Information Notice 1999-12, Year 2000 Computer Systems Readiness Audits
v>
UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555-0001
April 28, 1999
NRC INFORMATION NOTICE 99-12: YEAR 2000 COMPUTER SYSTEMS READINESS
AUDITS
Addresses
All holders of operating licenses or construction permits for nuclear power plants.
PurDose
The U.S. Nuclear Regulatory Commission (NRC) is issuing this information notice (IN) to inform
addressees of observations made by NRC staff during audits conducted on the Year 2000
(Y2K) readiness programs of twelve plants. It is expected that recipients will review the
information for applicability to their facilities and consider actions, as appropriate. However, suggestions contained in this information notice are not NRC requirements: therefore, no
specific action or written response is required.
Background
The Y2K issue involves potential date-related errors with computer systems, microprocessor- based (embedded software) devices, and software applications. An example of a date-related
problem is a software application or digital device that misinterprets the numbers 00" to
represent the year 1900 rather than the year 2000. Date-related errors can result in
malfunctions of computer systems by providing erroneous data output or failing to operate at
all.
On December 24, 1996, the NRC issued Information Notice (IN) 96-70, wYear 2000 Effect on
Computer System Software,' to alert nuclear power plant licensees of the Y2K issue.
Subsequently, on May 11, 1998 and January 14, 1999, the NRC issued Generic Letter
(GL) 98-01, 'Year 2000 Readiness of Computer Systems at Nuclear Power Plants," and
Supplement 1 to Generic Letter 98-01, respectively, requesting information regarding each
licensee's program to address the Y2K computer systems issue. In GL 98-01, the staff
determined that the Nuclear Energy Institute/Nuclear Utilities Software Management Group
(NEIINUSMG) framework document, NEI/NUSMG 97-07, *Nuclear Utility Year 2000
Readiness,' is an acceptable approach to addressing the Y2K issue, provided licensees
address the additional areas of risk management, business continuity and contingency
planning, and remediation of embedded systems. Subsequently, NEI/NUSMG issued
NEI/NUSMG 98-07, aNuclear Utility Year 2000 Readiness Contingency Planning,* in August
1998, to address the additional areas cited by the NRC in GL 98-01.
T-4E
91O0Q
A'11°Oa q-q
0)e
IN 99-12 April 28, 1999
Description of Circumstances
From September 1998 thru January 1999, NRC audit teams conducted twelve representative
Y2K readiness audits at nuclear plant sites throughout the United States. The NRC staff
determined that this approach was an appropriate means of oversight of licensee Y2K
readiness efforts because all licensees had committed to the nuclear power industry Y2K
readiness guidance, NEI/NUSMG 97-07, in their first response to NRC GL 98-01 and because
the NRC staff had not identified any Y2K problems in safety-related actuation systems. The
NRC staff selected a variety of types of plants of different ages and locations in order to obtain
the necessary assurance that nuclear power industry Y2K readiness programs are being
effectively implemented and that licensees are on schedule to meet the readiness target date of
July 1, 1999, established in GL 9801. The results of the audits were intended to determine the
need for additional regulatory action. The sample of 12 licensees included large utilities such
as Commonwealth Edison and Tennessee Valley Authority (TVA) as well as small single-unit
licensees such as North Atlantic Energy (Seabrook) and Wolf Creek Nuclear Operating
Corporation. Because licensee Y2K programs are corporate-wide, many of the NRC staff
audits include more than a single nuclear power plant site since many utilities own more than
one nuclear power plant. In all, a total of 42 of 103 operating nuclear power plant units were
associated with the Y2K readiness program audits of 12 utilities. The 12 representative Y2K
program audit sites Included Braidwood, Brunswick, Davis-Besse, Hope Creek, Limerick, Monticello, North Anna, Seabrook, Washington Nuclear Project No. 2, Waterford, Watts Bar, and Wolf Creek.
In evaluating the audited Y2K programs, the staff did not identify any issues that would preclude
the nuclear power plants from achieving Y2K readiness before January 1, 2000. The licensee
Y2K programs are generally on schedule to be ready by July 1, 1999, and no Y2K problems
were identified that directly impact the proper functioning of safety systems. However, the
audits did identify some remaining remediation activities of certain software items and
embedded systems which will prevent a number of licensees from meeting full program
implementation by July 1, 1999. In those instances the remaining remediation activities of
software applications and digital devices are scheduled for the Fall 1999. The schedule was
frequently driven by licensee outage planning or equipment availability. The audit reports are
publicly available and may be accessed from the NRC website at
www.nrc.aov/NRC/Y2KNRR.html.
At the time of the audits, most licensees were beginning the contingency planning phase of
their actions to address the Y2K issue. Therefore, in an effort to verify and assess the
effectiveness of licensee contingency planning, NRC staff will conduct audits focused In the
area of Y2K contingency planning at six additional sites, involving licensees other than those
that comprise the original 12. The sites selected are: Diablo Canyon, Duane Arnold, Indian
Point 2, Oconee, Palo Verde and Turkey Point. As stated earlier, licensee Y2K programs are
corporate - wide and many utilities own more than one nuclear power plant. Therefore, a total
of 18 operating nuclear power plant units will be associated with these six licensee audits.
'11 o
IN 99-12 April 28, 1999 Further, NRC regional and resident staff will conduct additional Y2K readiness and contingency
planning site-specific reviews at all commercial nuclear power plants. The six focused audits of
contingency planning and regional site-specific reviews will be completed by July 1999.
Discussion
Based on the 12 representative Y2K audit results, the staff observed several common factors
among effective programs. The staff found that properly following the NEI/NUSMG 97-07 and NEI/NUSMG 98-07 guidance documents resulted in an overall functional and straight
forward Y2K program. Effective Y2K programs have generally received appropriate
management attention and support. The staff believes active management oversight is vital for
program effectiveness. The staff found that central control of Y2K activities, independent peer
reviews, and aggressive quality assurance involvement promotes consistency across program
activities and products. In addition, the staff recognized that sharing information via owners
groups and utility alliances aided licensees in the implementation of effective Y2K programs.
The staff also concluded that corporate and plant programs should interface in order to achieve
consistency in application and system readiness.
Most commercial nuclear power plants have protection systems based on analog technology
rather than digital technology. Since Y2K concerns are associated with digital systems, analog
reactor protection system functions are not affected directly by the Y2K problem. Although
there is limited use of computer systems in nuclear power plant mission critical and safety- related functions, licensee Y2K programs have identified some software and digital devices that
affect a small number of safety functions. None of these safety functions are actuation based.
Digital systems and components requiring remediation of Y2K-related problems perform
functions such as post-accident sampling, fuel handling, core power distribution monitoring, and
reactor vessel level measurement. Licensees have identified incorrect dates in safety-related
printouts, logs, and displays in systems such as radiation monitoring. These'errors, however, have not affected the functions performed by the devices or systems. There are mission critical
non-safety-related functions such as digital feedwater controls, moisture separator reheater
controls, reactor recirculating coolant controls, and motor generator set controls that are
affected by the Y2K concern and have required remediation. These balance-of-plant functions
are critical for power generation.
The audits revealed that licensees are actively addressing loss of off-site communications and
grid instability issues which are addressed as part of their contingency planning. Based on the
available contingency plans and licensees' scheduled evaluations, remediations, and testing, the staff did not identify any communication related Issue that would prevent any audited plant
from being Y2K ready by January 1, 2000. Licensees are continuing to evaluate their
communication systems for susceptibility to the Y2K issue and have developed plans to cope
with system failures. Licensees are interacting with the North American Electric Reliability
Council (NERC) to develop electrical grid stability plans for generation and transmission. The
licensees have Identified grid instability as a factor to be included under external risk as part of
the Y2K contingency planning effort. Nuclear plant licensees and the NRC recognize the
- .
IN 99-12 April 28, 1999 national importance of having available the broadest range of electrical generating capability in
order to cope with any unforseen Y2K impacts should they occur. However, NERC in their
report to DOE, "Preparing the Electric Power Systems of North America For Transition to the
Year 2000," dated September 17, 1998, states as follows: aNuclear generating facilities are
expected to be available to supply their share of energy needs and all nuclear safety systems
are expected to be fully ready for Y2K." The NRC regulatory focus on electrical grid reliability is
still related primarily to the challenges on plant safety systems.
Based on the regional site-specific reviews, contingency plan focused audits, and licensee
responses to GL 98-01 or Supplement 1 of GL 98-01, the NRC will determine the need for
future actions regarding the Y2K computer system readiness issue. The results of the these
reviews and audits will be made publically available and may be accessed thru the NRC website
at www.nrc.gov/NRC/NEWS/year2000.html.
This information notice requires no specific action or written response. However, recipients are
reminded that they are required to consider industry-wide operating experience (including NRC
information notices), where practical. If you have any questions about the information in this
notice, please contact one of the technical contacts listed below or the appropriate Office of
Nuclear Reactor Regulation (NRR) project manager.
[Original signed by]
Ledyard B. Marsh, Chief
Events Assessment, Generic Communications
and Non-Power Reactors Branch
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical Contacts: A. Bryant, NRR
W. Burton, NRR
301-415-2712
301-415-2853 E-mail: alb30nrc.nov
E-mail: wfb(&inrc.nov
List of Recently Issued NRC Information Notices
- See previous concurrence DOCUMENT NAME: G:%WFB\\IN_Y2K
To receive a copy of this document, Indicate In the box C=Copy wlo attachmentlenclosure E=Copy with attachment/enclosure N = No copy
OFFICE
REXB
I
EEIB
EEIB
I
C:ElC
l
DD:DE I
l
NAME
Wburton*
_ Abryant*
MChiramal*
JCalvo*
RWessman*
JStrosnider*
DATE
. 4120/99 I 4120199
4/20199
. 04/21/99
1 04/22/99
04/22199 C:REXB
4/4Marsh9
41X.99
OFFICIAL RECORD COPY
0.
Attachment 1
April 28, 1999 LIST OF RECENTLY ISSUED
NRC INFORMATION NOTICES
Information
Date of
Notice No.
Subject
Issuance
Issued to
99-11 Incidents Involving the Use of
4/23/99
All medical use licensees
Radioactive Iodine-131
97-15, Sup I
Reporting of Errors and
4116/99
All holders of operating licensees
Changes inLarge-Break/Small- for nuclear power reactors, except
Break Loss-of-Coolant Evaluation
those who have permanently
models of Fuel Vendors and
cease operations and have
Compliance with 10 CFR 50.46(a)(3)
certified that fuel has been
permanently removed from the
reactor
99-10
Degradation of Prestressing
4/13/99
All holders of Ols for nuclear
Tendon Systems in Prestressed
power reactors
Concrete Containments
99-09 Problems Encountered When
3/24/99
All medical licensees authorized
Manually Editing Treatment Data
to conduct high-dose-rate (HDR)
on The Nucletron Microselectron-HDR
remote after loading
(New) Model 105.999 brachytherapy treatments
99-08 Urine Specimen Adulteration
4/1/99
All holders of operating licensees
For nuclear power reactors and
licensees authorized to possess
or use formula quantities of
strategic special nuclear material
(SSNM)
99-07 Fire Protection Preaction
3122/99
All NRC licensees
Sprinkler System Deluge Valve
Failures and Potentials Testing
Deficiencies
OL = Operating License
CP = Construction Permit
Il1 IN 99-12 April 28,1999 national importance of having available the broadest range of electrical generating capability in
order to cope with any unforseen Y2K impacts should they occur. However, NERC in their
report to DOE, "Preparing the Electric Power Systems of North America For Transition to the
Year 2000,0 dated September 17, 1998, states as follows: "Nuclear generating facilities are
expected to be available to supply their share of energy needs and all nuclear safety systems
are expected to be fully ready for Y2K.0 The NRC regulatory focus on electrical grid reliability is
still related primarily to the challenges on plant safety systems.
Based on the regional site-specific reviews, contingency plan focused audits, and licensee
responses to GL 98-01 or Supplement 1 of GL 98-1, the NRC will determine the need for
future actions regarding the Y2K computer system readiness issue. The results of the these
reviews and audits will be made publically available and may be accessed thru the NRC website
at www.nrc.gov/NRC/NEWS/year2000.html.
This information notice requires no specific action or written response. However, recipients are
reminded that they are required to consider industry-wide operating experience (including NRC
information notices), where practical. If you have any questions about the information in this
notice, please contact one of the technical contacts listed below or the appropriate Office of
Nuclear Reactor Regulation (NRR) project manager.
[Original signed by]
Ledyard B. Marsh, Chief
Events Assessment, Generic Communications
and Non-Power Reactors Branch
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical Contacts: A. Bryant, NRR
W. Burton, NRR
301-415-2712
301-415-2853 E-mail: alb3(nrc.aov
E-mail: wfbOfnrc.ov
List of Recently Issued NRC Information Notices
- See previous concurrence DOCUMENT NAME: G:\\WFB\\IN Y2K
To receive a copv of this document, indicate in the box C=Coov wlo attachmentlenclosure E=CoDv with attachment/enclosure N = No coDy
OFFICE
REXB
lI
EEIB
EEIB
L
EI
DD:DE
lI
l DDE
I
NAME
l Wburton*
_ Abryant*
l MChiramal*
l JCalvo*
RWessman*
l JStrosnider*
l
DATE
14/20/99
1 4120199
1 4/20/99
[ 04/21/99 l04122/99
1 04122/99 j
C:REXB
Alh
LMarsh W
4199,
OFFICIAL RECORD COPY
KG/
IN99-xx
April xx, 1999 are expected to be fully ready for Y2K." The NRC regulatory focus on electrical grid reliability is
still related primarily to the challenges on plant safety systems.
Based on the regional site-specific reviews, contingency plan focused audits, and licensee
responses to GL 98-01 or Supplement 1 of GL 98-01, the NRC will determine the need for future
actions regarding the Y2K computer system readiness issue. The results of the these reviews
and audits will be made publically available and may be accessed thru the NRC website at
www.nrc.gov/NRC/NEWS/year2000.html.
This information notice requires no specific action or written response. However, recipients are
reminded that they are required to consider industry-wide operating experience (including NRC
information notices), where practical. If you have any questions about the information in this
notice, please contact one of the technical contacts listed below or the appropriate Office of
Nuclear Reactor Regulation (NRR) project manager.
David B. Matthews, Director
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical Contacts:
A. Bryant, NRR
301-415-2712 E-mail: alb3@nrc.gov
W. Burton, NRR
301-415-2853 E-mail: wfb@nrc.gov
List of Recently Issued NRC Information Notices
DOCUMENT NAME: G:\\WFB\\INY2K
- See previous concurrence
- £
AX.i..
gni.#t fin
kh_
f^Y r.=,
win attnr-hmnnt/Pnroura E=CopV with attachmenttenclosure N = No copy
lo receive a uupy o, uuIs uucu,,rntu, clb
.les ...
l
-1.
..
t; WA
--
V#
Bre
-u_.
I
OFFICE
REXI
l
EEIB
lEEIB
l
C:EIC
I F
DD:DE
4 '
DDE l Co
NAME
Wburton*
Abryant*
MChiramal*
JCaIvo r
j RWegI'i
jder
DATE
1 4/20/99
4/20/99 J 4/20/99
4/1I99 A;J4,<y99
-I99
-
-
C:REXB
I
D:DRIP
I
LMarsh
DMatthews
/1 99 I 199
OFFICIAL RECORD COPY
K>-
K>-
IN 99-xx
April xx, 1999 are expected to be fully ready for Y2K. The NRC regulatory focus on electrical grid reliability is
still related primarily to the challenges on plant safety systems.
Based on the regional site-specific reviews, contingency plan focused audits, and licensee
responses to GL 98-01 or Supplement I of GL 98-01, the NRC will determine the need for future
actions regarding the Y2K computer system readiness issue. The results of the these reviews
and audits will be made publically available and may be accessed thru the NRC website at
www.nrc.gov/NRC/NEWS/year2000.html.
This information notice requires no specific action or written response. However, recipients are
reminded that they are required to consider industry-wide operating experience (including NRC
information notices), where practical, when setting goals and performing periodic evaluations
under Section 50.65, "Requirements for Monitoring the Effectiveness of Maintenance at Nuclear
Power Plants," of Part 50 of Title 10 of the Code of Federal Regulations. If you have any
questions about the information in this notice, please contact one of the technical contacts listed
below or the appropriate Office of Nuclear Reactor Regulation (NRR) project manager.
David B. Matthews, Director
Division of Regulatory Improvement Programs
Office of Nuclear Reactor Regulation
Technical Contacts:
A. Bryant, NRR
301-415-2712 E-mail: alb3(nrc.oov
W. Burton, NRR
301-415-2853 E-mail: wfbOinrc.gov
List of Recently Issued NRC Information Notices
O9yV
DOCUMENT NAME: G:\\WFB\\INY2K
- See previous concurrence
To reeniva a mnv of this documAnt indicate in the box r=Crnnv winn atrachmntPeInetiosrp F==nnr
with attnfhmenm
lonInayrfP Id I= KIt-n n
- . _ ...
,_-
, -.
__
.....
i___,
-e
liwllw9_b-i
-
--
V .XABUll~lUlV
-i
WZV,
OFFICE
REXBEICB
EICB
l
C:EICB
C:REXB
D:DRIP
I
NAME
WBurtonf)l
ABryant L'..i
MChirmal 4 JCalvo
ILMarsh
DMatthews
DATE
1 /9 Ie1I99 fIA'l9
-
-
199
_ I /99 I /99 OFFICIAL RECORD COPY