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{{Adams
#REDIRECT [[IR 05000413/2022403]]
| number = ML22175A034
| issue date = 06/28/2022
| title = Information Request for the Cyber-Security Baseline Inspection Notification to Perform Inspection 05000413/2022403 and 05000414/2022403
| author name = Mccoy G
| author affiliation = NRC/RGN-II/DRS/EB2
| addressee name = Simril R
| addressee affiliation = Duke Energy Carolinas, LLC
| docket = 05000413, 05000414
| license number = NPF-035, NPF-052
| contact person =
| document report number = IR 2022403
| document type = Inspection Plan, Letter
| page count = 9
}}
See also: [[see also::IR 05000413/2022403]]
 
=Text=
{{#Wiki_filter:June 28, 2022
Mr. Robert T. Simril
Site Vice President
Duke Energy Carolinas, LLC
Catawba Nuclear Station
4800 Concord Road
York, SC 29745
SUBJECT: CATAWBA NUCLEAR STATION - INFORMATION REQUEST FOR THE CYBER-
              SECURITY BASELINE INSPECTION, NOTIFICATION TO PERFORM
              INSPECTION 05000413/2022403 AND 05000414/2022403
Dear Mr. Simril:
On October 24, 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 Catawba Nuclear Station. The inspection will be performed to evaluate and verify your
ability to provide assurance that your digital computer and communication systems and
networks associated with safety, security, or emergency preparedness (SSEP) functions are
adequately protected against cyber-attacks in accordance with Title 10 of the Code of Federal
Regulations (10 CFR) 73.54 and the U.S. Nuclear Regulatory Commission (NRC) approved
cyber security plan (CSP). The onsite portion of the inspection will take place during the week
of October 24, 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 August 29, 2022. The inspection team will
review this information and, by September 12, 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 October 14, 2022, as identified above.
 
R. Simril                                        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, October 24, 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 William Monk. We understand that our regulatory
contact for this inspection is Sherry Andrews, Licensing Manager of your organization. If there
are any questions about the inspection or the material requested, please contact the lead
inspector at (404) 997-4579 or via e-mail at william.monk@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,
                                                                        Signed by McCoy, Gerald
                                                                        on 06/28/22
                                                Gerald J. McCoy, Branch Chief
                                                Engineering Branch 2
                                                Division of Reactor Safety
Docket Nos. 50-413 & 50-414
License Nos. NPF-35 & NPF-52
Enclosure:
Catawba Nuclear Station Cyber-Security Inspection Document Request
cc w/encl: Distribution via LISTSERV
 
 
ML________________
                              X    Non-Sensitive            X  Publicly Available
    X    SUNSI Review
                                  Sensitive                  Non-Publicly Available
    OFFICE RII/DRS          RII/DRS              RII/DRS
    NAME    W. Monk        P. Braaten          G. McCoy
    DATE    06/27/2022      06/27/2022          06/272022
                                 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
Inspection Report:            05000413/2022-403 & 05000414/2022-403
Inspection Dates:              October 24-28, 2022
Inspection Procedure:          IP 71130.10, Cyber-Security, Revision 0 (Effective: 01/01/2022)
Reference:                    Guidance Document for Development of the Request for
                              Information (RFI) and Notification Letter for Full-Implementation of
                              the Cyber-Security Inspection, Rev. 2 (Issued: 11/22/2021)
NRC Inspectors:                William Monk, Lead                      Phil Braaten
                              404-909-4579                            404-997-4651
                              william.monk@nrc.gov                    philipp.braaten@nrc.gov
NRC Contractors:              Tim Marshall                            Balla Barro
                              301-415-7000                            301-415-7000
                              timothy.marshall@nrc.gov                balla.barro@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 electronically to the inspection team by August 29, 2022, 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 September 12, 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 inspection team by October 14, 2022. All requests
      for information shall follow the guidance document U.S. NRC - Guidance Document for
      Development of the Request for Information (RFI) and Notification Letter for Full
      Implementation of the Cyber-Security Inspection, referenced above.
                                                                                          Enclosure
 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
      The required Table: RFI 1 information shall be provided electronically to the lead
      inspector by August 29, 2022. The preferred file format for all lists is a searchable
      Excel spreadsheet file. The information 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
Paragraph Number/Title:                                                            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.
      A list of EP and Security onsite and offsite digital communication
  2                                                                                Overall
    systems.
      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                    03.02(a)
  7 contingency plan development, implementation, and including any                  and
    program documentation that requires testing of security boundary              03.04(b)
    device functionality.
  8 Device Access and Key Control program documentation.                          03.02(c)
  9  Password/Authenticator program documentation.                                03.02(c)
  10  User Account/Credential and Authentication program documentation.            03.02(d)
      Portable Media and Mobile Device (PMMD) control documentation,
  11                                                                                03.02(e)
    including kiosk security control assessment/documentation.
      Design change / modification program documentation and a list of all
    design changes completed since the last cyber security inspection,
  12                                                                                03.03(a)
    including either a summary of the design change or the 50.59
    documentation for the change.
      Supply Chain Management program documentation, including any                  03.03(a),
13
    security impact analysis for new acquisitions.                                (b) and (c)
                                                  2
 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
                                          Table: RFI #1
  Paragraph Number/Title:                                                            IP Ref
        Configuration Management documentation including any security
                                                                                      03.03(a)
    14 impact analysis performed due to configuration changes since the last
                                                                                      and (b)
      cyber inspection.
        Cyber Security Plan and any 50.54(p) analysis to support changes to
    15                                                                                03.04(a)
      the plan since the last inspection.
    16 Cyber Security Performance Metrics tracked (if applicable).                    03.06(b)
        Provide documentation describing any cyber security changes to the
    17                                                                                Overall
      access authorization program since the last cyber security inspection.
        Provide a list of all procedures and policies provided to the NRC with
    18                                                                                Overall
      their 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 September 12, 2022, for
        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 September 12, 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. All requested information shall follow the
        guidance document referenced above.
        The Table: RFI 2 information shall be provided to the lead inspector by
        October 14, 2022. The preferred file format for all lists is a searchable Excel
        spreadsheet. The information 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.
                                                  3
 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
                                          Table: RFI #2
    Paragraph Number/Title:                                                      Items
          For the Critical Systems / CDAs chosen for inspection provide:
          Ongoing Monitoring and Assessment activity performed on the
      1                                                                          03.01(a)
          selected inspection samples system(s).
      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 systems 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),
      4 Host-based Intrusion Detection Systems (HIDS), and Security              03.02(b)
          Information and Event Management (SIEM) systems for systems
          chosen for inspection.
          Documentation (including configuration files and rule sets) for intra-
      5 security level firewalls and boundary devices used to protect the        03.02(c)
          selected systems.
          Copies of all periodic reviews of the access authorization list for the
      6                                                                          03.02(d)
          selected systems since the last cyber 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 systems 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 reports/assessment for cyber security drills performed    03.02(a)
      10
          since the last inspection.                                              03.04(b)
          Copy of the individual recovery plan(s) for the selected system(s)      03.02(a)
      11 including 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
      12 to include previous NRC violations and Licensee Identified Violations    03.05
          since the last cyber security inspection.
                                            4
 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
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: Week Onsite) to the team by October 24, 2022, the first day
    of the inspection. All requested information shall follow the guidance document
    referenced above.
    The preferred file format for all lists is a searchable Excel spreadsheet file. The
    information 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: Week Onsite
      Paragraph Number/Title:                                                          Items
            Any cyber security event reports submitted in accordance with 10
        1                                                                            03.04(a)
            CFR 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
        2                                                                              03.05
            Licensee 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 (UFSAR), if not previously provided
              b.  original FSAR Volumes
              c.  original SER and Supplements
              d.  FSAR Question and Answers
              e.  Quality Assurance (QA) Plan
              f.  Technical Specifications, if not previously provided
              g.  latest IPE/PRA Report
          (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) generated as a result of the most recent Cyber-Security
                  Quality Assurance (QA) audit and/or self-assessment.
                                                  5
 
CATAWBA NUCLEAR STATION CYBER-SECURITY INSPECTION DOCUMENT REQUEST
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.
            (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 during daily de-brief meetings).
If you have any questions regarding the information requested, please contact the inspection
team leader.
                                                  6
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