81_FR_35021 81 FR 34916 - Programmable Logic Computers in Nuclear Power Plant Control Systems

81 FR 34916 - Programmable Logic Computers in Nuclear Power Plant Control Systems

NUCLEAR REGULATORY COMMISSION

Federal Register Volume 81, Issue 105 (June 1, 2016)

Page Range34916-34919
FR Document2016-12926

The U.S. Nuclear Regulatory Commission (NRC) is denying a petition for rulemaking (PRM), filed by Mr. Alan Morris (petitioner) on March 14, 2013, as supplemented most recently on December 19, 2013. The petition was docketed by the NRC on February 7, 2014, and was assigned Docket No. PRM-73-17. The petitioner requested that the NRC require that his ``new-design programmable logic computers [PLCs]'' be installed in the control systems of nuclear power plants to block malware attacks on the industrial control systems of those facilities. In addition, the petitioner requested that nuclear power plant staff be trained ``in the programming and handling of the non-rewriteable memories'' for nuclear power plants. The NRC is denying the petition because the petitioner did not present any significant new information or arguments that would support the requested changes, nor has he demonstrated that a need exists for a new regulation requiring the installation of his new-design PLCs in the control systems of NRC- licensed nuclear power plants.

Federal Register, Volume 81 Issue 105 (Wednesday, June 1, 2016)
[Federal Register Volume 81, Number 105 (Wednesday, June 1, 2016)]
[Proposed Rules]
[Pages 34916-34919]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-12926]


========================================================================
Proposed Rules
                                                Federal Register
________________________________________________________________________

This section of the FEDERAL REGISTER contains notices to the public of 
the proposed issuance of rules and regulations. The purpose of these 
notices is to give interested persons an opportunity to participate in 
the rule making prior to the adoption of the final rules.

========================================================================


Federal Register / Vol. 81, No. 105 / Wednesday, June 1, 2016 / 
Proposed Rules

[[Page 34916]]



NUCLEAR REGULATORY COMMISSION

10 CFR Part 73

[Docket No. PRM-73-17; NRC-2013-0214]


Programmable Logic Computers in Nuclear Power Plant Control 
Systems

AGENCY: Nuclear Regulatory Commission.

ACTION: Petition for rulemaking; denial.

-----------------------------------------------------------------------

SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is denying a 
petition for rulemaking (PRM), filed by Mr. Alan Morris (petitioner) on 
March 14, 2013, as supplemented most recently on December 19, 2013. The 
petition was docketed by the NRC on February 7, 2014, and was assigned 
Docket No. PRM-73-17. The petitioner requested that the NRC require 
that his ``new-design programmable logic computers [PLCs]'' be 
installed in the control systems of nuclear power plants to block 
malware attacks on the industrial control systems of those facilities. 
In addition, the petitioner requested that nuclear power plant staff be 
trained ``in the programming and handling of the non-rewriteable 
memories'' for nuclear power plants. The NRC is denying the petition 
because the petitioner did not present any significant new information 
or arguments that would support the requested changes, nor has he 
demonstrated that a need exists for a new regulation requiring the 
installation of his new-design PLCs in the control systems of NRC-
licensed nuclear power plants.

DATES: The docket for the petition for rulemaking PRM-73-17 is closed 
on June 1, 2016.

ADDRESSES: Please refer to Docket ID NRC-2013-0214 when contacting the 
NRC about the availability of information regarding this petition. You 
may obtain publicly-available documents related to the petition using 
any of the following methods:
     Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2013-0214. Address 
questions about NRC dockets to Carol Gallagher; telephone: 301-415-
3463; email: [email protected]. For technical questions, contact 
the individual listed in the FOR FURTHER INFORMATION CONTACT section of 
this document.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may obtain publicly-available documents online in the 
ADAMS Public Documents collection at http://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``ADAMS Public Documents'' and 
then select ``Begin Web-based ADAMS Search.'' For problems with ADAMS, 
please contact the NRC's Public Document Room (PDR) reference staff at 
1-800-397-4209, 301-415-4737, or by email to [email protected]. The 
ADAMS accession number for each document referenced in this document 
(if that document is available in ADAMS) is provided the first time 
that a document is referenced. In addition, for the convenience of the 
reader, the ADAMS accession numbers are provided in a table in the 
section of this document entitled, Availability of Documents.
     NRC's PDR: You may examine and purchase copies of public 
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 
Rockville Pike, Rockville, Maryland 20852.

FOR FURTHER INFORMATION CONTACT: Natreon Jordan, Office of Nuclear 
Reactor Regulation, telephone: 301-415-7410, email: 
[email protected], U.S. Nuclear Regulatory Commission, Washington, 
DC 20555-0001.

SUPPLEMENTARY INFORMATION:

I. The Petition

    Section 2.802 of title 10 of the Code of Federal Regulations (10 
CFR), ``Petition for rulemaking,'' provides an opportunity for any 
interested person to petition the Commission to issue, amend, or 
rescind any regulation. A Sec.  2.802 petition was filed by the 
petitioner on March 14, 2013, and was supplemented several times 
through December 19, 2013. (ADAMS Accession No. ML14016A458). On 
February 7, 2014 (79 FR 7406), the NRC published a notice of receipt of 
PRM-73-17. The petitioner requested that the NRC amend its regulations 
that protect digital computer and communication systems and networks. 
The petitioner requested that the NRC specifically require that ``new-
design programmable logic computers,'' with his patented write-once, 
read-many (WORM) media, be installed in the control systems of nuclear 
power plants in order to ``block malware attacks on the industrial 
control systems of those facilities.'' The petitioner also requested 
that nuclear power plant staff ``be trained to maintain and secure 
records of all memory programming,'' and recommended ``maintenance in 
secure storage of programmed memories, as specified in this petition, 
which may be again employed, as the control systems of critical 
facilities are essentially steady-state.'' The petitioner stated that 
the proposed action would ``[r]educe impact on quality of the natural 
and social environments by stopping disastrous events at critical 
facilities.''
    The NRC staff sent a letter to the petitioner on June 12, 2014 
(ADAMS Accession No. ML14120A006), asking the petitioner to provide 
additional information. Staff specifically asked the petitioner:
     To indicate the inadequacies that he identified in the 
NRC's current regulatory approach (i.e., performance-based, 
programmatic) and framework (i.e., NRC's cyber security rule at Sec.  
73.54 and Regulatory Guide (RG) 5.71, ``Cyber Security Programs for 
Nuclear Facilities'') that would be remedied by the proposed 
rulemaking. Specifically, what cyber threat or vulnerability is not 
addressed by the current NRC regulations and guidance?
     If one of the PLCs with his patented WORM media has been 
installed in any operating facility (nuclear or non-nuclear)? Are these 
PLCs alone sufficient to protect against cyber threats? What other 
cyber controls may be required at nuclear power plants if a PLC with 
his patented WORM media is installed?
    The petitioner responded to the NRC letter in a series of emails 
dated June 18, 2014, and June 19, 2014. (ADAMS Accession Nos. 
ML14181B296, ML14181B276, ML14181B286, and ML14181B270).
    Based on the petition and the petitioner's responses to requests 
for additional information, the NRC staff identified three issues 
raised by the petitioner:

[[Page 34917]]

    Issue 1: PLCs currently installed in U.S. nuclear power plants are 
vulnerable to malware attacks that could negatively affect or challenge 
plant safety and control systems. The petitioner stated that malware 
can ``maliciously reprogram the re-writeable memories of the present 
programmable logic computers'' in the control systems of nuclear power 
plants.
    Issue 2: By using the petitioner's patented PLC design, nuclear 
power plant safety and control systems would be safe from malware 
attacks.
    Issue 3: Nuclear power plant staff should be trained to maintain 
and secure records of all memory programming, and recommends 
maintenance in secure storage of programmed memories that may be again 
employed, as ``the control systems of critical facilities are 
essentially steady-state.''
    The NRC staff decided not to seek public comment on PRM-73-17 
because no additional information was needed for the NRC staff's 
evaluation of the petitioner's claim.

II. Reasons for Denial

    The NRC is denying the petition because the petitioner did not 
present any significant new information or arguments that would support 
the requested changes, nor has he demonstrated a need for a new 
requirement for his new-design of PLCs in nuclear power plant control 
systems. This section provides detailed responses to the issues raised 
in the petition.
    Issue 1: PLCs that are currently installed in nuclear power plant 
control systems are vulnerable to malware attacks that could negatively 
affect or challenge plant safety and control systems.
    NRC Response: The NRC disagrees with Issue 1 because the petitioner 
does not take into account the comprehensive NRC cyber security program 
requirements for nuclear power plants in Sec.  73.54. Section 73.54, 
``Protection of digital computer and communication systems and 
networks,'' which is known as the NRC's ``cyber security rule,'' 
requires licensees to protect digital systems in nuclear power plants 
from cyber attacks. The cyber security rule presumes that any digital 
system (including PLC designs) is vulnerable to various cyber attacks. 
The regulations in Sec.  73.54 establish a series of performance-based 
requirements to ensure that the functions of digital computers, 
communication systems, and networks are protected from cyber attack. In 
particular, Sec.  73.54(a)(1) requires nuclear power plant licensees to 
protect digital computers, communications systems, and networks 
associated with the following:
     Safety-related and important-to-safety functions;
     security functions;
     emergency preparedness functions, including offsite 
communications; and
     support systems and equipment which, if compromised, would 
adversely impact safety, security, or emergency preparedness (SSEP) 
functions.
    As required by Sec. Sec.  73.54(b)(2) and 73.55(b)(8), a nuclear 
power plant licensee must establish, implement, and maintain a cyber 
security program that protects any digital system, network, or 
communication system associated with SSEP functions. Licensees are 
required to submit their cyber security plans to NRC for review and 
approval. Once approved, these plans become part of the licensee's 
licensing basis, and compliance with the plans is evaluated by the NRC 
during periodic inspections. Civil penalties may be imposed in the 
event that licensees are found in violation of their approved cyber 
security plans. The NRC-approved cyber security plans, which are 
implemented through the licensee's cyber security programs, 
significantly reduce the possibility that a PLC installed at a nuclear 
power plant would be vulnerable to a malware attack that would 
negatively impact or challenge the plant's safety and control systems. 
The NRC inspects the implementation of the licensee's cyber security 
programs, at specified intervals, to confirm that they are being 
implemented in accordance with the NRC-approved cyber security plans.
    To properly understand the petitioner's concerns, the NRC staff 
asked the petitioner to indicate the inadequacies he had identified in 
the NRC's current regulatory approach and framework that would be 
remedied by the NRC's undertaking of his proposed action. The NRC staff 
asked, specifically, ``What cyber threat or vulnerability is not 
addressed by the current NRC regulations and guidance?'' The petitioner 
stated ``the inadequacies in the NRC's current regulatory approach are 
that the regulations do not address correction for the vulnerability to 
corruption of the rewriteable PLC memories.'' The NRC staff disagrees 
with the petitioner's assertion because the cyber security rule does, 
in fact, require licensees to have the capability to detect, prevent, 
respond to, mitigate, and recover from cyber attacks under Sec.  
73.54(c)(2). To comply with this requirement, nuclear power plant 
licensees must implement an overall site defensive strategy to protect 
critical digital assets (CDAs) from cyber attacks, as well as 
implementing operational and management security controls.
    Issue 2: By using the petitioner's patented PLC design, nuclear 
power plant safety and control systems would be safe from malware 
attacks.
    NRC Response: The NRC staff disagrees with Issue 2 because the 
proposed vulnerability to malware attacks described in the petition is 
already addressed in the current NRC regulations. In addition, the 
``new-design'' PLCs recommended in the petition have not been proven to 
offer protection from cyber attacks.
    The approach recommended in the petition presumes that a ``one size 
fits all'' solution would be adequate for the wide variety of 
industrial control systems and safety systems used in nuclear power 
plants. However, it does not take into account other attacks that could 
be made (e.g., man-in-the-middle attacks where an attacker inserts 
malicious commands between the PLC and the controlled devices). The 
objective of the petitioner's PLC design, which was to correct a 
proposed vulnerability (i.e., to ``block malware attacks on the 
industrial control systems of those facilities''), is already 
accomplished by the defense-in-depth strategy in the current regulatory 
framework. As required by Sec.  73.54(c)(2), nuclear power plant 
licensees must design their cyber security programs to apply and 
maintain an integrated defense-in-depth protective strategy to ensure 
that licensees have the capability to detect, prevent, respond to, 
mitigate, and recover from cyber attacks. The approach used by nuclear 
power plant licensees may vary in that NRC regulations are generally 
not prescriptive, and allow licensees and applicants to propose 
different methods for meeting the requirements. To comply with the 
requirements in Sec.  73.54(c)(2), licensees must implement an overall 
site defensive strategy to protect CDAs from cyber attacks as well as 
implementing operational and management security controls.
    Defense-in-depth strategies are a documented collection of 
complementary and redundant security controls that establish multiple 
layers of protection to safeguard CDAs. Under a defense-in-depth 
strategy, the failure of a single protective strategy would not result 
in the compromise of an SSEP function. One example of a defense-in-
depth strategy involves setting up multiple security boundaries to 
protect CDAs and networks from cyber attack. In this way, multiple 
protection levels must fail for a cyber attack to progress and impact a 
critical system or network.

[[Page 34918]]

Even if a failure occurred (e.g., such as through a violation of 
policy), or if a protection mechanism was bypassed (e.g., by a new 
virus that is not yet identified as a cyber attack), other mechanisms 
would still be in place to detect and respond to a cyber attack on a 
CDA, to mitigate the impacts of the cyber attack, and to recover normal 
operations of the CDA and its system before an adverse impact could 
happen.
    In addition to the fact that a need has not been justified for use 
of the petitioner's new-design PLCs, the approach recommended in the 
petition has not been proven by the petitioner to be effective in 
preventing cyber attacks. Based on email correspondence, the petitioner 
states that the proposed ``new-design programmable logic computers'' 
currently are not used in any facility (nuclear or otherwise). As such, 
the petitioner was unable to present any evidence that his PLCs would 
be effective in preventing cyber attacks. Furthermore, no information 
was provided by the petitioner as to how the ``new-design programmable 
logic computers'' would comply with the requirements in Sec.  73.54 for 
use in the safety systems and control systems of a nuclear power plant.
    Issue 3: Nuclear power plant licensee staff should be trained to 
maintain and secure records of all memory programming, and recommends 
maintenance in secure storage of programmed memories that may be again 
employed, as ``the control systems of critical facilities are 
essentially steady-state.''
    NRC Response: The NRC staff disagrees with Issue 3 because the 
petition does not take into account the awareness and training 
requirements each nuclear power plant licensee must perform as part of 
their comprehensive cyber security program as required in Sec.  73.54.
    Under Sec.  73.54(d)(1), each licensee is required to ensure, as 
part of its cyber security program, that appropriate facility 
personnel, including contractors, are aware of the cyber security 
requirements and receive the necessary training to perform their 
assigned duties and responsibilities. As an example, licensees may 
comply with the awareness and training requirements by performing the 
following actions:
     Develop, disseminate, and periodically review and update 
the site cyber security training and awareness plan. This plan defines 
the purpose, scope, roles, responsibilities, and management commitment 
to provide high assurance that individuals have received training to 
properly perform their job functions;
     Perform gap analyses in areas where additional training is 
needed in cyber security;
     Establish measures to determine whether cyber security 
policies and procedures are being followed, and if not, determine 
whether a training or awareness issue is the cause and develop measures 
to be taken to correct the deficiency;
     Develop, disseminate, and periodically review and update 
procedures that are used to facilitate and maintain the cyber security 
training and awareness program; and
     Implement training and awareness security controls.
    In addition, Sec.  73.54(d)(3) requires each nuclear power plant 
licensee, as part of its cyber security program, to evaluate all 
modifications to assets identified in Sec.  73.54(a)(1) (i.e. systems 
with SSEP functions) before their implementation. This ensures that the 
cyber security performance objectives are maintained. As stated above, 
the NRC inspects licensee cyber security programs, at specified 
intervals, to confirm that the programs are being implemented in 
accordance with the NRC-approved cyber security plans.

III. Conclusion

    The NRC has reviewed the petition and appreciates the concerns 
raised by the petitioner. For the reasons described in Section II, 
``Reasons for Denial,'' of this document, the NRC is denying the 
petition under Sec.  2.802. The petitioner did not present any 
significant new information or arguments, as part of this petition, 
that would support the requested changes, nor has the petitioner 
demonstrated that a need exists for a new provision requiring use of 
the petitioner's new-design PLCs.

IV. Availability of Documents

    The documents identified in the following table are available to 
interested persons as indicated. For more information on accessing 
ADAMS, see the ADDRESSES section of this document.

------------------------------------------------------------------------
                                                               ADAMS
                                                             Accession
                                                              number/
              Date                       Document             Federal
                                                             Register
                                                             citation
------------------------------------------------------------------------
January 2010...................  Regulatory Guide 5.71;      ML090340159
                                  ``Cyber Security
                                  Programs for Nuclear
                                  Facilities''.
March 14, 2013, as supplemented  Petition for Rulemaking     ML14016A458
 through December 19, 2013.       from Mr. Alan Morris
                                  Regarding Programmable
                                  Logic Computers in
                                  Nuclear Power Plant
                                  Control Systems.
January 27, 2014...............  Letter to Petitioner        ML13308A385
                                  Enclosing Federal
                                  Register Notice--
                                  Receipt of Petition
                                  for Rulemaking.
February 7, 2014...............  Federal Register             79 FR 7406
                                  Notice--Receipt of
                                  Petition for
                                  Rulemaking.
June 12, 2014..................  Letter to Petitioner;       ML14120A006
                                  ``PRM-73-17 Cyber
                                  Malware Attacks on
                                  Programmable Logic
                                  Computers''.
June 18, 2014..................  E-mail from Petitioner;     ML14181B296
                                  ``PRM-73-17''.
June 18, 2014..................  E-mail from Petitioner;     ML14181B276
                                  ``RE: PRM-73-17''.
June 18, 2014..................  E-mail from Petitioner;     ML14181B286
                                  ``RE: PRM-73-17''.
June 19, 2014..................  E-mail from Petitioner;     ML14181B270
                                  ``RE: PRM-73-17''.
------------------------------------------------------------------------



[[Page 34919]]

    Dated at Rockville, Maryland, this 25th day of May, 2016.

    For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
[FR Doc. 2016-12926 Filed 5-31-16; 8:45 am]
 BILLING CODE 7590-01-P



                                                  34916

                                                  Proposed Rules                                                                                                Federal Register
                                                                                                                                                                Vol. 81, No. 105

                                                                                                                                                                Wednesday, June 1, 2016



                                                  This section of the FEDERAL REGISTER                    for Docket ID NRC–2013–0214. Address                  computer and communication systems
                                                  contains notices to the public of the proposed          questions about NRC dockets to Carol                  and networks. The petitioner requested
                                                  issuance of rules and regulations. The                  Gallagher; telephone: 301–415–3463;                   that the NRC specifically require that
                                                  purpose of these notices is to give interested          email: Carol.Gallagher@nrc.gov. For                   ‘‘new-design programmable logic
                                                  persons an opportunity to participate in the            technical questions, contact the                      computers,’’ with his patented write-
                                                  rule making prior to the adoption of the final
                                                                                                          individual listed in the FOR FURTHER                  once, read-many (WORM) media, be
                                                  rules.
                                                                                                          INFORMATION CONTACT section of this                   installed in the control systems of
                                                                                                          document.                                             nuclear power plants in order to ‘‘block
                                                  NUCLEAR REGULATORY                                         • NRC’s Agencywide Documents                       malware attacks on the industrial
                                                  COMMISSION                                              Access and Management System                          control systems of those facilities.’’ The
                                                                                                          (ADAMS): You may obtain publicly-                     petitioner also requested that nuclear
                                                  10 CFR Part 73                                          available documents online in the                     power plant staff ‘‘be trained to
                                                                                                          ADAMS Public Documents collection at                  maintain and secure records of all
                                                  [Docket No. PRM–73–17; NRC–2013–0214]                   http://www.nrc.gov/reading-rm/                        memory programming,’’ and
                                                  Programmable Logic Computers in                         adams.html. To begin the search, select               recommended ‘‘maintenance in secure
                                                  Nuclear Power Plant Control Systems                     ‘‘ADAMS Public Documents’’ and then                   storage of programmed memories, as
                                                                                                          select ‘‘Begin Web-based ADAMS                        specified in this petition, which may be
                                                  AGENCY:  Nuclear Regulatory                             Search.’’ For problems with ADAMS,                    again employed, as the control systems
                                                  Commission.                                             please contact the NRC’s Public                       of critical facilities are essentially
                                                  ACTION: Petition for rulemaking; denial.                Document Room (PDR) reference staff at                steady-state.’’ The petitioner stated that
                                                                                                          1–800–397–4209, 301–415–4737, or by                   the proposed action would ‘‘[r]educe
                                                  SUMMARY:   The U.S. Nuclear Regulatory                  email to pdr.resource@nrc.gov. The                    impact on quality of the natural and
                                                  Commission (NRC) is denying a petition                  ADAMS accession number for each                       social environments by stopping
                                                  for rulemaking (PRM), filed by Mr. Alan                 document referenced in this document                  disastrous events at critical facilities.’’
                                                  Morris (petitioner) on March 14, 2013,                  (if that document is available in                        The NRC staff sent a letter to the
                                                  as supplemented most recently on                        ADAMS) is provided the first time that                petitioner on June 12, 2014 (ADAMS
                                                  December 19, 2013. The petition was                     a document is referenced. In addition,                Accession No. ML14120A006), asking
                                                  docketed by the NRC on February 7,                      for the convenience of the reader, the                the petitioner to provide additional
                                                  2014, and was assigned Docket No.                       ADAMS accession numbers are                           information. Staff specifically asked the
                                                  PRM–73–17. The petitioner requested                     provided in a table in the section of this            petitioner:
                                                  that the NRC require that his ‘‘new-                    document entitled, Availability of                       • To indicate the inadequacies that he
                                                  design programmable logic computers                     Documents.                                            identified in the NRC’s current
                                                  [PLCs]’’ be installed in the control                       • NRC’s PDR: You may examine and                   regulatory approach (i.e., performance-
                                                  systems of nuclear power plants to                      purchase copies of public documents at                based, programmatic) and framework
                                                  block malware attacks on the industrial                 the NRC’s PDR, Room O1–F21, One                       (i.e., NRC’s cyber security rule at § 73.54
                                                  control systems of those facilities. In                 White Flint North, 11555 Rockville                    and Regulatory Guide (RG) 5.71, ‘‘Cyber
                                                  addition, the petitioner requested that                 Pike, Rockville, Maryland 20852.                      Security Programs for Nuclear
                                                  nuclear power plant staff be trained ‘‘in               FOR FURTHER INFORMATION CONTACT:                      Facilities’’) that would be remedied by
                                                  the programming and handling of the                     Natreon Jordan, Office of Nuclear                     the proposed rulemaking. Specifically,
                                                  non-rewriteable memories’’ for nuclear                  Reactor Regulation, telephone: 301–                   what cyber threat or vulnerability is not
                                                  power plants. The NRC is denying the                    415–7410, email: Natreon.Jordan@                      addressed by the current NRC
                                                  petition because the petitioner did not                 nrc.gov, U.S. Nuclear Regulatory                      regulations and guidance?
                                                  present any significant new information                 Commission, Washington, DC 20555–                        • If one of the PLCs with his patented
                                                  or arguments that would support the                     0001.                                                 WORM media has been installed in any
                                                  requested changes, nor has he                                                                                 operating facility (nuclear or non-
                                                                                                          SUPPLEMENTARY INFORMATION:
                                                  demonstrated that a need exists for a                                                                         nuclear)? Are these PLCs alone
                                                  new regulation requiring the installation               I. The Petition                                       sufficient to protect against cyber
                                                  of his new-design PLCs in the control                      Section 2.802 of title 10 of the Code              threats? What other cyber controls may
                                                  systems of NRC-licensed nuclear power                   of Federal Regulations (10 CFR),                      be required at nuclear power plants if a
                                                  plants.                                                 ‘‘Petition for rulemaking,’’ provides an              PLC with his patented WORM media is
                                                  DATES: The docket for the petition for                  opportunity for any interested person to              installed?
                                                  rulemaking PRM–73–17 is closed on                       petition the Commission to issue,                        The petitioner responded to the NRC
                                                  June 1, 2016.                                           amend, or rescind any regulation. A                   letter in a series of emails dated June 18,
                                                  ADDRESSES: Please refer to Docket ID                    § 2.802 petition was filed by the                     2014, and June 19, 2014. (ADAMS
sradovich on DSK3TPTVN1PROD with PROPOSALS




                                                  NRC–2013–0214 when contacting the                       petitioner on March 14, 2013, and was                 Accession Nos. ML14181B296,
                                                  NRC about the availability of                           supplemented several times through                    ML14181B276, ML14181B286, and
                                                  information regarding this petition. You                December 19, 2013. (ADAMS Accession                   ML14181B270).
                                                  may obtain publicly-available                           No. ML14016A458). On February 7,                         Based on the petition and the
                                                  documents related to the petition using                 2014 (79 FR 7406), the NRC published                  petitioner’s responses to requests for
                                                  any of the following methods:                           a notice of receipt of PRM–73–17. The                 additional information, the NRC staff
                                                    • Federal Rulemaking Web site: Go to                  petitioner requested that the NRC                     identified three issues raised by the
                                                  http://www.regulations.gov and search                   amend its regulations that protect digital            petitioner:


                                             VerDate Sep<11>2014   17:32 May 31, 2016   Jkt 238001   PO 00000   Frm 00001   Fmt 4702   Sfmt 4702   E:\FR\FM\01JNP1.SGM   01JNP1


                                                                         Federal Register / Vol. 81, No. 105 / Wednesday, June 1, 2016 / Proposed Rules                                           34917

                                                    Issue 1: PLCs currently installed in                  communications systems, and networks                  digital assets (CDAs) from cyber attacks,
                                                  U.S. nuclear power plants are                           associated with the following:                        as well as implementing operational and
                                                  vulnerable to malware attacks that could                   • Safety-related and important-to-                 management security controls.
                                                  negatively affect or challenge plant                    safety functions;                                        Issue 2: By using the petitioner’s
                                                  safety and control systems. The                            • security functions;                              patented PLC design, nuclear power
                                                  petitioner stated that malware can                         • emergency preparedness functions,                plant safety and control systems would
                                                  ‘‘maliciously reprogram the re-writeable                including offsite communications; and                 be safe from malware attacks.
                                                  memories of the present programmable                       • support systems and equipment                       NRC Response: The NRC staff
                                                  logic computers’’ in the control systems                which, if compromised, would                          disagrees with Issue 2 because the
                                                  of nuclear power plants.                                adversely impact safety, security, or                 proposed vulnerability to malware
                                                    Issue 2: By using the petitioner’s                    emergency preparedness (SSEP)                         attacks described in the petition is
                                                  patented PLC design, nuclear power                      functions.                                            already addressed in the current NRC
                                                  plant safety and control systems would                     As required by §§ 73.54(b)(2) and                  regulations. In addition, the ‘‘new-
                                                  be safe from malware attacks.                           73.55(b)(8), a nuclear power plant                    design’’ PLCs recommended in the
                                                    Issue 3: Nuclear power plant staff                    licensee must establish, implement, and               petition have not been proven to offer
                                                  should be trained to maintain and                       maintain a cyber security program that                protection from cyber attacks.
                                                  secure records of all memory                            protects any digital system, network, or                 The approach recommended in the
                                                  programming, and recommends                             communication system associated with                  petition presumes that a ‘‘one size fits
                                                  maintenance in secure storage of                        SSEP functions. Licensees are required                all’’ solution would be adequate for the
                                                  programmed memories that may be                         to submit their cyber security plans to               wide variety of industrial control
                                                  again employed, as ‘‘the control systems                NRC for review and approval. Once                     systems and safety systems used in
                                                  of critical facilities are essentially                  approved, these plans become part of                  nuclear power plants. However, it does
                                                  steady-state.’’                                         the licensee’s licensing basis, and                   not take into account other attacks that
                                                    The NRC staff decided not to seek                     compliance with the plans is evaluated                could be made (e.g., man-in-the-middle
                                                  public comment on PRM–73–17 because                     by the NRC during periodic inspections.               attacks where an attacker inserts
                                                  no additional information was needed                    Civil penalties may be imposed in the                 malicious commands between the PLC
                                                  for the NRC staff’s evaluation of the                   event that licensees are found in                     and the controlled devices). The
                                                  petitioner’s claim.                                     violation of their approved cyber                     objective of the petitioner’s PLC design,
                                                                                                          security plans. The NRC-approved cyber                which was to correct a proposed
                                                  II. Reasons for Denial                                  security plans, which are implemented                 vulnerability (i.e., to ‘‘block malware
                                                     The NRC is denying the petition                      through the licensee’s cyber security                 attacks on the industrial control systems
                                                  because the petitioner did not present                  programs, significantly reduce the                    of those facilities’’), is already
                                                  any significant new information or                      possibility that a PLC installed at a                 accomplished by the defense-in-depth
                                                  arguments that would support the                        nuclear power plant would be                          strategy in the current regulatory
                                                  requested changes, nor has he                           vulnerable to a malware attack that                   framework. As required by § 73.54(c)(2),
                                                  demonstrated a need for a new                           would negatively impact or challenge                  nuclear power plant licensees must
                                                  requirement for his new-design of PLCs                  the plant’s safety and control systems.               design their cyber security programs to
                                                  in nuclear power plant control systems.                 The NRC inspects the implementation                   apply and maintain an integrated
                                                  This section provides detailed responses                of the licensee’s cyber security                      defense-in-depth protective strategy to
                                                  to the issues raised in the petition.                   programs, at specified intervals, to                  ensure that licensees have the capability
                                                     Issue 1: PLCs that are currently                     confirm that they are being                           to detect, prevent, respond to, mitigate,
                                                  installed in nuclear power plant control                implemented in accordance with the                    and recover from cyber attacks. The
                                                  systems are vulnerable to malware                       NRC-approved cyber security plans.                    approach used by nuclear power plant
                                                  attacks that could negatively affect or                    To properly understand the                         licensees may vary in that NRC
                                                  challenge plant safety and control                      petitioner’s concerns, the NRC staff                  regulations are generally not
                                                  systems.                                                asked the petitioner to indicate the                  prescriptive, and allow licensees and
                                                     NRC Response: The NRC disagrees                      inadequacies he had identified in the                 applicants to propose different methods
                                                  with Issue 1 because the petitioner does                NRC’s current regulatory approach and                 for meeting the requirements. To
                                                  not take into account the comprehensive                 framework that would be remedied by                   comply with the requirements in
                                                  NRC cyber security program                              the NRC’s undertaking of his proposed                 § 73.54(c)(2), licensees must implement
                                                  requirements for nuclear power plants                   action. The NRC staff asked,                          an overall site defensive strategy to
                                                  in § 73.54. Section 73.54, ‘‘Protection of              specifically, ‘‘What cyber threat or                  protect CDAs from cyber attacks as well
                                                  digital computer and communication                      vulnerability is not addressed by the                 as implementing operational and
                                                  systems and networks,’’ which is known                  current NRC regulations and guidance?’’               management security controls.
                                                  as the NRC’s ‘‘cyber security rule,’’                   The petitioner stated ‘‘the inadequacies                 Defense-in-depth strategies are a
                                                  requires licensees to protect digital                   in the NRC’s current regulatory                       documented collection of
                                                  systems in nuclear power plants from                    approach are that the regulations do not              complementary and redundant security
                                                  cyber attacks. The cyber security rule                  address correction for the vulnerability              controls that establish multiple layers of
                                                  presumes that any digital system                        to corruption of the rewriteable PLC                  protection to safeguard CDAs. Under a
                                                  (including PLC designs) is vulnerable to                memories.’’ The NRC staff disagrees                   defense-in-depth strategy, the failure of
                                                  various cyber attacks. The regulations in               with the petitioner’s assertion because               a single protective strategy would not
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                                                  § 73.54 establish a series of                           the cyber security rule does, in fact,                result in the compromise of an SSEP
                                                  performance-based requirements to                       require licensees to have the capability              function. One example of a defense-in-
                                                  ensure that the functions of digital                    to detect, prevent, respond to, mitigate,             depth strategy involves setting up
                                                  computers, communication systems,                       and recover from cyber attacks under                  multiple security boundaries to protect
                                                  and networks are protected from cyber                   § 73.54(c)(2). To comply with this                    CDAs and networks from cyber attack.
                                                  attack. In particular, § 73.54(a)(1)                    requirement, nuclear power plant                      In this way, multiple protection levels
                                                  requires nuclear power plant licensees                  licensees must implement an overall                   must fail for a cyber attack to progress
                                                  to protect digital computers,                           site defensive strategy to protect critical           and impact a critical system or network.


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                                                  34918                        Federal Register / Vol. 81, No. 105 / Wednesday, June 1, 2016 / Proposed Rules

                                                  Even if a failure occurred (e.g., such as                                 NRC Response: The NRC staff                                    and maintain the cyber security training
                                                  through a violation of policy), or if a                                 disagrees with Issue 3 because the                               and awareness program; and
                                                  protection mechanism was bypassed                                       petition does not take into account the                            • Implement training and awareness
                                                  (e.g., by a new virus that is not yet                                   awareness and training requirements                              security controls.
                                                  identified as a cyber attack), other                                    each nuclear power plant licensee must                             In addition, § 73.54(d)(3) requires
                                                  mechanisms would still be in place to                                   perform as part of their comprehensive                           each nuclear power plant licensee, as
                                                  detect and respond to a cyber attack on                                 cyber security program as required in                            part of its cyber security program, to
                                                  a CDA, to mitigate the impacts of the                                   § 73.54.                                                         evaluate all modifications to assets
                                                  cyber attack, and to recover normal                                       Under § 73.54(d)(1), each licensee is                          identified in § 73.54(a)(1) (i.e. systems
                                                  operations of the CDA and its system                                    required to ensure, as part of its cyber                         with SSEP functions) before their
                                                  before an adverse impact could happen.                                  security program, that appropriate                               implementation. This ensures that the
                                                     In addition to the fact that a need has                              facility personnel, including                                    cyber security performance objectives
                                                  not been justified for use of the                                       contractors, are aware of the cyber                              are maintained. As stated above, the
                                                  petitioner’s new-design PLCs, the                                       security requirements and receive the                            NRC inspects licensee cyber security
                                                  approach recommended in the petition                                    necessary training to perform their                              programs, at specified intervals, to
                                                  has not been proven by the petitioner to                                assigned duties and responsibilities. As                         confirm that the programs are being
                                                  be effective in preventing cyber attacks.                               an example, licensees may comply with                            implemented in accordance with the
                                                  Based on email correspondence, the                                      the awareness and training requirements                          NRC-approved cyber security plans.
                                                  petitioner states that the proposed                                     by performing the following actions:
                                                  ‘‘new-design programmable logic                                           • Develop, disseminate, and                                    III. Conclusion
                                                  computers’’ currently are not used in                                   periodically review and update the site                            The NRC has reviewed the petition
                                                  any facility (nuclear or otherwise). As                                 cyber security training and awareness                            and appreciates the concerns raised by
                                                  such, the petitioner was unable to                                      plan. This plan defines the purpose,                             the petitioner. For the reasons described
                                                  present any evidence that his PLCs                                      scope, roles, responsibilities, and                              in Section II, ‘‘Reasons for Denial,’’ of
                                                  would be effective in preventing cyber                                  management commitment to provide                                 this document, the NRC is denying the
                                                  attacks. Furthermore, no information                                    high assurance that individuals have                             petition under § 2.802. The petitioner
                                                  was provided by the petitioner as to                                    received training to properly perform                            did not present any significant new
                                                  how the ‘‘new-design programmable                                       their job functions;                                             information or arguments, as part of this
                                                  logic computers’’ would comply with                                       • Perform gap analyses in areas where                          petition, that would support the
                                                  the requirements in § 73.54 for use in                                  additional training is needed in cyber                           requested changes, nor has the
                                                  the safety systems and control systems                                  security;                                                        petitioner demonstrated that a need
                                                  of a nuclear power plant.                                                 • Establish measures to determine                              exists for a new provision requiring use
                                                     Issue 3: Nuclear power plant licensee                                whether cyber security policies and                              of the petitioner’s new-design PLCs.
                                                  staff should be trained to maintain and                                 procedures are being followed, and if
                                                  secure records of all memory                                            not, determine whether a training or                             IV. Availability of Documents
                                                  programming, and recommends                                             awareness issue is the cause and                                   The documents identified in the
                                                  maintenance in secure storage of                                        develop measures to be taken to correct                          following table are available to
                                                  programmed memories that may be                                         the deficiency;                                                  interested persons as indicated. For
                                                  again employed, as ‘‘the control systems                                  • Develop, disseminate, and                                    more information on accessing ADAMS,
                                                  of critical facilities are essentially                                  periodically review and update                                   see the ADDRESSES section of this
                                                  steady-state.’’                                                         procedures that are used to facilitate                           document.

                                                                                                                                                                                                                                        ADAMS
                                                                                                                                                                                                                                       Accession
                                                                                                                                                                                                                                        number/
                                                                           Date                                                                                     Document                                                            Federal
                                                                                                                                                                                                                                       Register
                                                                                                                                                                                                                                        citation

                                                  January 2010 ............................................         Regulatory Guide 5.71; ‘‘Cyber Security Programs for Nuclear Facilities’’ .................                       ML090340159
                                                  March 14, 2013, as supplemented                                   Petition for Rulemaking from Mr. Alan Morris Regarding Programmable Logic Com-                                    ML14016A458
                                                    through December 19, 2013.                                        puters in Nuclear Power Plant Control Systems.
                                                  January 27, 2014 ......................................           Letter to Petitioner Enclosing Federal Register Notice—Receipt of Petition for                                    ML13308A385
                                                                                                                      Rulemaking.
                                                  February 7, 2014 ......................................           Federal Register Notice—Receipt of Petition for Rulemaking ...................................                      79 FR 7406
                                                  June 12, 2014 ...........................................         Letter to Petitioner; ‘‘PRM–73–17 Cyber Malware Attacks on Programmable Logic                                     ML14120A006
                                                                                                                      Computers’’.
                                                  June   18,   2014   ...........................................   E-mail from Petitioner; ‘‘PRM–73–17’’ .........................................................................   ML14181B296
                                                  June   18,   2014   ...........................................   E-mail from Petitioner; ‘‘RE: PRM–73–17’’ ..................................................................      ML14181B276
                                                  June   18,   2014   ...........................................   E-mail from Petitioner; ‘‘RE: PRM–73–17’’ ..................................................................      ML14181B286
                                                  June   19,   2014   ...........................................   E-mail from Petitioner; ‘‘RE: PRM–73–17’’ ..................................................................      ML14181B270
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                                                                         Federal Register / Vol. 81, No. 105 / Wednesday, June 1, 2016 / Proposed Rules                                                   34919

                                                    Dated at Rockville, Maryland, this 25th day           9 a.m. and 5 p.m., Monday through                     Department of Transportation. In 1988,
                                                  of May, 2016.                                           Friday, except Federal holidays.                      the general rulemaking and petition
                                                    For the Nuclear Regulatory Commission.                   • Fax: Fax comments to Docket                      procedures, under the authority of the
                                                  Annette L. Vietti-Cook,                                 Operations at 202–493–2251.                           Act, were codified in 14 CFR, chapter
                                                  Secretary of the Commission.                               Privacy: In accordance with 5 U.S.C.               III, part 404.
                                                  [FR Doc. 2016–12926 Filed 5–31–16; 8:45 am]             553(c), DOT solicits comments from the                   In November 1995, AST was
                                                  BILLING CODE 7590–01–P
                                                                                                          public to better inform its rulemaking                transferred to the FAA as the agency’s
                                                                                                          process. DOT posts these comments,                    only space-related line of business. The
                                                                                                          without edit, including any personal                  FAA’s general rulemaking and petition
                                                  DEPARTMENT OF TRANSPORTATION                            information the commenter provides, to                procedures, for which the agency
                                                                                                          www.regulations.gov, as described in                  follows public rulemaking procedures
                                                  Federal Aviation Administration                         the system of records notice (DOT/ALL–                under the Administrative Procedure
                                                                                                          14 FDMS), which can be reviewed at                    Act, 5 U.S.C. 553, reside in 14 CFR
                                                  14 CFR Parts 11, 404, 405, 420, 431,                    www.dot.gov/privacy.                                  chapter I, part 11. When AST became
                                                  435, 437, 460                                              Docket: Background documents or                    part of the FAA, the general rulemaking
                                                                                                          comments received may be read at                      and petition procedures in part 404
                                                  [Docket No.: FAA–2016–6761; Notice No.                  http://www.regulations.gov at any time.               were not conformed to those in part 11
                                                  16–03]
                                                                                                          Follow the online instructions for                    to remove duplicate and outdated
                                                  RIN 2120–AK76                                           accessing the docket or go to the Docket              information, or to clarify those
                                                                                                          Operations in Room W12–140 of the                     provisions that apply specifically to the
                                                  Updates to Rulemaking and Waiver                        West Building Ground Floor at 1200                    FAA’s commercial space transportation
                                                  Procedures and Expansion of the                         New Jersey Avenue SE., Washington,                    regulations. The proposed rule would
                                                  Equivalent Level of Safety Option                       DC, between 9 a.m. and 5 p.m., Monday                 update parts 404 and 11 to remove
                                                  AGENCY: Federal Aviation                                through Friday, except Federal holidays.              duplicate information from part 404 and
                                                  Administration (FAA), DOT.                              FOR FURTHER INFORMATION CONTACT: For                  add appropriate cross references
                                                                                                          questions concerning this proposed                    between part 11 and part 404. In
                                                  ACTION: Notice of proposed rulemaking
                                                                                                          rule, contact Shirley McBride, AST–300,               addition, the proposal would update
                                                  (NPRM).
                                                                                                          Office of Commercial Space                            part 404 to reflect current practice,
                                                  SUMMARY:   This action would streamline                 Transportation, Federal Aviation                      clarify the requirements, and add an
                                                  and improve commercial space                            Administration, 800 Independence                      option to submit petitions to AST
                                                  transportation regulations’ general                     Avenue SW., Washington, DC 20591;                     electronically.
                                                  rulemaking and petition procedures by                   telephone (202) 267–7470; email                          Currently, the option to satisfy a
                                                  reflecting current practice; reorganizing               Shirley.McBride@faa.gov.                              commercial space transportation
                                                  the regulations for clarity and flow; and                                                                     regulation by demonstrating an
                                                                                                          SUPPLEMENTARY INFORMATION:
                                                  allowing petitioners to file their                                                                            ‘‘equivalent level of safety’’ is limited to
                                                  petitions to the FAA’s Office of                        Authority for This Rulemaking                         part 417 1 and to some specific sections
                                                  Commercial Space Transportation                           The Commercial Space Launch Act of                  of chapter III. This restricts the FAA’s
                                                  electronically. Further, it would expand                1984, as amended and re-codified at 51                flexibility in approving launch and
                                                  the option to satisfy commercial space                  U.S.C. 50901–50923 (the Act),                         reentry related activities where the
                                                  transportation requirements by                          authorizes the Department of                          operator can convincingly demonstrate
                                                  demonstrating an equivalent level of                    Transportation and thus the FAA,                      that an alternative approach to the
                                                  safety. These changes are necessary to                  through delegations, to oversee, license,             requirements of chapter III provides an
                                                  ensure the regulations are current,                     and regulate commercial launch and                    equivalent level of safety. This proposal
                                                  accurate, and are not unnecessarily                     reentry activities, and the operation of              would expand the equivalent level of
                                                  burdensome. The intended effect of                      launch and reentry sites as carried out               safety option so that it applies more
                                                  these changes is to improve the clarity                 by U.S. citizens or within the United                 broadly to chapter III requirements for
                                                  of the regulations and reduce burden on                 States. 51 U.S.C. 50904, 50905. The Act               both launch and reentry activities.
                                                  the industry and on the FAA.                            directs the FAA to exercise this                         The current title of part 405 is
                                                  DATES: Send comments on or before                       responsibility consistent with public                 ‘‘Investigations and Enforcement.’’
                                                  August 1, 2016.                                         health and safety, safety of property,                However, part 405 does not relate to
                                                                                                          and the national security and foreign                 investigations. To avoid confusion, the
                                                  ADDRESSES: Send comments identified
                                                                                                          policy interests of the United States. 51             FAA proposes to revise the title of part
                                                  by docket number FAA–2016–6761
                                                                                                          U.S.C. 50905. The Act directs the FAA                 405 to a title more descriptive of its
                                                  using any of the following methods:
                                                     • Federal eRulemaking Portal: Go to                  to regulate only to the extent necessary              contents, namely, ‘‘Compliance and
                                                  http://www.regulations.gov and follow                   to protect the public health and safety,              Enforcement.’’
                                                  the online instructions for sending your                safety of property, and national security             II. Discussion of the Proposal
                                                  comments electronically.                                and foreign policy interests of the
                                                     • Mail: Send comments to Docket                      United States. 51 U.S.C. 50901(a)(7).                 1. General Rulemaking Procedures
                                                  Operations, M–30; U.S. Department of                    The FAA is also responsible for                       (Part 11)
                                                  Transportation (DOT), 1200 New Jersey                   encouraging, facilitating, and promoting                 The general rulemaking and petition
sradovich on DSK3TPTVN1PROD with PROPOSALS




                                                  Avenue SE., Room W12–140, West                          commercial space launches by the                      procedures for commercial space
                                                  Building Ground Floor, Washington, DC                   private sector. 51 U.S.C. 50903.                      transportation regulations, 14 CFR
                                                  20590–0001.
                                                     • Hand Delivery or Courier: Take                     I. Background                                           1 See § 417.1(g): Equivalent level of safety. The

                                                  comments to Docket Operations in                          The Office of Commercial Space                      requirements of this part apply to a launch operator
                                                                                                                                                                and the launch operator’s launch unless the launch
                                                  Room W12–140 of the West Building                       Transportation (AST) was established                  operator clearly and convincingly demonstrates that
                                                  Ground Floor at 1200 New Jersey                         under the Act as part of the Office of the            an alternative approach provides an equivalent
                                                  Avenue SE., Washington, DC, between                     Secretary of Transportation within the                level of safety.



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Document Created: 2018-02-08 07:27:15
Document Modified: 2018-02-08 07:27:15
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionProposed Rules
ActionPetition for rulemaking; denial.
DatesThe docket for the petition for rulemaking PRM-73-17 is closed on June 1, 2016.
ContactNatreon Jordan, Office of Nuclear Reactor Regulation, telephone: 301-415-7410, email: [email protected], U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
FR Citation81 FR 34916 

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