 61513 will facilitate

---------------------- Page: 8 ----------------------
TR 62096 © IEC:2009 – 7 –

consistency with the requirements of IEC 61508 as they have been interpreted for the nuclear

industry. In this framework, IEC 60880 and IEC 62138 correspond to IEC 61508-3 for the

nuclear application sector.

IEC 61513 refers to ISO standards, as well as to IAEA 50-C-QA (now replaced by IAEA GS-R-

3) for topics related to quality assurance (QA).

The IEC SC 45A standards series consistently implements and details the principles and

basic safety aspects provided in the IAEA code on the safety of NPPs and in the IAEA safety

series, in particular the Requirements NS-R-1, establishing safety requirements related to the

design of Nuclear Power Plants, and the Safety Guide NS-G-1.3 dealing with instrumentation

and control systems important to safety in Nuclear Power Plants. The terminology and

definitions used by SC 45A standards are consistent with those used by the IAEA.
---------------------- Page: 9 ----------------------
– 8 – TR 62096 © IEC:2009
NUCLEAR POWER PLANTS –
INSTRUMENTATION AND CONTROL IMPORTANT TO SAFETY –
GUIDANCE FOR THE DECISION ON MODERNIZATION
1 Scope and object

This technical report is intended to support owners of an NPP in the decision-making process

and in the preparation for partial or complete modernization of the I&C. For this, it provides:

– a summary of the motivating factors for I&C modernization,

– the principal options for the elaboration of different scenarios for I&C modernization,

– the technical and economic criteria for the selection of a long term I&C strategy,

– the principal aspects to be taken into account for a detailed technical feasibility study.

In addition, this report contains detailed recommendations and practical advice for:

– the technical evaluation of the actual status of the I&C systems,

– the content of the I&C system requirement specification and for the project management

following the guidance given in IAEA TECDOC 1016 and 1066,
– considerations on modernization strategy.

Special attention is paid to the improvement of reactor safety and of the human machine

interface. The report does not provide I&C design requirements. For these it is assumed that

the IAEA Codes and Guides are used as top level documents while IEC publications are

mainly used for system design, requirements on equipment and some work methods. IAEA

Reports and other documents are referenced to give information that is more detailed on

specific areas.

The structure of the report is given in Figure 1. The recommended sequence is, first, to

summarize the more easily obtained motivations (Clause 5) and then establish a project that

works in structured and more and more detailed steps: Long term I&C strategy – Feasibility

studies – Tender specification and order (Clause 6). Clauses 7 and 8 may be used as

checklists during each step.
Clause 5 Motivation for upgrading
Subclause 6.1 I and C life cycle Clause 7
Clause 8 Subclause 6.2 Long term I and C strategy Considerations for
Implementation Subclause 6.3 Feasibility studies modernization
Subclause 6.4 Tender specification
decision, order
IEC 437/09
Figure 1 – IEC 62096 structure
2 Normative references

The following referenced documents are indispensable for the application of this document.

For dated references, only the edition cited applies. For undated references, the latest edition

of the referenced document (including any amendments) applies.
---------------------- Page: 10 ----------------------
TR 62096 © IEC:2009 – 9 –

IEC 60050-191:1990, International Electrotechnical Vocabulary – Chapter 191: Dependability

and quality of service

IEC 60300-3-3:2004, Dependability management – Part 3-3: Application guide – Life cycle

costing

IEC 60709, Nuclear power plants – Instrumentation and control systems important to safety –

Separation

IEC 60880:2006, Nuclear power plants – Instrumentation and control systems important to

safety – Software aspects for computer-based systems performing category A functions

IEC 60964:2009, Nuclear Power Plants – Control rooms – Design

IEC 61513, Nuclear power plants – Instrumentation and control for systems important to

safety – General requirements for systems

IEC 61839, Nuclear power plants – Design of control rooms – Functional analysis and

assignment

IEC 61888, Nuclear power plants – Instrumentation important to safety – Determination and

maintenance of trip setpoints

IEC 62241, Nuclear power plants – Main control room – Alarm functions and presentation

IEC 62342:2007, Nuclear power plants – Instrumentation and control systems important to

safety – Management of ageing

IAEA-TECDOC-1066:1999, Specification of requirements for upgrades using digital instrument

and control systems (only available in English)

IAEA-TECDOC 1147:2000, Management of aging of I&C equipment in nuclear power plants

(only available in English)

IAEA:2007, IAEA safety glossary terminology used in nuclear safety and radiation protection

3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1
availability

the ability of an item to be in a state to perform a required function under given conditions at a

given instant of time or over a given time interval, assuming that the required external

resources are provided
[IEV 191-02-05]

NOTE This ability depends on the combined aspects of the reliability performance, the maintainability

performance and the maintenance support performance.
3.2
configuration management

the process of identifying and documenting the characteristics of a facility’s structures,

systems and components (including computer systems and software), and of ensuring that

changes to these characteristics are properly developed, assessed, approved, issued,

implemented, verified, recorded and incorporated into the facility documentation
---------------------- Page: 11 ----------------------
– 10 – TR 62096 © IEC:2009
[IAEA Safety Glossary, 2007]
3.3
Human Machine Interface

the interface between operating staff and I&C system and computer systems linked with the

plant. The interface includes displays, controls, and the Operator Support System interface

[IEC 60964, 3.13]
3.4
I&C system

system, based on electrical and/or electronic and/or programmable electronic technology,

performing I&C functions as well as service and monitoring functions related to the operation

of the system itself
The term is used as a general term whi
...

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