ML21342A386
| ML21342A386 | |
| Person / Time | |
|---|---|
| Site: | Mcguire, McGuire  |
| Issue date: | 12/07/2021 |
| From: | Larry Jones NRC/RGN-II/DRS/EB2 |
| To: | Capps S Duke Energy Corp |
| References | |
| IR 2022401 | |
| Download: ML21342A386 (10) | |
See also: IR 05000369/2022401
Text
December 7, 2021
Mr. Steven D. Capps
Site Vice President
Duke Energy Corporation
McGuire Nuclear Station
MG01VP/12700 Hagers Ferry Road
Huntersville, NC 28078
SUBJECT: WILLIAM B. MCGUIRE NUCLEAR PLANT - INFORMATION REQUEST FOR THE CYBER-SECURITY
BASELINE INSPECTION, NOTIFICATION TO PERFORM INSPECTION (NRC INSPECTION REPORT
NO. 05000369-2022401 AND 05000370-2022401)
Dear Mr. Capps:
On February 28, 2022, the U.S. Nuclear Regulatory Commission (NRC) will begin a baseline inspection in
accordance with Inspection Procedure (IP) 71130.10 Cyber-Security, Revision 0 at your WILLIAM B.
MCGUIRE NUCLEAR PLANT. The inspection will be performed to evaluate and verify your ability to meet
the Milestone 8 (i.e., full implementation) requirements of the NRCs Cyber-Security Rule, Title 10, Code
of Federal Regulations (CFR), Part 73, Section 54, Protection of Digital Computer and Communication
Systems and Networks. The onsite portion of the inspection will take place February 28- March 4,
2022.
Experience has shown that baseline inspections are extremely resource intensive, both for the NRC
inspectors and the licensee staff. In order to minimize the inspection impact on the site and to ensure a
productive inspection for both parties, we have enclosed a request for documents needed for the
inspection. These documents have been divided into four groups.
The first group specifies information necessary to assist the inspection team in choosing the focus areas
(i.e., sample set) to be inspected by the cyber-security IP. This information should be made available
electronically no later than December 20, 2021. The inspection team will review this information and,
by January 4, 2022, will request the specific items that should be provided for review.
The second group of additional requested documents will assist the inspection team in the evaluation of
the critical systems and critical digital assets (CSs/CDAs), defensive architecture, and the areas of the
licensees CSP selected for the cyber-security inspection. This information will be requested for review
in the regional office prior to the inspection by February 1, 2022, as identified above.
S. Capps 2
The third group of requested documents consists of those items that the inspection team will review, or
need access to, during the inspection. Please have this information available by the first day of the
onsite inspection, February 28, 2022.
The fourth group of information is necessary to aid the inspection team in tracking issues identified as a
result of the inspection. It is requested that this information be provided to the lead inspector as the
information is generated during the inspection. It is important that all of these documents are up to
date and complete in order to minimize the number of additional documents requested during the
preparation and/or the onsite portions of the inspection.
The lead inspector for this inspection is Larry J. Jones Jr.. We understand that our regulatory contact for
this inspection is David Feitl of your organization. If there are any questions about the inspection or the
material requested, please contact the lead inspector at 404-997-4837 or via e-mail at
Larry.Jones@nrc.gov.
This letter does not contain new or amended information collection requirements subject to the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). Existing information collection requirements
were approved by the Office of Management and Budget, control number 3150-0011. The NRC may not
conduct or sponsor, and a person is not required to respond to, a request for information or an
information collection requirement unless the requesting document displays a currently valid Office of
Management and Budget control number.
In accordance with 10 CFR 2.390, Public Inspections, Exemptions, Requests for Withholding, of the
NRC's "Rules of Practice," a copy of this letter and its enclosure will be available electronically for public
inspection in the NRCs Public Document Room or from the Publicly Available Records (PARS)
component of the NRC's Agencywide Documents Access and Management System (ADAMS). ADAMS is
accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html (the Public Electronic
Reading Room).
Sincerely,
/RA/
Larry J. Jones Jr., Senior Reactor Inspector
Engineering Branch 2
Division of Reactor Safety
Docket No.: 50-369, 50-370
Enclosure:
WILLIAM B. MCGUIRE NUCLEAR PLANT Cyber-Security Inspection Document Request
cc w/encl: Distribution via LISTSERV
x Non-Sensitive x Publicly Available
x SUNSI Review
Sensitive Non-Publicly Available
OFFICE RII/DRS
NAME L. Jones
DATE 12/7/2021
WILLIAM B. MCGUIRE NUCLEAR PLANT CYBER-SECURITY INSPECTION DOCUMENT REQUEST
Inspection Report: 05000369/2022401 and 05000370/2022401
Inspection Dates: February 28- March 4, 2022
Inspection Procedure: IP 71130.10, Cyber-Security, Revision 0
NRC Inspectors: Larry J. Jones Jr., Lead Ellery Coffman
404-997-4837 404-997-4633
Larry.Jones @nrc.gov Ellery.coffman@nrc.gov
NRC Contractors: Alexander Prada Al Konkal
Alexander.Prada@nrc.gov Alan.Konkal @nrc.gov
I. Information Requested for In-Office Preparation
The initial request for information (i.e., first RFI) concentrates on providing the inspection team
with the general information necessary to select appropriate components and CSP elements to
develop a site-specific inspection plan. The first RFI is used to identify the list of critical systems
and critical digital assets (CSs/CDAs) plus operational and management (O&M) security control
portions of the CSP to be chosen as the sample set required to be inspected by the cyber-
security IP. The first RFIs requested information is specified below in Table RFI #1. The
Table RFI #1 information is requested to be provided to the regional office by December 20,
2021, or sooner, to facilitate the selection of the specific items that will be reviewed during the
onsite inspection weeks.
The inspection team will examine the returned documentation from the first RFI and
identify/select specific systems and equipment (e.g., CSs/CDAs) to provide a more focused
follow-up request to develop the second RFI. The inspection team will submit the specific
systems and equipment list to your staff by January 4, 2022, which will identify the specific
systems and equipment that will be utilized to evaluate the CSs/CDAs, defensive architecture,
and the areas of the licensees CSP selected for the cyber-security inspection. We request that
the additional information provided from the second RFI be made available to the regional
office prior to the inspection by February 1, 2022.
Enclosure
The required Table RFI 1 information shall be provided electronically to the lead inspector by December
20, 2021. If a compact disk (CD) is provided, please provide four copies (one for each
inspector/contactor). The preferred file format for all lists is a searchable Excel spreadsheet file. These
files should be indexed and hyper-linked to facilitate ease of use. If you have any questions regarding
this information, please call the inspection team leader as soon as possible.
Table RFI #1
Request: IP Ref
A list of all Identified Critical Systems and Critical Digital Assets,-
highlight/note any . additions, deletions, reclassifications due to new
1 Overall
guidance from white papers, changes to NEI 10-04, 13-10, etc. since the last
cyber security inspection.
2 A list of EP and Security onsite and offsite digital communication systems Overall
Network Topology Diagrams to include information and data flow for
3 Overall
critical systems in levels 2, 3 and 4 (If available)
4 Ongoing Monitoring and Assessment program documentation 03.01(a)
5 The most recent effectiveness analysis of the Cyber Security Program 03.01(b)
6 Vulnerability screening/assessment and scan program documentation 03.01(c)
Cyber Security Incident response documentation, including incident
detection, response, and recovery documentation as well as contingency 03.02(a)
7 plan development, implementation and including any program and
documentation that requires testing of security boundary device 03.04(b)
functionality
8 Device Access and Key Control documentation 03.02(c)
9 Password/Authenticator documentation 03.02(c)
10 User Account/Credential documentation 03.02(d)
Portable Media and Mobile Device control documentation, including kiosk
11 03.02(e)
security control assessment/documentation
Design change/ modification program documentation and a List of all
design changes completed since the last cyber security inspection, including
12 03.03(a)
either a summary of the design change or the 50.59 documentation for the
change.
2
Table RFI #1
Request: IP Ref
03.03(a),
Supply Chain Management documentation including any security impact
13 (b) and
analysis for new acquisitions
(c)
Configuration Management documentation including any security impact 03.03(a)
14
analysis performed due to configuration changes since the last inspection and (b)
Cyber Security Plan and any 50.54(p) analysis to support changes to the
15 03.04(a)
plan since the last inspection
16 Cyber Security Metrics tracked (if applicable) 03.06 (b)
Provide documentation describing any cyber security changes to the access
17 Overall
authorization program since the last cyber security inspection.
Provide a list of all procedures and policies provided to the NRC with their
18 Overall
descriptive name and associated number (if available)
19 Performance testing report (if applicable) 03.06 (a)
In addition to the above information please provide the following:
(1) Electronic copy of the UFSAR and technical specifications.
(2) Name(s) and phone numbers for the regulatory and technical contacts.
(3) Current management and engineering organizational charts.
Based on this information, the inspection team will identify and select specific systems and
equipment (e.g., CSs/CDAs) from the information requested by Table RFI #1 and submit a list of
specific systems and equipment to your staff by January 4, 2021for the second RFI (i.e., RFI #2).
II. Additional Information Requested to be Available Prior to Inspection.
As stated in Section I above, the inspection team will examine the returned documentation
requested from Table RFI #1 and submit the list of specific systems and equipment to your staff
by January 4, 2022 for the second RFI (i.e., RFI #2). The second RFI will request additional
information required to evaluate the CSs/CDAs, defensive architecture, and the areas of the
licensees CSP selected for the cyber-security inspection. The additional information requested
for the specific systems and equipment is identified in Table RFI #2.
3
The Table RFI 2 information shall be provided electronically to the lead inspector by February 1,
2022. If a compact disk (CD) is provided, please provide four copies (one for each
inspector/contactor). The preferred file format for all lists is a searchable Excel spreadsheet file.
These files should be indexed and hyper-linked to facilitate ease of use. If you have any
questions regarding this information, please call the inspection team leader as soon as possible.
If you have any questions regarding this information, please call the inspection team leader as
soon as possible.
Table RFI #2
Request Items
For the system(s) chosen for inspection provide:
1 Ongoing Monitoring and Assessment activity performed on the system(s) 03.01(a)
2 All Security Control Assessments for the selected system(s) 03.01(a)
All vulnerability screenings/assessments associated with or scans
3 performed on the selected system(s) since the last cyber security 03.01(c)
inspection
Documentation (including configuration files and rules sets) for Network-
based Intrusion Detection/Protection Systems (NIDS/NIPS), Host-based
4 03.02(b)
Intrusion Detection Systems (HIDS), and Security Information and Event
Management (SIEM) systems for system(s) chosen for inspection)
Documentation (including configuration files and rule sets) for intra-
5 security level firewalls and boundary devices used to protect the selected 03.02(c)
system(s)
Copies of all periodic reviews of the access authorization list for the
6 03.02(d)
selected systems since the last inspection
7 Baseline configuration data sheets for the selected CDAs 03.03(a)
Documentation on any changes, including Security Impact Analyses,
8 03.03(b)
performed on the selected system(s) since the last inspection
Copies of the purchase order documentation for any new equipment
9 03.03(c)
purchased for the selected systems since the last inspection
Copies of any cyber security drills performed since the last inspection, 03.02(a)
10
along with any reports or assessments generated. 03.04(b)
4
Table RFI #2
Request Items
Copy of the individual recovery plan(s) for the selected system(s) including 03.02(a)
11
documentation of the results the last time the backups were executed. 03.04(b)
Corrective actions taken as a result of cyber security incidents/issues to
12 include previous NRC violations and Licensee Identified Violations since 03.04(d)
the last cyber security inspection
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III. Information Requested to be Available on First Day of Inspection
For the specific systems and equipment identified in Section II above, provide the following RFI
(i.e., Table 1ST Week Onsite) electronically by February 14, 2022, the first day of the inspection.
Table 1ST Week Onsite
Request: Items
Any cyber security event reports submitted in accordance with 10 CFR
1 03.04(a)
73.77 since the last cyber security inspection
Updated Copies of corrective actions taken as a result of cyber security
incidents/issues, to include previous NRC violations and Licensee
2 03.04(d)
Identified Violations since the last cyber security inspection, as well as
vulnerability-related corrective actions
In addition to the above information please provide the following:
(1) Copies of the following documents do not need to be solely available to the inspection
team as long as the inspectors have easy and unrestrained access to them.
a. Updated Final Safety Analysis Report, if not previously provided;
b. Original FSAR Volumes;
c. Original SER and Supplements;
d. FSAR Question and Answers;
e. Quality Assurance Plan;
f. Technical Specifications, if not previously provided;
g. Latest IPE/PRA Report; and
(2) Vendor Manuals, Assessment and Corrective Actions:
a. The most recent Cyber-Security Quality Assurance (QA) audit and/or
self-assessment; and
b. Corrective action documents (e.g., condition reports, including status of corrective
actions) generate as a result of the most recent Cyber-Security Quality Assurance
(QA) audit and/or self-assessment.
IV. Information Requested To Be Provided Throughout the Inspection
(1) Copies of any corrective action documents generated as a result of the inspection
teams questions or queries during the inspection.
6
(2) Copies of the list of questions submitted by the inspection team members and the
status/resolution of the information requested (provided daily during the inspection to
each inspection team member).
If you have any questions regarding the information requested, please contact the inspection team lead.
7