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
  • Overview: NRC I&C Licensing Infrastructure
  • Overview: NRC I&C Staff Review Guidance
  • I&C Regulatory Infrastructure Technical Areas
  • Mapping between regulations and guidance
  • Look Ahead
  • Closing Remarks 2

Purpose & Objectives

  • Brief the Advisory Committee on Reactor Safeguards (ACRS) on the NRCs I&C regulatory infrastructure mapping connecting the regulatory requirements with applicable guidance o Familiarize the ACRS with the NRCs I&C regulatory infrastructure o Communicate the staffs 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-SECY-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-SECY-16-0070 (October 25, 2016) o Approved the implementation of the staffs Integrated Action Plan (IAP) to modernize the NRCs I&C regulatory infrastructure
  • The staff issued SECY-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-22-0076 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 SECY-21-0091 and SECY-22-0095 for staffs annual updates to the Commission

Overview: NRC I&C Licensing Infrastructure

  • Regulations Title 10, Code of Federal Regulations (10 CFR)

Policy 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 and Guides

  • Design Review Guide (DRG)

(e.g., IEEE, IEC, EPRI, ISA, NEI)

  • NUREG-1537 - Non-power Production and Utilization Facilities (NPUFs) 6

Overview: 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)
  • NUREG-1537 - Non-power Production and Utilization Facilities (NPUFs)

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 NUREG-1537 Licensing review guidance for NPUFs 7

Overview: I&C Licensing Review Guidance Staff Review Documents Description Standard Review Plan - Chapter 7 Chapter 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 Criteria for Cyber Safety Safety System Security Instrument Systems Programmable Sensing Lines Digital Devices Setpoint Establishment Safety Digital Development Security and 10 CFR Parts and 10 CFR Part Maintenance 50 & 52 Reliability 73 Accident Commercial Monitoring Grade Instrumentation Dedication 9 Equipment Qualification

Criteria for Safety Systems Regulatory Requirements & Policy Regulatory Guidance Staff Guidance RG 1.22, Rev. 0 Periodic Testing of Protection 10 CFR Part 50 System Actuation Functions Construction Permit (CP), NUREG-0800 Operating License (OL) RG 1.30, Rev. 0 IEEE Std 336-1971 Standard 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, of Instrumentation and Electric Construction of Nuclear Power 7.3 - Engineered Safety Features Systems, Design Certification (DC), 7.4 - Safe Shutdown Systems, Criteria for Safety Systems Equipment Generating Stations Combined Operating 7.5 - Information Systems Important to Safety, License (COL), Standard 7.6 - Interlock Systems Important to Safety, RG 1.47, Rev. 1 7.7 - Control Systems, Design Approval (SDA), Bypassed and Inoperable Status 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 Application of the Single-Failure BTP 7-8 Appendix A Application of the Single-Failure Criterion to Nuclear Power Guidance for Application of Criterion to Safety Systems General Design Criteria Generating Station Safety Systems Regulatory Guide 1.22 1,2,4,13,19, 20,21,22,24,25,29,34 RG 1.62, Rev. 1 Manual Initiation of Protection BTP 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 Independence of Class 1E ISG-06
  • Systems Licensing Process Equipment and Circuits 50.55a(h) (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 D.6 - IEEE Std 603/IEEE Std 7-4.3.2 Periodic Testing of Electric Power Criteria for Periodic Surveillance Compliance/Conformance) and Protection Systems Testing SRM-SECY-93-087
  • Item 18 RG 1.153, Rev. 1 Criteria for Safety Systems 10 Back
  • Digital-Specific

Criteria for Safety System Programmable Digital Devices Regulatory Requirements & Policy Regulatory Guidance Staff Guidance NUREG-0800 10 CFR Part 50 Standard Review Plan, Chapter 7 CP, OL Criteria for Safety System DG-1374 (RG 1.152, Rev. 4) IEEE Std 7-4.3.2-2016 BTP 7-17

  • Standard Criteria for Digital Guidance on Self-Test and Surveillance 10 CFR Part 52 Criteria for Use of Computers in RGSafety 1.152, Rev.of3NPPs
  • IEEE Std 7-4.3.2-2003 Computers in Safety Systems of Systems Standard Criteria for Digital Test Provisions DC, COL, SDA, ML Criteria for Use of Computers in Nuclear Power Generating Stations Computers in Safety Systems of Safety Systems of NPPs Nuclear Power Generating Stations BTP 7-19
  • Programmable Digital Devices 5.1 Single-Failure Criterion Guidance on Digital Computer 5.5 System Integrity Real-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 Highly-Integrated 5.5.3 Fault Detection and Self-Diagnostics Control Room Communications Criteria 5.5.4 Prioritization of Functions 5.6 Independence ISG-06
  • 50.55a(h) 5.7 Capability for Testing and Calibration Licensing Process IEEE Std 603-1991 (D.1 - System Description, 5.8 Information Displays D.2 - System Architecture, IEEE Std 279-1971 5.9 Control of Access D.5 - Applying a Topical Report, 5.11 Identification D.6 - IEEE Std 603/IEEE Std 7-4.3.2 Compliance/Conformance, SRM-SECY-93-087
  • 5.15 Reliability D.8 - SDOE)

Item 18 5.16 Common Cause Failure Criteria 5.18 Simplicity 11 Back

  • Digital-Specific

Digital Development and Reliability Regulatory Regulatory Guidance Staff Guidance Requirements IEEE Std 1012-2004 RG 1.168, Rev. 2

  • Standard for Software Verification, Validation, Reviews and Verification and Validation IEEE Std 1028-2008 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 Digital Development and Reliability CP, OL Configuration Management Plans for Standard for Configuration Digital Computer Software Used in Management in Systems and NUREG-0800 Safety Systems of NPPs Software Engineering Standard Review Plan, Chapter 7 10 CFR Part 52 RG 1. 170, Rev. 1
  • DC, COL, SDA, ML Software Test Documentation for IEEE Std 829-2008 Standard for Software and Digital Computer Software Used in System Test Documentation BTP 7-14
  • Appendix A Software Unit Testing for Digital ANSI/IEEE Std 1008-1987 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
  • IEEE Std 830-1998 Software Requirements Specifications Recommended Practice for ISG-06
  • 10 CFR Part 50, Licensing Process for Digital Computer Software Used in Software Requirements Appendix B Safety Systems of NPPs Specifications (D.4 - Digital I&C System Quality Assurance Development Processes, Criteria RG 1.173, Rev. 1
  • D.8 - SDOE, IEEE Std 1074-2006 D.9 - Other Review Guidance Developing Software Life Cycle IEEE Standard for Developing a for Tier 1, 2, and 3 Reviews)

Processes for Digital Computer Software Project Life Cycle Software Used in Safety Systems of 50.55a(h) Process NPPs 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 RGSafety 1.152, Rev.of3NPPs

  • IEEE Std 7-4.3.2-2003 Computers in Safety Systems of Systems Criteria for Use of Computers in Clause Nuclear 5.3Generating Power Quality, Stations 12 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 Noncompliance EPRI TR-106439 Staff Review of Guideline on Evaluation and NUREG-0800 Commercial Grade Dedication Standard Review Plan, EPRI TR-106439

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

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

  • 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 IEEEStandard Std Criteria for Digital 323-1974 Computers in Safety Environmental Qualification of Standard for Qualifying Class 1E 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 Guidelines for EQ of Safety-Related Standard for Qualifying Class 1E 10 CFR Part 52 Computer-Based I&C Systems in Equipment for Nuclear DC, COL, SDA, ML Equipment Qualification NPPs Power Generating Stations NUREG-0800 IEEE Std 344-2013 Standard Review Plan, 10 CFR Part 50, 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
  • Licensing Process 50.49 (D.3 - Hardware Environmental IEEE Std 1050-2004 MIL-STD-461G 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) IEC 61000-6 IEEE Std C62.41.2-2002 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 Standard Criteria for Digital RGSafety 1.152, Rev.of3NPPs Systems

  • IEEE Std 7-4.3.2-2003, Computers in Safety Systems of Criteria for Use of Computers in Clause Nuclear Power 5.4 Generating Stations 14 Back Safety Systems of NPPs Equipment Qualification
  • Digital-Specific

Accident Monitoring Instrumentation Regulatory Requirements Regulatory Guidance Staff Guidance

& Orders Accident Monitoring Instrumentation 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 Monitoring Instrumentation for Appendix A Instrumentation for NPPs General Design Criteria Nuclear Power Generating Stations BTP 7-10 Guidance on 19 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 Setpoints Establishment NUREG-0800 10 CFR Part 52 Standard Review Plan, DC, COL, SDA, ML Chapter 7 10 CFR Part 50, BTP 7-12 Appendix A RG 1. 105, Rev. 4 Guidance on Establishing ANSI/ISA 67.04.01-2018 and Maintenance General Design Criteria and Maintaining Setpoints for Safety-Related Setpoints for Nuclear Safety- Instrument Setpoints 13, 20 Instrumentation Related Instrumentation 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 Instrument Sensing Lines CP, OL ANSI/ISA-67.02.01-2014 10 CFR Part 52 Nuclear Safety-Related Instrument DC, COL, SDA, ML Sensing Line Piping and Tubing Standard for Use in NPPs NUREG-0800 RG 1.151, Rev. 2 Standard Review Plan, 10 CFR Part 50, 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 Cyber Security COL 10 CFR 7

3.1 Purpose and Scope

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

Closing Remarks References

Acronyms Acronym Description Acronym Description ACRS Advisory Committee on Reactor Safeguards ISG Interim Staff Guidance ANSI American National Standards Institute LWR Light-Water Reactor ASME American Society of Mechanical Engineers ML Manufacturing License BTP Branch Technical Position NEI Nuclear Energy Institute CFR Code of Federal Regulations NPP Nuclear Power Plant COL Combined Operating License NPUFs 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 5.5.2 Design for Test and Calibration Grade 5.17 - Use of Commercial Digital Equipment Safety Systems 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 5.11 - Identification Equipment 5.4 - Equipment Qualification Digital Devices 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 5.3.1 Software Development Digital 5.3.2 Software Tools Development 5.3.3 Verification and Validation and 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 Safety D.2 - System Architecture Equipment D.3 - Hardware Equipment Qualification Systems 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 Programmable D.7 - Technical Specifications D.8 - Secure Development and Operational Environment and Digital Devices Maintenance D.6 - IEEE Std 603/IEEE Std 7-4.3.2 Compliance/Conformance Digital D.4 - Digital I&C System Development Processes Development ISG-06, Rev. 2 does not provide specific licensing 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 25 Digital Equipment Dedication Back

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