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CIP-005-6 — Cyber Security – Electronic Security Perimeter(s)

Purpose:
To manage electronic access to BES Cyber Systems by specifying a controlled Electronic Security Perimeter in support of protecting BES Cyber Systems against compromise that could lead to misoperation or instability in the BES.

Applicability:
4.1. Functional Entities: For the purpose of the requirements contained herein, the following list of functional entities will be collectively referred to as “Responsible Entities.” For requirements in this standard where a specific functional entity or subset of functional entities are the applicable entity or entities, the functional entity or entities are specified explicitly.

4.1.1. Balancing Authority
4.1.2. Distribution Provider that owns one or more of the following Facilities, systems, and equipment for the protection or restoration of the BES:

4.1.2.1. Each underfrequency Load shedding (UFLS) or undervoltage Load shedding (UVLS) system that:

4.1.2.1.1. is part of a Load shedding program that is subject to one or more requirements in a NERC or Regional Reliability Standard; and
4.1.2.1.2. performs automatic Load shedding under a common control system owned by the Responsible Entity, without human operator initiation, of 300 MW or more.

4.1.2.2. Each Remedial Action Scheme (RAS) where the RAS is subject to one or more requirements in a NERC or Regional Reliability Standard.
4.1.2.3. Each Protection System (excluding UFLS and UVLS) that applies to Transmission where the Protection System is subject to one or more requirements in a NERC or Regional Reliability Standard.
4.1.2.4. Each Cranking Path and group of Elements meeting the initial switching requirements from a Blackstart Resource up to and including the first interconnection point of the starting station service of the next generation unit(s) to be started.

4.1.3. Generator Operator
4.1.4. Generator Owner
4.1.5. Interchange Coordinator or Interchange Authority
4.1.6. Reliability Coordinator
4.1.7. Transmission Operator
4.1.8. Transmission Owner

4.2. Facilities: For the purpose of the requirements contained herein, the following Facilities, systems, and equipment owned by each Responsible Entity in Section 4.1 above are those to which these requirements are applicable. For requirements in this standard where a specific type of Facilities, system, or equipment or subset of Facilities, systems, and equipment are applicable, these are specified explicitly.

4.2.1. Distribution Provider: One or more of the following Facilities, systems and equipment owned by the Distribution Provider for the protection or restoration of the BES:

4.2.1.1 Each UFLS or UVLS System that:

4.2.1.1.1 is part of a Load shedding program that is subject to one or more requirements in a NERC or Regional Reliability Standard; and
4.2.1.1.2 performs automatic Load shedding under a common control system owned by the Responsible Entity, without human operator initiation, of 300 MW or more.

4.2.1.2 Each RAS where the RAS is subject to one or more requirements in a NERC or Regional Reliability Standard.
4.2.1.3 Each Protection System (excluding UFLS and UVLS) that applies to Transmission where the Protection System is subject to one or more requirements in a NERC or Regional Reliability Standard.
4.2.1.4 Each Cranking Path and group of Elements meeting the initial switching requirements from a Blackstart Resource up to and including the first interconnection point of the starting station service of the next generation unit(s) to be started.

4.2.2. Responsible Entities listed in 4.1 other than Distribution Providers: All BES Facilities.
4.2.3. Exemptions: The following are exempt from Standard CIP-005-6:

4.2.3.1. Cyber Assets at Facilities regulated by the Canadian Nuclear Safety Commission.
4.2.3.2. Cyber Assets associated with communication networks and data communication links between discrete Electronic Security Perimeters.
4.2.3.3. The systems, structures, and components that are regulated by the Nuclear Regulatory Commission under a cyber security plan pursuant to 10 C.F.R. Section 73.54.
4.2.3.4. For Distribution Providers, the systems and equipment that are not included in section 4.2.1 above.
4.2.3.5. Responsible Entities that identify that they have no BES Cyber Systems categorized as high impact or medium impact according to the CIP-002-5 identification and categorization processes

Effective Date:
See Implementation Plan for Project 2016-03

Background:
Standard CIP-005 exists as part of a suite of CIP Standards related to cyber security, which require the initial identification and categorization of BES Cyber Systems and require a minimum level of organizational, operational and procedural controls to mitigate risk to BES Cyber Systems.

Most requirements open with, “Each Responsible Entity shall implement one or more documented [processes, plan, etc.] that include the applicable items in [Table Reference].” The referenced table requires the applicable items in the procedures for the requirement’s common subject matter.

The term documented processes refers to a set of required instructions specific to the Responsible Entity and to achieve a specific outcome. This term does not imply any particular naming or approval structure beyond what is stated in the requirements. An entity should include as much as it believes necessary in its documented processes, but it must address the applicable requirements in the table.

The terms program and plan are sometimes used in place of documented processes where it makes sense and is commonly understood. For example, documented processes describing a response are typically referred to as plans (i.e., incident response plans and recovery plans). Likewise, a security plan can describe an approach involving multiple procedures to address a broad subject matter.

Similarly, the term program may refer to the organization’s overall implementation of its policies, plans, and procedures involving a subject matter. Examples in the standards include the personnel risk assessment program and the personnel training program. The full implementation of the CIP Cyber Security Standards could also be referred to as a program. However, the terms program and plan do not imply any additional requirements beyond what is stated in the standards.

Responsible Entities can implement common controls that meet requirements for multiple high and medium impact BES Cyber Systems. For example, a single training program could meet the requirements for training personnel across multiple BES Cyber Systems.

Measures for the initial requirement are simply the documented processes themselves. Measures in the table rows provide examples of evidence to show documentation and implementation of applicable items in the documented processes. These measures serve to provide guidance to entities in acceptable records of compliance and should not be viewed as an all-inclusive list.

Throughout the standards, unless otherwise stated, bulleted items in the requirements and measures are items that are linked with an “or,” and numbered items are items that are linked with an “and.”

Many references in the Applicability section use a threshold of 300 MW for UFLS and UVLS. This particular threshold of 300 MW for UVLS and UFLS was provided in Version 1 of the CIP Cyber Security Standards. The threshold remains at 300 MW since it is specifically addressing UVLS and UFLS, which are last ditch efforts to save the Bulk Electric System. A review of UFLS tolerances defined within regional reliability standards for UFLS program requirements to date indicates that the historical value of 300 MW represents an adequate and reasonable threshold value for allowable UFLS operational tolerances.

“Applicable Systems” Columns in Tables:
Each table has an “Applicable Systems” column to further define the scope of systems to which a specific requirement row applies. The CSO706 SDT adapted this concept from the National Institute of Standards and Technology (“NIST”) Risk Management Framework as a way of applying requirements more appropriately based on impact and connectivity characteristics. The following conventions are used in the “Applicability Systems” column as described.

Requirements and Measures
R1. Each Responsible Entity shall implement one or more documented processes that collectively include each of the applicable requirement parts in CIP-005-6 Table R1 – Electronic Security Perimeter. [Violation Risk Factor: Medium] [Time Horizon: Operations Planning and Same Day Operations].
M1. Evidence must include each of the applicable documented processes that collectively include each of the applicable requirement parts in CIP-005-6 Table R1 – Electronic Security Perimeter and additional evidence to demonstrate implementation as described in the Measures column of the table.

CIP-005-6 Table R1 – Electronic Security Perimeter

Part Applicable Systems Requirements Measures
1.1 High Impact BES Cyber Systems and their associated:
• PCA

Medium Impact BES Cyber Systems and their associated:
• PCA

 All applicable Cyber Assets connected to a network via a routable protocol shall reside within a defined ESP. An example of evidence may include, but is not limited to, a list of all ESPs with all uniquely identifiable applicable Cyber Assets connected via a routable protocol within each ESP.
1.2 High Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

 All External Routable Connectivity must be through an identified Electronic Access Point (EAP). An example of evidence may include, but is not limited to, network diagrams showing all external routable communication paths and the identified EAPs.
1.3 Electronic Access Points for High Impact BES Cyber Systems Electronic Access Points for Medium Impact BES Cyber Systems Require inbound and outbound access permissions, including the reason for granting access, and deny all other access by default. An example of evidence may include, but is not limited to, a list of rules (firewall, access control lists, etc.) that demonstrate that only permitted access is allowed and that each access rule has a documented reason.
1.4 High Impact BES Cyber Systems with Dial-up Connectivity and their associated:
• PCA

Medium Impact BES Cyber Systems with Dial-up Connectivity and their associated:
• PCA

 Where technically feasible, perform authentication when establishing Dialup Connectivity with applicable Cyber Assets. An example of evidence may include, but is not limited to, a documented process that describes how the Responsible Entity is providing authenticated access through each dial-up connection.
1.5 Electronic Access Points for High Impact BES Cyber Systems Electronic Access Points for Medium Impact BES Cyber Systems at Control Centers Have one or more methods for detecting known or suspected malicious communications for both inbound and outbound communications. An example of evidence may include, but is not limited to, documentation that malicious communications detection methods (e.g. intrusion detection system, application layer firewall, etc.) are implemented.

R2. Each Responsible Entity shall implement one or more documented processes that collectively include the applicable requirement parts, where technically feasible, in CIP-005-6 Table R2 –Remote Access Management. [Violation Risk Factor: Medium] [Time Horizon: Operations Planning and Same Day Operations].
M2. Evidence must include the documented processes that collectively address each of the applicable requirement parts in CIP005-6 Table R2 –Remote Access Management and additional evidence to demonstrate implementation as described in the Measures column of the table.

CIP-005-6 Table R2 – Remote Access Management

Part Applicable Systems Requirements Measures
2.1 High Impact BES Cyber Systems and their associated:
• PCA

Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

 For all Interactive Remote Access, utilize an Intermediate System such that the Cyber Asset initiating Interactive Remote Access does not directly access an applicable Cyber Asset. Examples of evidence may include, but are not limited to, network diagrams or architecture documents.
2.2 High Impact BES Cyber Systems and their associated:
• PCA

Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

 For all Interactive Remote Access sessions, utilize encryption that terminates at an Intermediate System. An example of evidence may include, but is not limited to, architecture documents detailing where encryption initiates and terminates.
2.3 High Impact BES Cyber Systems and their associated:
• PCA

Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

 Require multi-factor authentication for all Interactive Remote Access sessions. An example of evidence may include, but is not limited to, architecture documents detailing the authentication factors used. Examples of authenticators may include, but are not limited to,
• Something the individual knows such as passwords or PINs. This does not include User ID;
• Something the individual has such as tokens, digital certificates, or smart cards; or
• Something the individual is such as fingerprints, iris scans, or other biometric characteristics.
2.4 High Impact BES Cyber Systems and their associated:
• PCA

Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA

 Have one or more methods for determining active vendor remote access sessions (including Interactive Remote Access and system-to-system remote access). Examples of evidence may include, but are not limited to, documentation of the methods used to determine active vendor remote access (including Interactive Remote Access and system-to-system remote access), such as:
• Methods for accessing logged or monitoring information to determine active vendor remote access sessions;
• Methods for monitoring activity (e.g. connection tables or rule hit counters in a firewall, or user activity monitoring) or open ports (e.g. netstat or related commands to display currently active ports) to determine active system to system remote access sessions; or
• Methods that control vendor initiation of remote access such as vendors calling and requesting a second factor in order to initiate remote access.
2.5 High Impact BES Cyber Systems and their associated:
• PCA Medium Impact BES Cyber Systems with External Routable Connectivity and their associated:
• PCA		 Have one or more method(s) to disable active vendor remote access (including Interactive Remote Access and system-to-system remote access). Examples of evidence may include, but are not limited to, documentation of the methods(s) used to disable active vendor remote access (including Interactive Remote Access and system-to-system remote access), such as:
• Methods to disable vendor remote access at the applicable Electronic Access Point for system-to-system remote access; or
• Methods to disable vendor Interactive Remote Access at the applicable Intermediate System.

Compliance
1. Compliance Monitoring Process

1.1. Compliance Enforcement Authority: “Compliance Enforcement Authority” means NERC or the Regional Entity, or any entity as otherwise designated by an Applicable Governmental Authority, in their respective roles of monitoring and/or enforcing compliance with mandatory and enforceable Reliability Standards in their respective jurisdictions.
1.2. Evidence Retention: The following evidence retention period(s) identify the period of time an entity is required to retain specific evidence to demonstrate compliance. For instances where the evidence retention period specified below is shorter than the time since the last audit, the Compliance Enforcement Authority may ask an entity to provide other evidence to show that it was compliant for the full-time period since the last audit. The applicable entity shall keep data or evidence to show compliance as identified below unless directed by its Compliance Enforcement Authority to retain specific evidence for a longer period of time as part of an investigation.
• Each applicable entity shall retain evidence of each requirement in this standard for three calendar years.
• If an applicable entity is found non-compliant, it shall keep information related to the non-compliance until mitigation is complete and approved or for the time specified above, whichever is longer.
• The CEA shall keep the last audit records and all requested and submitted subsequent audit records.
1.3. Compliance Monitoring and Enforcement Program: As defined in the NERC Rules of Procedure, “Compliance Monitoring and Enforcement Program” refers to the identification of the processes that will be used to evaluate data or information for the purpose of assessing performance or outcomes with the associated Reliability Standard.

Related Terms:

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