ML23096A169

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ACRS Information Briefing - I&C Regulatory Infrastructure for Reactors, April 5, 2023
ML23096A169
Person / Time
Issue date: 04/06/2023
From: Samir Darbali
NRC/NRR/DEX/ELTB
To:
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Download: ML23096A169 (1)
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NRC Instrumentation and Controls (I&C)

Regulatory Infrastructure for Reactors

Advisory Committee on Reactor Safeguards (ACRS)

Full Committee Informational Briefing April 5, 2023 Presentation Outline

  • Purpose & Objectives
  • Background
  • Accomplishments
  • Over view: NRC I&C Licensing Infrastructure
  • Over view: NRC I&C Staff Review Guidance
  • I&C Regulatory Infrastructure Technical Areas
  • Mapping between regulations and guidance
  • Look Ahead
  • Closing Remarks 2 Purpose & Objectives

o Familiarize the ACRS with the NRC s I&C regulatory infrastructure

o Communicate the staff s efforts to continue to modernize and improve clarity of the I&C regulatory infrastructure

o Communicate the interrelationships between the I&C requirements, guidance, and industry standards 3

Background

  • The Commission issued SRM-S EC Y-15-0106 (February 25, 2016) o Directed the staff to develop an integrated strategy to modernize the NRC's I&C regulatory infrastructure
  • The Commission issued SRM-S EC Y-16-0070 (October 25, 2016) o Approved the implementation of the staff s Integrated Action Plan (IAP) to modernize the NRC s I&C regulatory infrastructure
  • The staff issued S EC Y-19-0112 (November 2019) o Vision for modernized I&C regulatory infrastructure with reduced uncertainty that enables the expanded safe use of digital I&C
  • The staff is currently implementing the vision

4 Accomplishments Since Sept. 2021 ACRS Briefing on Digital I&C (DI&C) Infrastructure and Licensing Activities

  • Issued guidance for verifying a DI&C items dependability critical characteristics based on an accredited certification during the dedicating process
  • Issued SECY 0076 to expand the DI&C common-cause failure policy
  • Issued DG-1374 (RG 1.152, Rev. 4) to endorse IEEE Std 7-4.3.2-2016
  • Held industry workshops on the I&C licensing framework for advanced reactors

5 See S EC Y 0091 and S EC Y 0095 for staff s annual updates to the Commission Over view: NRC I&C Licensing Infrastructure

  • Regulations Policy Title 10, Code of Federal Regulations (10 CFR) and
  • Staff Requirements Memoranda (SRMs)

Requirements

  • Standard Review Plan (SRP)
  • Regulatory Guides (26) o Branch Technical Positions (BTPs) o Interim Staff Guidance (ISGs)
  • Endorsed Industry Standards,Regulatory NRC Staff
  • Design Specific Review Standard (DSRS)

Recommended Practices, Guidance Review Guidance

  • Design Review Guide (DRG) and Guides (e. g., IEEE, IEC, EPRI, ISA, NEI)

6 Over view: NRC I&C Staff Review Guidance

  • Standard Review Plan (SRP) o Branch Technical Positions (BTPs) o Interim Staff Guidance (ISGs)

NRC Staff

  • Design Specific Review Standard (DSRS)

Review Guidance

  • Design Review Guide (DRG)

Document Description SRP Chapter 7, BTPs, ISGs Licensing review guidance for Light Water Reactors (LWR)

DSRS Chapter 7 Design specific review standard (e. g., NuScale)

DRG Generic licensing review guidance for non-LWR reactors N U REG-1537 Licensing review guidance for NPUFs7 Over view: I&C Licensing Review Guidance

Staff Review Documents Description

Standard Review Plan - Chapter 7Chapter 7 of the SRP provides guidance for review of the I&C (Instrumentation and Controls) portions of: (1) applications for nuclear reactor licenses or permits and (2) amendments to existing licenses

Branch Technical Positions The BTPs represent guidelines intended to supplement the (contained within Chapter 7) acceptance criteria established in regulations and the guidelines provided in regulatory guides and applicable industry standards

DI&C Interim Staff Guidance ISGs are often used to clarify or expand on guidance found in (supplemental information to standard review plans or regulatory guides, and facilitate the Chapter 7) resolution of technical or licensing issues within established regulatory processes

8 I&C Regulatory Infrastructure Technical Areas

Criteria for Cyber S afet y Criteria for Security Instrument Syste m s Safet y System Sensing Lines Programmable Digital Devices

Setpoint S a fe t y Digital Security Establishment Development and 10 CFR Parts and 10 CFR Part Maintenance 50 & 52 Reliability 73

Accident Commercial Monitoring G ra d e Instrumentation Equipment Dedication 9 Qualification Criteria for Safety Systems Regulatory Requirements & Policy Regulatory Guidance Staff Guidance

RG 1.22, Rev. 0 10 CFR Part 50 Periodic Testing of Protection System Actuation Functions Construction Permit (CP), NUREG-0800 Operating License (OL) RG 1.30, Rev. 0 IEEE Std 336-1971Standard Review Plan, Chapter 7 - I&C QA Requirements for the Requirements for Instrumentation 7.1 - Introduction, 10 CFR Part 52 Installation, Inspection, and Testing and Electric Equipment During the 7.2 - Reactor Trip System, Design Certification (DC), of Instrumentation and Electric Construction of Nuclear Power 7.3 - Engineered Safety Features Systems, Equipment Generating Stations 7.4 - Safe Shutdown Systems, Combined Operating 7.5 - Information Systems Important to Safety, License (COL), Standard RG 1.47, Rev. 1 7.6 - Interlock Systems Important to Safety, Design Approval (SDA), Bypassed and Inoperable Status 7.7 - Control Systems, 7.8 - Diverse Instrumentation and Control Manufacturing License (ML) Indication for NPP Safety System Systems, 7.9 - Data Communication Systems 10 CFR Part 50, RG 1.53, Rev. 2 IEEE Std 379-2000 Appendix A Application of the Single-Failure Application of the Single-Failure BT P 7-8 Criterion to Safety Systems Criterion to Nuclear Power Guidance for Application of General Design Criteria Generating Station Safety Systems Regulatory Guide 1.22 1,2,4,13,19, RG 1.62, Rev. 1 20,21,22,24,25,29,34 Manual Initiation of Protection BT P 7-19

  • Actions Guidance for Evaluation of Diversity and 10 CFR Part 50, Defense-in-Depth in Digital Computer-Appendix B RG 1.75, Rev. 3 IEEE Std 384-1992 Based I&C Systems Quality Assurance Criteria Independence of Electrical Safety Standard Criteria for ISG-06
  • Systems Independence of Class 1E 50.55a(h) Equipment and Circuits Licensing Process (D.1 - System Description, IEEE Std 603-1991 RG 1.118, Rev. 3 ANSI/IEEE Std 338-1987 D.2 - System Architecture, IEEE Std 279-1971 Periodic Testing of Electric Power Criteria for Periodic Surveillance D.6 - IEEE Std 603/IEEE Std 7 -4.3.2 and Protection Systems Testing Compliance/Conformance)

SRM-SECY 087

  • Item 18 RG 1.153, Rev. 1 Criteria for Safety Systems 10 Back *Digital-Specific Criteria for Safety System Programmable Digital Devices Regulatory Regulatory Guidance Staff Guidance Requirements & Policy

10 CFR Part 50 NUREG-0800 CP, OL Standard Review Plan, Chapter 7 DG-1374 (RG 1.152, Rev. 4) IEEE Std 7-4.3.2-2016 BT P 7-17

  • IEEE Std 7-4.3.2-2003Computers in Safety Systems of Standard Criteria for Digital Guidance on Self-Test and Surveillance DC, COL, SDA, ML Safety Systems of NPPs Standard Criteria for Digital Test Provisions Criteria for Use of Computers in Computers in Safety Systems of Nuclear Power Generating Stations Safety Systems of NPPs Nuclear Power Generating Stations BT P 7-19
  • 10 CFR Part 50, Guidance for Evaluation of Diversity Appendix A and Defense-in-Depth in Digital Computer-Based I&C Systems General Design Criteria Applicable IEEE Std 7-4.3.2-2016 Clauses 21 BT P 7-21
  • 5.1 Single-Failure CriterionGuidance on Digital Computer 5.5 System IntegrityReal-Time Performance 10 CFR Part 50, 5.5.1 Design for PDD Integrity Appendix B 5.5.2 Design for Test and Calibration ISG-04
  • Quality Assurance 5.5.3 Fault Detection and Self-Diagnostics Highly-Integrated Criteria Control Room Communications 5.5.4 Prioritization of Functions 5.6 IndependenceISG-06
  • 50.55a(h) 5.7 Capability for Testing and Calibration Licensing Process IEEE Std 603-1991 5.8 Information Displays(D.1 - System Description, IEEE Std 279-1971 D.2 - System Architecture, 5.9 Control of AccessD.5 - Applying a Topical Report, 5.11 IdentificationD.6 - IEEE Std 603/IEEE Std 7 -4.3.2 SRM-SECY 087
  • 5.15 ReliabilityCompliance/Conformance, Item 18 5.16 Common Cause Failure Criteria D.8 - SDOE)

5.18 Simplicity 11 Back *Digital-Specific Digital Development and Reliability Regulatory Requirements Regulatory Guidance Staff Guidance IEEE Std 1012-2004 RG 1.168, Rev. 2

  • Standard for Software IEEE Std 1028-2008 Verification, Validation, Reviews and Verification and Validation Audits for Digital Computer Software Standard for Software Used in Safety Systems of NPPs Reviews and Audits

10 CFR Part 50 RG 1.169, Rev. 1

  • IEEE Std 828-2005 CP, OL Configuration Management Plans for Standard for Configuration NUREG-0800 Digital Computer Software Used in Management in Systems and Standard Review Plan, Safety Systems of NPPs Software Engineering Chapter 7 10 CFR Part 52 RG 1. 170, Rev. 1
  • IEEE Std 829-2008 DC, COL, SDA, ML Software Test Documentation for Standard for Software and Digital Computer Software Used in System Test Documentation BT P 7-14
  • ANSI/IEEE Std 1008-1987 Reviews for Digital Software Unit Testing for Digital Computer-Based General Design Criteria Computer Software Used in Safety Standard for Software Unit I&C Systems 1, 21 Systems of NPPs Testing

RG 1.172, Rev. 1

  • 10 CFR Part 50, Software Requirements Specifications Recommended Practice for Licensing Process Appendix B for Digital Computer Software Used in Software Requirements (D.4 - Digital I&C System Quality Assurance Safety Systems of NPPs Specifications Development Processes, Criteria RG 1.173, Rev. 1
  • IEEE Std 1074-2006D.8 - SDOE, Developing Software Life Cycle D.9 - Other Review Guidance Processes for Digital Computer IEEE Standard for Developing a for Tier 1, 2, and 3 Reviews)

Software Used in Safety Systems of Software Project Life Cycle 50.55a(h) NPPs Process IEEE Std 603-1991 IEEE Std 279-1971 DG-1374 (RG 1.152, Rev. 4) IEEE Std 7-4.3.2-2016 Criteria for Use of Computers in IEEE Std 7-4.3.2-2003Standard Criteria for Digital RG 1.152, Rev. 3 *Safety Systems of NPPs Computers in Safety Systems of 12 Criteria for Use of Computers in Nuclear Power Generating StationsClause 5.3 Quality, Back Safety Systems of NPPs Clause 5.9 Control of Access *Digital-Specific Commercial Grade Dedication Regulatory Requirements Regulatory Guidance Staff Guidance EPRI 3002002982, Rev. 1 to RG 1.164, Rev. 0 EPRI NP-5652 and TR-102260 Dedication of Commercial-Grade Guideline for the Acceptance of 10 CFR Part 21 Items for Use in NPPs Commercial-Grade Items in Nuclear Reporting of Safety-Related Applications Defects and EPRI TR-106439 Noncompliance Staff Review of Guideline on Evaluation and NUREG-0800 EPRI TR-106439

10 CFR Part 52 Staff Review of EPRI TR-107330 Guidance for Software BT P 7-14

  • DC, COL, SDA, ML Generic Requirements Specification Review for Digital EPRI TR-107330
  • Guidance on Using IEC 61508 SIL ISG-06
  • 10 CFR Part 50, Dedication of Commercial-Grade Certification to Support the Licensing Process Appendix B Digital I&C Items for use in NPPs Acceptance of Commercial Grade (D.9.9 - Commercial-Grade Digital Equipment for Dedication of Digital Quality Assurance Nuclear Safety Related Applications Equipment)

Criteria

50.55a(h) DG-1374 (RG 1.152, Rev. 4)

13 Back *Digital-Specific Equipment Qualification Regulatory Requirements Regulatory Guidance Staff Guidance

DG-1361 (RG 1.89, Rev. 2) IEC/IEEE Std 60780/323-2016 RG 1.89, Rev. 1 IEEE Std 323-1974Standard Criteria for Digital Environmental Qualification of Standard for Qualifying Class 1E Computers in Safety 10 CFR Part 50 Certain Electric Equipment Equipment for Nuclear Power CP, OL Important to Safety for NPPs Generating Stations

RG 1.209, Rev. 0

  • IEEE Std 323-2003 10 CFR Part 52 Guidelines for EQ of Safety-Related Standard for Qualifying Class 1E Computer-Based I&C Systems in Equipment for Nuclear DC, COL, SDA, ML NPPs Power Generating Stations NUREG-0800 10 CFR Part 50, IEEE Std 344-2013 Standard Review Plan, Standard for Seismic Qualification of Equipment Chapter 7 Appendix A RG 1.100, Rev. 4 IEEE Std C37.98-2013 General Design Criteria Seismic Qualification of Electric and Seismic Qual. Testing of Protective Relays and Auxiliaries 1,2,4,13,21,23 Mechanical Equipment for NPPs ASME QME-1-2017 Qualification of Active Mechanical Equipment ISG-06
  • 50.49 Licensing Process Environmental IEEE Std 1050-2004 MIL-STD-461G (D.3 - Hardware Equipment Qualification)

Qualification of Electric RG 1.180, Rev. 2 Equipment Important to Guidelines for Evaluating IEEE Std C62.45-2002 IEC 61000-3 Safety for NPPs Electromagnetic and Radio-Frequency Interference in Safety-IEEE Std C62.41.1-2002 IEC 61000-4 Related I&C Systems 50.55a(h) IEEE Std C62.41.2-2002 IEC 61000-6 IEEE Std 603-1991 IEEE Std 279-1971 IEEE Std 7-4.3.2-2016 DG-1374 (RG 1.152, Rev. 4)

Criteria for Use of Computers in Standard Criteria for Digital RG 1.152, Rev. 3 *Safety Systems of NPPs IEEE Std 7-4.3.2-2003,Computers in Safety Systems of Criteria for Use of Computers in Nuclear Power Generating StationsClause 5.4 14 Back Safety Systems of NPPs Equipment Qualification *Digital-Specific Accident Monitoring Instrumentation Regulatory Requirements Regulatory Guidance Staff Guidance

& O rde rs

10 CFR Part 50 CP, OL NUREG-0800 10 CFR Part 52 Standard Review Plan, DC, COL, SDA, ML Chapter 7 RG 1.97, Rev. 5 IEEE Std 497-2016 10 CFR Part 50, Criteria for Accident Monitoring Standard Criteria for Accident Appendix A Instrumentation for NPPs Monitoring Instrumentation for General Design Criteria Nuclear Power Generating Stations BT P 7-10 19 Guidance on Application of Regulatory Guide 1.97 10 CFR 50.34(f)(2)(xix)

Additional TMI-related Requirements

10 CFR 50.155(e)

Spent Fuel Pool Monitoring

15 Back Setpoint Establishment and Maintenance

Regulatory Requirements Regulatory Guidance Staff Guidance

10 CFR Part 50 CP, OL 10 CFR Part 52 NUREG-0800 Standard Review Plan, DC, COL, SDA, ML Chapter 7

10 CFR Part 50, BT P 7-12 Appendix A RG 1. 105, Rev. 4 ANSI/ISA 67.04.01-2018 Guidance on Establishing General Design Criteria Setpoints for Safety-Related Setpoints for Nuclear Safety-and Maintaining 13, 20 Instrumentation Related Instrumentation Instrument Setpoints

10 CFR 50.36(c)(1)(ii)(A) ISG-06

  • Technical Specifications Licensing Process (D.7 - Technical Specifications) 50.55a(h)

IEEE Std 603-1991 IEEE Std 279-1971

  • Digital-Specific

16 Back Instrument Sensing Lines

Regulatory Requirements Regulatory Guidance Staff Guidance

10 CFR Part 50 CP, OL

10 CFR Part 52 ANSI/ISA-67.02.01-2014 DC, COL, SDA, ML Nuclear Safety-Related Instrument Sensing Line Piping and Tubing Standard for Use in NPPs NUREG-0800 10 CFR Part 50, RG 1.151, Rev. 2 Standard Review Plan, Instrument Sensing Lines Chapter 7 Appendix A IEEE Std 622-1987 General Design Criteria Recommended Practice for the 1,2,13,21,22,23,24 Design and Installation of Electric Heat Tracing Systems for Nuclear Power Generating Systems 10 CFR 50.36(c)(2)(ii)

Technical Specifications

17 Back Cyber Security

Regulatory Requirements Regulatory Guidance Staff Guidance

10 CFR Part 50 OL

10 CFR Part 52 COL

10 CFR 73.1 RG 5.71, Rev. 1 Purpose and Scope Cyber Security Programs for 10 CFR 73.54 Nuclear Facilities Protection of Digital NUREG-0800 Computer and Standard Review Plan, Communication Section 13.6.6 Systems and Networks RG 5.83, Rev. 0 10 CFR 73.77 Cyber Security Event Notifications Cyber Security Event Notification 18 Back SDOE Look Ahead

  • SRP Modernization of Chapter 7
  • Update digital development and reliability guidance
  • RG 1.168: V&V
  • Take necessary steps to sunset ISG -04
  • Follow Commission direction regarding SECY 0076

19 Closing Remarks References

  • Commission Papers (SECY) -https://www.nrc. gov/reading-rm/doc-collections/commission/secys/index.html
  • Staff Requirements Memoranda -https://www.nrc. gov/reading-rm/doc-collections/commission/srm/index.html
  • Regulatory Guides -https://www.nrc. gov/reading-rm/doc-collections/reg-guides/power-reactors/rg /index.html
  • Interim Staff Guidance -https://www.nrc. gov/reading-rm/doc-collections/isg /index.html
  • Safety Evaluation of EPRI TR-107330, Generic Requirements Specification for Qualifying a Commercially Available PLC for Safety-Related Applications in NPPs - https://www.nrc. gov/docs/ML1220/ML12205A265.pdf

21 Acronyms

Acronym Description Acronym Description ACRS Advisory Committee on Reactor Safeguards ISG Interim Staff Guidance ANSI American National Standards Institute LW R Light-Water Reactor ASME American Society of Mechanical Engineers ML Manufacturing License BT P Branch Technical Position NEI Nuclear Energy Institute CFR Code of Federal Regulations NPP Nuclear Power Plant COL Combined Operating License N P UFs Non-power Production and Utilization Facilities CP Construction Permit NRC Nuclear Regulatory Commission DC Design Certification OL Operating License

DI&C Digital Instrumentation and Controls QA Quality Assurance DG Draft Guide PDD Programmable Digital Device DRG Design Review Guide PLC Programmable Logic Controller DSRS Design Specific Review Standard RG Regulatory Guide EPRI Electric Power Research Institute SDA Standard Design Approval IAP Integrated Action Plan SDOE Secure Development and Operational Environment I&C Instrumentation and Controls SIL Safety Integrity Level IEC International Electrotechnical Commission SRM Staff Requirements Memorandum 22

IEEE Institute of Electrical and Electronics Engineers SRP Standard Review Plan ISA International Society of Automation V&V Verification and Validation Backup Slides I&C Technical Areas & IEEE Std 7-4.3.2-2016 Clauses

5.1 - Single-Failure Criterion 5.5 - System Integrity Criteria for 5.5.1 Design for PDD Integrity Commercial 5.17 - Use of Commercial Digital Equipment S afety 5.5.2 Design for Test and Calibration Grade System s 5.5.3 Fault Detection and Self-Diagnostics Dedication 5.5.4 Prioritization of Functions 5.6 - Independence Criteria for 5.7 - Capability for Testing and Calibration Safety System 5.8 - Information Displays Programmable 5.9 - Control of Access Equipment 5.4 - Equipment Qualification Digital Devices 5.11 - Identification Qualification 5.15 - Reliability 5.16 - Common Cause Failure Criteria 5.18 - Simplicity

5.3 - Quality IEEE Std 7-4.3.2-2016 does not provide specific criteria for Digital 5.3.1 Software Development Development 5.3.2 Software Tools and 5.3.3 Verification and Validation 5.3.4 Independent V&V Requirements Reliability 5.3.5 Software Configuration Management 5.3.6 Software Project Risk Management 5.9 - Control of Access 24

Clauses 4, 5.2, 5.10, 5.12, 5.13, 5.14, 6, 7, 8 do not provide criteria beyond IEEE Std 603

Back I&C Technical Areas & ISG-06, Licensing Process

Criteria for D. 1 - System Description S afety D. 2 - System Architecture Equipment D. 3 - Hardware Equipment Qualification System s D. 6 - IEEE Std 603/IEEE Std 7-4.3.2 Qualification Compliance/Conformance

D. 1 - System Description Criteria for D. 2 - System Architecture Setpoint Safety System D. 5 - Applying a Topical Report Establishment D. 7 - Technical Specifications Programmable D. 8 - Secure Development and Operational Environment and Digital Devices D. 6 - IEEE Std 603/IEEE Std 7-4.3.2 Maintenance Compliance/Conformance

Digital D. 4 - Digital I&C System Development Processes ISG-06, Rev. 2 does not provide specific licensing Development D. 8 - Secure Development and Operational Environment review guidance for and D. 9 - Other Review Guidance for Tier 1, 2, and 3 Reviews Reliability

Commercial D.9.9 - Commercial-Grade Dedication of Grade Digital Equipment 25 Dedication

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