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Challenges of requirements engineering - A case study in nuclear energy


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Conference Paper · August 2011


DOI: 10.1109/RE.2011.6051629 · Source: DBLP

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2011 IEEE 19th International Requirements Engineering Conference Industry Paper

Challenges of Requirements Engineering – A Case Study in Nuclear Energy Domain

Mikko Raatikainen and Tomi Männistö Teemu Tommila and Janne Valkonen
Aalto University, School of Science VTT Technical Research Centre of Finland
P.O.Box 19210 00076 Aalto, Finland P.O.Box 1000, 02044 VTT, Finland
mikko.raatikainen@aalto.fi, tomi.mannisto@aalto.fi teemu.tommila@vtt.fi, janne.valkonen@vtt.fi

Abstract—The successful practices of requirements engineer- are in elicitation [5], representation [6], and interpretation
ing vary between application domains and are characterized of regulatory guidelines [7].
by the nature of the application domain. One relatively In this paper, we report the results of a case study of
peculiar application domain is the nuclear energy domain,
which is characterized by the long life cycle of power plant requirements engineering practice in the nuclear energy
operation and construction project, strict control of safety, domain in Finland focusing on safety-related automation
and collaboration between several stakeholder groups includ- systems. The objectives were to capture the state of the
ing various branches of technology. We describe the state practice of requirements engineering and to identify areas
of the practice of requirements engineering in the nuclear with potential for improvement. We give an account of
energy domain in Finland on the basis of a descriptive case
study focusing on the safety-related automation systems of the state of the practice and discuss challenges highlighted
the nuclear power plants. The results of the study indicate by peculiar characteristics of the nuclear energy domain.
that explicit requirements engineering practices are becoming The scope of this study is limited to the construction,
increasingly important due to the increasing complexity of the operation, and maintenance of nuclear power plants. Design
technology used, retirement of the older generation of experts, and development of new kinds of nuclear power plants
and construction of new power plants along with renewal of the
existing nuclear power plants. The challenges of requirements or devices used in nuclear power plants are beyond the
engineering are especially within efficient communication and scope of this study. The results indicate that the practices in
management of requirements. We highlight challenges that are requirements engineering are relatively conventional and that
emphasized by the characteristics of the nuclear energy domain the challenges are mostly in representation and management
but also discuss the more generic nature of these challenges. of the requirements.
The identified challenges are in authority requirements, aging,
communication, knowledge transfer, representation of require- The rest of the paper is organized as follows. Section 2
ments, and tool support. summarizes the research method. Section 3 gives the account
of the state of the practice. Section 4 discusses the high-
Keywords-nuclear energy; requirements engineering; safety
critical; case study lighted challenges in requirements engineering. Section 5
draws conclusions.
I. I NTRODUCTION II. R ESEARCH M ETHOD
Requirements are fundamental to specifying what a sys- The research was carried out as a case study, a method
tem should or should not do. The successful requirements of studying contemporary phenomenon in a real life con-
engineering practices vary depending on the characteristics text [8]. The data was collected by interviewing two nuclear
of the project in question [1], [2]. Although software engi- energy domain experts representing public authority and five
neering has recently moved towards increased use of agile experts working at the three existing power companies in
methods, application domains and cases still exist where Finland. The interviews were semi-structured and each inter-
more traditional methods are to be applied [3]. One such view took roughly two hours. The predefined themes, which
domain is nuclear energy, for which specific classes of re- defined the questions asked during the interviews, were
quirements engineering techniques have been proposed [4]. requirements engineering concepts and terms; processes and
The focus in the nuclear energy domain is on a nuclear practices; documentation and representation; and challenges,
power plant (NPP) that produces electrical energy. An NPP benefits, and areas for improvement. We focused mainly on
is a large safety-critical system consisting of several different requirements for the NPPs rather than requirements for the
devices and therefore interests several stakeholders including development processes. During the interviews, notes were
constructors and public authorities. In other systems for taken by the researchers that were summarized afterwards
which safety or dependability are critical, previous research and sent to the interviewee for review and correction. In ad-
has identified that challenges in requirements engineering dition, other available material was studied, such as laws and

978-1-4577-0924-1/11/$26.00 © 2011 IEEE 253


regulatory guides on nuclear safety. The data from different mainly represented by the Radiation and Nuclear Safety Au-
stakeholders were collated to form a synthesized summary thority (STUK). STUK formulates the safety requirements
about the domain. The data analysis was carried out adhering concerning the use of nuclear energy, provides instructions
to open and axial coding and memoing of the Grounded about them, and grants operation permits for NPPs. There
Theory approach [9] using the Atlas.TI qualitative analysis exist other stakeholders such as Fingrid, as the owner of the
software tool. A summary of the results was presented and power-distribution network, and other stakeholders within
additional data were gathered in a workshop. A summary the above groups such as the environmental authorities.
report in Finnish was also composed that was reviewed by Within the stakeholder groups, various branches of technolo-
one public authority representative and two persons from gies, such as construction, automation, nuclear physics, and
different power companies. electrical engineering, need to cooperate.
An NPP is divided structurally roughly into three levels
III. R EQUIREMENTS E NGINEERING IN N UCLEAR that constitute a plant hierarchy. The plant is the highest
E NERGY D OMAIN level, referring to the entire NPP. The systems, at the second
This section describes background and the state of the level, are often further divided into sub-systems. A system
practice of requirements engineering in the nuclear engineer- represents a meaningful whole. At the third level are devices
ing domain in Finland focusing on safety-related automation such as measurement and control instruments, and physical
systems. structures of which systems consist. The devices can be
qualified off-the-shelf devices but a suitability analysis for
A. Background and Terminology a specific purpose needs to be carried out. The three levels
Currently in Finland, four NPPs are operational, one NPP thus represent a breakdown structure from the viewpoint of
is under construction, and licenses have been granted for a static structure.
construction of two new NPPs. The four operational NPPs Another viewpoint of the structure describes the functions
were constructed in the 1970s. Of the four operational NPPs, of an NPP. A function describes something that an NPP
the automation of two of them is being modernized, and the should do, such as a safety shutdown. A function is, thus, a
other two are expected to start modernization projects within dynamic or operation time viewpoint of an NPP. Each device
a few years. Consequently, due to construction and renewals or system can participate in several functions.
the nuclear energy domain is becoming more active after a The processes applied in construction and operation typ-
few decades of a quieter phase. Nevertheless, maintenance ically adhere to industrial standards including quality con-
has been carried out constantly in these four operating NPPs. trol and other life cycle processes. Design is iterative but
The operation life cycles and construction projects are proceeds top-down. The supplier has a significant role and
long. For example in the case of Olkiluoto 3 NPP, the license responsibility for construction to the extent that even turn-
application was made in 2000, the license was granted in key projects have been used applied although the power
2002, construction was started in 2005, and the NPP is companies also carry out large parts of construction by
expected to be in operation in 2013. An NPP is expected themselves.
to be in operation for several decades.
The employees acquire deep domain knowledge and B. Requirements Engineering
knowledge about the NPP in question due to long life cycles An existing or planned plant concept serves as the starting
of operation and projects. However, much of the knowledge point for a plant design provided by different suppliers, as
also becomes tacit among employees. well as legislation, decrees, public authority regulations, and
Four main stakeholder groups exist in the nuclear energy international practices and standards. Therefore, from the
domain. First, the power companies are the owners of point of view of a power company, the result is that a general
NPPs and are responsible for constructing, operating, and reference architecture for the plant becomes predefined.
maintaining NPPs. Since the power companies have the final However, a plant is rarely copied without modifications
responsibility for an NPP including safety of the NPP, they due to the power company requirements and changes in
also need to have detailed understanding about the entire technology and legislation in different countries and over
NPP in question. The second stakeholder group consists of time. Therefore, construction always includes tailored design
suppliers that typically are large international companies; solutions.
they carry out work in construction projects within NPPs and The plant concept is used as a basis for a set of require-
supply technology to NPP, such as in the case of construction ments that include expected characteristics of the systems,
of a new NPP or automation renewal. The third stakeholder functions, and devices of the plant. These requirements in-
group, referred as subcontractors, does smaller work items clude and are compromises between the various stakeholders
upon request for suppliers and also for other stakeholders, and branches of technologies of the plant. These require-
but they are rarely responsible for a large project. Finally, ments also include the requirements of the power company
the fourth stakeholder group is public authority, which is or owner and standards applied in the plant. However, many

254
of the power company and supplier requirements can be dedicated requirements management tool. A need for dedi-
considered a part of and fulfilled by the plant concept. They cated tools for requirements management has been identified
are thus not included in requirements definition, at least not and tools have been piloted, although tools alone do not
explicitly, but rather may be found in the contract with the solve anything. Some suppliers have already started to use
supplier. dedicated requirements engineering tools.
Another major set of requirements arises from the leg- Prioritization of requirements is relatively rudimentary
islation, decrees, and regulatory guides on nuclear safety since requirements are only assigned into the five different
(YVL) [10]. At the highest level is the law, which the safety classes and in practice all requirements are important
decrees specify. STUK maintains YVL on the basis of law and will be implemented before the nuclear power plant
and decrees in order to give more detailed and practical can start to operate. Therefore, the implementation order of
descriptions. YVL primarily specifies safety requirements requirements is not an issue but is influenced by the order
from the viewpoint of public authority. Examples of YVL of construction in general.
are a requirement for diversification and a requirement that Relationships such as hierarchies and dependencies be-
each system must be assigned to one of the five safety tween requirements are mainly captured in the requirements
classes. In addition to these general requirements applicable documents in the form of references from one requirement to
to any plant, STUK makes also resolutions about a specific another requirement. Some tables and matrixes are also used
NPP on the basis of plant design plans. The resolutions can to provide additional structure and organization to require-
include additional requirements for the plant as a part of the ments. Nevertheless, few relationships are explicitly defined
resolution. and managed. In particular, hierarchical structures are not
The state of the practice of requirements engineering is necessarily explicit and requirements focus on the detailed
that most of the focus seems to be on analysis and ful- level; plant level requirements are scarcely specified. The
fillment of requirements of public authorities and the basic consequence is that traceability and dependency checking
functionality. Other requirements such as maintainability or become laborious and challenging.
ease of use are more implicit but followed during the project. To sum up, the requirements engineering practices are
The supplier has a significant role and responsibility in quite conventional and basic in the nuclear energy domain in
requirements definition, at least in the details of technical Finland. This seems to be due to the tradition of the domain,
requirements. For example, a power company can specify clarity of the current analog technology, and thorough expert
requirements for a system, whereas a supplier is responsible knowledge based on long experience. In particular, we did
for specifying the requirements for the devices of which the not find that any special systematic or formal approaches
system consists. Besides this, the requirement to fulfill the would have been applied in the form of structured reviews,
public authority requirements can be included as a clause verification and validation processes, comprehensive check-
in the contract with the supplier. The reason for the role of lists, formal methods, or model-based approaches. In fact,
supplier is that the suppliers carry out much of the work we found no indications of a special need for formal or
during construction and renewal of the plants and thus have systematic practices but rather a need for good practices
much control over the implementation of the project. and practices suitable for NPPs in particular.
The requirements are mostly represented as natural lan-
guage sentences, usually at a relatively detailed level. In fact, IV. C HALLENGES
sometimes detailed specifications that are quite technical are The description in the previous section gave an account
used as requirements. Some metadata such as identification of the state of the practice of requirements engineering in
number and classifications are used in the requirements. An the nuclear energy domain in Finland. In the following, we
issue is that requirements are often vague. For example, there elaborate challenges within requirements engineering high-
can be statements with no inherent measurability such as ”as lighted by the characteristics peculiar to the nuclear energy
well as possible,” which often originate from YVL. In recent domain. These characteristics include the strict control of
years, additional means to visualize requirements such as safety, strict public authority control, the very long life cy-
graphical representation of functions have also been piloted. cles of the projects and NPP operation, and the collaboration
During construction of the existing plants, few requirements and network of stakeholders including the several different
were created so that the requirements would be usable and branches of technologies. The challenges are common issues
available today. identified in general practice and emphasized by the current
Requirements today are written in documents that are situation: when the new modernized and digitalized technol-
stored in a document management system. The documents ogy is applied, that introduces increasingly more complexity
contain meta-information typical of technical documents, in the form of added abstraction layers and relations between
such as a change log, authors, and a purpose. An exception the systems and devices compared with the old analog
is that STUK resolutions are placed in different storage, technologies; new NPPs are being constructed and existing
which, however, is a task management system rather than a NPPs are undergoing renewal; and the existing generation

255
Table I
S UMMARY OF CHALLENGES cases of other authority requirements or similar external
generic requirements such as standards in other domains.
Topic Key challenge For example, many application domains extensively apply
Authority requirements How to deal with authority requirements industrial standards that specify requirements, such as in the
Aging How to synthesize and maintain old and new case of medical devices and telecommunications. The main
requirements and realization over time
practical issue is therefore to what extent and how should
Communication How to communicate efficiently with stake-
holders of different background and over
such statements be treated as requirements and whether
organizational borders or not the statements, or an unambiguous reference to the
Knowledge transfer How to explicate and ensure integrity of statement, should be incorporated into the requirements.
knowledge over organizational borders
Representation of How to represent several crosscutting con- B. Aging
requirements cerns in requirements
An NPP has a long operation life cycle during which
Tools How to incorporate tools into existing envi-
ronment maintenance, including renewal, is carried out. However, a
specific system can remain relatively intact for quite a long
period of time until renewal or other major maintenance is
of engineers who built and have operated the first plants carried out. For instance, consider an existing plant where
in Finland are starting to retire and the new generation of a device is being replaced. A similar device cannot be used
engineers is starting to take responsibility. The challenges since the same device using the same technology does not
are described as follows and summarized in Table 1. necessarily exist anymore or is outdated. Requirements for
the device do not necessarily exist; this may be because the
A. Authority Requirements requirements were not captured and documented properly
The authority requirements are in practice expressed in during initial construction, or requirements are not usable
YVL, a set of guidelines that roughly tries to help power since the integrity of requirements cannot be assured due to
companies to fulfill the requirements of law and decree and earlier changes in a related system. Consequently, the need
public authority in general. YVL adds details to law and emerges to replace the device with a new device.
decree but cannot be in conflict with them and cannot require However, placing a new device in the plant has conse-
more. In general YVL is applicable to any NPP, although in quences. First, the new device must replace the purpose
practice YVL reflects to some extent the existing NPPs in of the original device, i.e., fulfill the requirements of the
Finland. Thus, the statements in the YVL are in fact not even old device–but as described earlier, the old requirements
meant to be requirements and are not written in the form of are not necessarily available. Second, whenever changes are
requirements. Rather, requirements are to be derived from made new needs for the new device may emerge, such as
YVL. for improved efficiency, safety, or usability, thus introducing
The power companies do not need to follow YVL as new requirements, typically from the power company point
long as their solution fulfills the requirements of law and of view. Third, the new device might need to fulfill the
decree. In practice, the power companies try to follow YVL. existing regulations. It is not enough that the new device
STUK seems to expect to see how YVL guidelines are fulfills the old regulations although the new device is re-
implemented in a plant. However, the requirements of a placing the old device; since renewal has taken place the
plant typically refer to YVL in a general fashion rather new public authority requirements apply. That is, whenever
than to the specific sentence in YVL. For example, the regulations change, the existing NPPs do not necessarily
rationale of a requirement derived from YVL is typically need to be changed to fulfill new regulations. However, if
omitted or written in the form ”is based on YVL” rather the existing NPP is changed, the changed system or device
than as a more detailed reference to a specific section or typically needs to fulfill the latest revision of the regulations.
requirement in YVL. Traceability to YVL seems to be Even if new authority requirements do not emerge, the new
an elusive target. Both the power companies and public device needs to be assessed for suitability for the specific
authorities seem to aim at fulfilling the requirements of YVL purpose even if the device is an externally qualified device.
and seeing traceability between YVL, the requirements, and Finally, the changes that these requirements imply might
the plant design. Consequently, the practice is in conflict affect the relationships the device has to other devices, hence
with the intended role of YVL. requiring a check of whether or not other requirements,
The challenge in general is how authority guidelines such as diversification or dissimilarity requirements, are still
should be managed within requirements engineering. On the fulfilled.
other hand, another issue is how the authority guidelines The challenge arises from capturing and synthesizing the
should be written in order to make the guidelines usable different requirements from different points of time and
and understandable for the stakeholders who need to adhere adapting these synthesized requirements to current imple-
to the guidelines. Similar challenges seem to exist in the mentation. If something in an existing system is changed

256
the system needs to fulfill the old purpose, taking into knowledge created by the supplier, the knowledge also
account the other interacting systems, but also adhere to becomes fragmented beyond the supplier to the network
the current situation. There are two facets of the challenge. of subcontractors that the supplier uses. The suppliers are
On the one hand everything, including but not limited to expected to ensure that the requirements are delivered when
the requirements, has to be kept up to date as well as the project is completed. The requirements alone are not
possible. On the other hand, a synthesis needs to be formed sufficient; at least equally valuable are the relationships
by combining all relevant information. Both of these need to between requirements, such as dependencies, hierarchies,
be carried out efficiently in terms of costs and effort spent. and traceability links. However, it is not at all clear whether
The challenge seems not to be tied to the nuclear energy or not all of the requirements and the relationships between
domain but seems to be general to any system that is in requirements can be explicated and transferred and how
operation for a long time and that has multiple generations much of the knowledge remains tacit and nontransferable.
and sources of requirements. Experience indicates that old requirements are challenging
to re-engineer or acquire. That is, an initial poor requirement
C. Communication engineering practice might become laborious or costly in the
The nuclear energy domain includes three relatively sep- long term.
arate stakeholder groups who have their own practices: A challenge, nevertheless, is to transfer knowledge about
STUK, the power company, and the supplier including the requirements and especially the relationships between the
subcontractors. All stakeholders need to have technical un- requirements after projects so that integrity is preserved and
derstanding about the whole in order to permit, license, maintained. It is a further challenge to maintain and under-
operate, and construct an NPP. Each stakeholder is relatively stand all knowledge about requirements. In fact, knowledge
separate so that they cannot affect each other’s processes and transfer is not only a challenge over organizational borders.
systems. A uniform process cannot be achieved; processes Internally there are challenges between the multiple branches
of suppliers cannot and should not be changed and disturbed of technologies but also challenges for knowledge transfer
too much, for example. from the old generation of engineers who are starting to
Each of these stakeholders has different branches of retire. This challenge seems not to be limited to the nuclear
technology present and each is relatively specialized, even energy domain; the trend exists in software engineering
having a specialized terminology. The different branches of include global software engineering, offshoring, and sub-
technologies are represented by different people who also contracting. In all these situations, a similar challenge seems
typically have different educational backgrounds, resulting relevant.
in differences in applied practices and even in terminology
used. For example, a characteristic of software in automation E. Representation of Requirements
is that the end product cannot be completely tested. Rather, There are few challenges in determining what an NPP
focus needs to be also in development processes in order should or should not do, i.e., eliciting the requirements.
to ensure the quality of the end product. The situation is Rather, the challenges are in representing the requirements.
different in some other branches of technology such as in The requirements are currently written in natural language
construction: despite general requirements specified for a combined with some metadata and stored in documents.
physical structure the details are described in a blueprint, Although such a means to represent requirements provides
and the end product can be tested or measured with relative a good basis there is also a need for an advanced means.
certainty. That is, natural language sentences provide a relatively one-
The challenge is therefore to establish practices in a dimensional and fragmented view of requirements.
network of people who are in a relatively equal position and However, several different concerns need to be taken into
have relatively different backgrounds but need to communi- account. Multiple levels of hierarchies in requirements and
cate and collaborate. Even simple concepts and terminology relationships between the requirements exist as the result
become an issue in such a truly multidisciplinary environ- of the plant hierarchy; the static and dynamic viewpoints of
ment. The challenge can be considered a relatively generic the plant; the different branches of technologies; and several
requirements engineering challenge that is emphasized in the crosscutting concerns that need to be taken into account such
nuclear energy domain due to the network of stakeholders. as requirements for assignment of all systems to one of the
five safety classes, for several different defense lines, and
D. Knowledge Transfer for replication, diversification, and dissimilarity. Defining
Currently, much of the construction is carried out by the these concerns is not a challenge for the requirements but
plant supplier. Therefore, it is meaningful that the supplier managing, representing, and verifying the concern is more
also maintains and even partially creates documentation, challenging.
including at least the technical requirements in their sys- Therefore, the challenge is to have an efficient means to
tem during the construction project. In addition to that represent and manage the requirements, taking into account

257
the aforementioned crosscutting concerns. The challenge application domain specific; similar challenges seem to be
is emphasized by the characteristics of the nuclear energy discoverable in other application domains, and especially in
domain but seems to be a relatively generic challenge given other large and complex projects. For example, the network
the advanced means of representing requirements in other of stakeholders makes some challenges that are to some
domains that also include several crosscutting concerns. extent similar to the challenges to global software develop-
ment [11]. In general, the challenges emphasize contextual
F. Requirements Engineering Tools factors similarly to even small companies [12]. Nevertheless,
Finally, all these challenges have an effect on applied generalizability to other domains remains to be assessed.
requirements engineering tools. Although currently require-
ments engineering in the nuclear power domain is mostly ACKNOWLEDGMENT
carried out without dedicated tools, in the future there The authors acknowledge financial support of SAFIR2010
might be more need for tools since systems are becoming and participants of the study.
increasingly complex due to digital technology. In particular
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