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NUREG/CR-7273, "Developing a Technical Basis for Embedded

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NUREG/CR-7273, NUREG/CR-7273 Developing a Technical Basis for Embedded Digital Devices and Emerging Technologies Office of Nuclear Regulatory Research AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material Non-NRC Reference Material As of November 1999, you may electronically access Documents available from public and special technical NUREG-series publications and other NRC records at the libraries include all open literature items, such as books, NRC’s Library at www.nrc.gov/reading-rm.html. Publicly journal articles, transactions, Federal Register notices, released records include, to name a few, NUREG-series Federal and State legislation, and congressional reports. publications; Federal Register notices; applicant, licensee, Such documents as theses, dissertations, foreign reports and vendor documents and correspondence; NRC and translations, and non-NRC conference proceedings correspondence and internal memoranda; bulletins and may be purchased from their sponsoring organization. information notices; inspection and investigative reports; licensee event reports; and Commission papers and their Copies of industry codes and standards used in a attachments. substantive manner in the NRC regulatory process are maintained at— NRC publications in the NUREG series, NRC regulations, The NRC Technical Library and Title 10, “Energy,” in the Code of Federal Regulations Two White Flint North : may also be purchased from one of these two sources 11545 Rockville Pike Rockville, MD 20852-2738 1. The Superintendent of Documents U.S. Government Publishing Office These standards are available in the library for reference Washington, DC 20402-0001 use by the public. Codes and standards are usually Internet: www.bookstore.gpo.gov copyrighted and may be purchased from the originating Telephone: (202) 512-1800 organization or, if they are American National Standards, Fax: (202) 512-2104 from— American National Standards Institute 2. The National Technical Information Service 11 West 42nd Street oa 5301 Shawnee R d New York, NY 10036-8002 Alexandria, VA 22312-0002 Internet: www.ansi.org Internet: www.ntis.gov (212) 642-4900 1-800-553-6847 or, locally, (703) 605-6000 Legally binding regulatory requirements are stated only in A single copy of each NRC draft report for comment is laws; NRC regulations; licenses, including technical available free, to the extent of supply, upon written specifications; or orders, not in NUREG-series publications. request as follows: The views expressed in contractor prepared publications in this series are not necessarily those of the NRC. Address: U.S. Nuclear Regulatory Commission The NUREG series comprises (1) technical and Office of Administration administrative reports and books prepared by the staff (NUREG–XXXX) or agency contractors (NUREG/CR–XXXX), Division of Resource Management & Analysis (2) proceedings of conferences (NUREG/CP–XXXX), Washington, DC 20555-0001 (3) reports resulting from international agreements E-mail: [email protected] (NUREG/IA–XXXX),(4) brochures (NUREG/BR–XXXX), and Facsimile: (301) 415-2289 (5) compilations of legal decisions and orders of the Commission and the Atomic and Safety Licensing Boards and of Directors’ decisions under Section 2.206 of the NRC’s regulations (NUREG–0750). Some publications in the NUREG series that are posted at the NRC’s Web site address www.nrc.gov/reading-rm/ DISCLAIMER: This report was prepared as an account doc-collections/nuregs are updated periodically and may of work sponsored by an agency of the U.S. Government. differ from the last printed version. Although references to Neither the U.S. Government nor any agency thereof, nor any employee, makes any warranty, expressed or implied, material found on a Web site bear the date the material or assumes any legal liability or responsibility for any third was accessed, the material available on the date cited party’s use, or the results of such use, of any information, may subsequently be removed from the site. apparatus, product, or process disclosed in this publication, or represents that its use by such third party would not infringe privately owned rights. NUREG/CR-7273 Developing a Technical Basis for Embedded Digital Devices and Emerging Technologies Manuscript Completed: July 2020 Date Published: March 2021 Prepared by: Muhlheim, M. D. 1 Poore, W. P. 1 Nack, A. M. 2 Wood, R. T. 3 Melin, A. M. 1 Bull Ezell, N. D. 1 Hale, R. E. 1 Holcomb, D. E. 1 Huning, A. J. 1 Halverson, D. S. 1Oak Ridge National Laboratory Managed by UT-Battelle, LLC Oak Ridge, TN 37831-6285 2Consultant 3University of Tennessee Knoxville, TN 37996 D. S. Halverson, NRC Project Manager Office of Nuclear Regulatory Research ABSTRACT An embedded digital device (EDD) is a component consisting of one or more electronic parts that requires the use of software, software-developed firmware, or software-developed programmable logic, that is integrated into hardware equipment to implement one or more system safety functions. This report provides a technical basis for developing guidance for the safe use of EDDs in commercial nuclear power plants (NPPs) in the United States (U.S.), along with relevant observations, based on their classification, functionality, configurability, consequences of failure, and potential for common-cause failures (CCFs), and it reviews how other agencies worldwide, both nuclear and nonnuclear, regulate, approve the use of, and actually use EDDs. Areas of interest include the types of components in safety-related applications most likely to have EDDs, methods used by other industries and countries to regulate the use of EDDs, and potential issues noted in industry. This information serves to support the technical basis for a graded approach in the selection and use of EDDs. A tangential supply chain issue is the use of replacement parts or parts in upgrades that may contain an undeclared digital device, as it may not meet the requirements for the safety-related application it is being used in. Other attributes such as reliability (the ability to perform with correct, consistent results), diagnostics, operating experience, and failure modes were reviewed because of their use in risk informing the acceptance of the use of EDDs. Emerging technologies associated with EDDs were noted during this work, and are described in this report. International experience is similar to that acquired in the United States, and regulators around the world are evaluating the safe use of EDDs. Other industries are further along in the use of EDDs and therefore can provide useful insights into their use and regulation. iii TABLE OF CONTENTS ABSTRACT .......................................................................................................................................... iii LIST OF FIGURES ............................................................................................................................... ix LIST OF TABLES ................................................................................................................................ xi EXECUTIVE SUMMARY ................................................................................................................... xiii ACKNOWLEDGMENTS......................................................................................................................xv ABBREVIATIONS AND ACRONYMS .............................................................................................xvii 1 INTRODUCTION ........................................................................................................................... 1-1 1.1 Scope of Study...................................................................................................................... 1-2 1.2 Research Approach .............................................................................................................. 1-3 2 EMBEDDED DIGITAL DEVICES ................................................................................................. 2-1 2.1 What Is an EDD? ................................................................................................................... 2-1 2.1.1 Hardware ..................................................................................................................... 2-2 2.1.2 Software ...................................................................................................................... 2-3 2.2 Diverse Terminology Related to EDDs .................................................................................. 2-3 2.2.1 Smart Device ............................................................................................................... 2-4 2.2.2 Intelligent Device of Limited Functionality ................................................................... 2-5 2.2.3 Embedded System ...................................................................................................... 2-7 2.2.4 Internet of Things ........................................................................................................ 2-8 2.2.5 Programmable Digital Device ..................................................................................... 2-9 2.3 Examples of How EDDs Are Currently Being Used .............................................................. 2-9 2.3.1 Personal Electronics and Appliances ......................................................................... 2-9 2.3.2 Industrial Sector .......................................................................................................
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