NERC CIP Standards and
NIST Smart Grid Update
Keith Stouffer
Program Manager
gy
National Institute of Standards and Technology
Keith.stouffer@nist.gov
Topics
NERC Critical Infrastructure Protection (CIP)
Standards
• Updates
• Where the standards are headed
NIST Framework and Roadmap for Smart Grid
Interoperability
• Updates
• Industrial to Grid (I2G) Domain Expert Working
G
Group
(DEWG)
• Cyber Security Coordination Task Group (CSCTG)
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NERC CIP Standards Revision Overview
January 18, 2008 - FERC Order 706 approves
CIP 002 – CIP-009
CIP-002
CIP 009 with direction to make
additional modifications to the Standards.
August
g
7,, 2008 – Standards Drafting
g Team
appointed to review CIP Cyber Security
Standards
• Address
Add
directed
di
t d modifications
difi ti
iin FERC O
Order
d 706
• Conform to current ERO Rules of Procedure
• Consider other cyber security standards and
guidelines (e.g., NIST, ISO, ISA, IEC, DOE, CIPC)
• Consider stakeholder issues identified in the SAR
comment process
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NERC CIP Standards, Version 2
22 members in the Standards Drafting Team (SDT)
Kick off meeting held at NIST on October 6
Kick-off
6-8,
8 2008
7 additional, 2-3 day, face-to-face meetings of the
NERC CIP SDT held over the next 6 months to
develop Revision 2 of the cyber security standards
and address the 100+ pages of comments received
during the comment period.
NERC CIP, Version 2 cyber security standards,
CIP 002-2 – CIP 009-2, were approved by the NERC
Board of Trustees on May 6, 2009 after passage by
the electric industry with a quorum of 94.37% and
an 88.32% approval rating. Approved by FERC on
September 30
30, 2009
2009.
Very fast revision of the NERC CIP Standards
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NERC CIP Standards, Version 4
First step was to develop CIP 002-4
• Defines the scope for the CIP standards
Cover all(?) Bulk Electric System assets
(control centers,
centers substations,
substations plants,
plants etc)
Cover all relevant Cyber Systems
(EMS, SCADA, protection, automation,
plant control, etc)
Approach by reliability function
More encompassing scope than previous Versions
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NERC CIP Standards, Version 4
Apply multiple levels of security controls
based on impact to BES – referencing the NIST
SP 800-53 and ISA99 models
• Low Impact
p
• Moderate Impact
• High Impact
Draft CIP 002-4 was released for informal
industry comment on December 29, 2009 –
comments due by February 12
12, 2010
SDT currently working on the revisions to CIP
002-4 – CIP 009-4 security requirements
Not a one size fits all solution
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Low Impact System
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Possible ICS Impact Level Definitions
Low Impact ICS
• Product Examples: Non hazardous materials or
products, Non-ingested consumer products
• Industry Examples: Plastic Injection Molding,
Molding
Warehouse Applications
• Security
y Concerns: Protecting
gp
people,
p , Capital
p
investment, Ensuring uptime
• NERC CIP Standards – EXAMPLE ONLY
• Generation – Below Mod threshold but part of BES
• Transmission – Below Mod threshold but part of BES
• Control
C t lC
Centers
t
– Below
B l
M
Mod
d threshold
th
h ld but
b t partt off BES
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Moderate Impact Systems
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Possible ICS Impact Level Definitions
Moderate Impact ICS
• Product Examples: Some hazardous products
and/or steps during production, High amount of
proprietary information
• Industry Examples: Automotive Metal
Industries, Pulp & Paper, Semi-conductors
• Security Concerns: Protecting people, Trade
secrets, Capital investment, Ensuring uptime
• NERC CIP Standards – EXAMPLE ONLY
• Generation – Aggregate name-plate 1000 MW – 2000 MW
• Transmission – 200 kV – 300 kV
• Control Centers – Load and generation 1000 MW – 2000 MW
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High Impact System
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High Impact System !!!
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Possible ICS Impact Level Definitions
High Impact ICS
• Product Examples: Critical Infrastructure,
Hazardous Materials, Ingested Products
• Industry Examples: Utilities,
Utilities PetroChemical
PetroChemical,
Food & Beverage, Pharmaceutical
• Security
y Concerns: Protecting
g human life,,
Ensuring basic social services, Protecting
environment
• NERC CIP Standards – EXAMPLE ONLY
• Generation – Aggregate name-plate > 2000 MW
• Transmission – > 300 kV
• Control Centers – Load and generation > 2000 MW
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World Record High Impact System ☺
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Effective Date for Standards
Effective Date Language:
“The
The first day of the third calendar quarter (i.e.,
(i e a minimum of
two full calendar quarters, and not more than three calendar
quarters) after applicable regulatory approvals have been
received (or the Reliability Standard otherwise becomes
effective the first day of the third calendar quarter after BOT
adoption in those jurisdictions where regulatory approval is
not required).
q
)
For example, if regulatory approval is granted in June, the
standards would become effective January 1 of the following
year. If regulatory approval is granted in July, the standards
would become effective April 1 of the following year.”
FERC approved
d CIP 002-2
002 2 - CIP 009-2
009 2 on September
S t
b
30
30,
2009, therefore the effective date is April 1, 2010.
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Penalties and Sanctions – Example
Violation Severity Level
Violation
Risk
Factor
Lower
Range Limits
Low
High
Moderate
Range Limits
Low
High
High
Range Limits
Low
High
Severe
Range Limits
Low
High
L
Lower
$1,000
$3,000
$2,000
$7,500
$3,000
$15,000
$5,000
$25,000
Medium
$2,000
$30,000
$4,000
$100,000
$6,000
$200,000
$10,000
$335,000
Hi h
High
$4 000
$4,000
$12 000
$125,000
$8 000
$8,000
$300 000
$300,000
$12 000
$12,000
$62 000
$625,000
$20 000 $1,000,000
$20,000
$1 000 000
Other qualitative factors for consideration:
Repeat infractions (-)
Prior warnings (
(-)
)
Deliberate violations (-)
Self-reporting and self-correction (+)
Quality of entity compliance program (+/-)
Overall performance (+/-)
Statutory limit:
$1,000,000 per
violation per day
in the U.S.
Non-financial
Non
financial
sanctions allowed
Penalty funds apply
to marginal cost of
enforcement and
reconciled in budget
(-) Negative influence
(+) Positive influence
(+/-) Positive or
negative
ti
http://www.nerc.com/files/Appendix4B_Sanctions_Guidelines_Effective_20080115.pdf
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The NIST Smart Grid Role
Energy Independence and Security Act (EISA)
of 2007
Title XIII, Section 1305.
Smart Grid Interoperability Framework
In cooperation with the DoE, NEMA, IEEE,
GWAC, and other stakeholders, NIST has
“primary
primary responsibility to coordinate
development of a framework that includes
protocols and model standards for information
management to achieve interoperability of
smart grid devices and systems…”
http://www.nist.gov/smartgrid/
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NIST Three Phase Plan
PHASE 1
Identify an initial
set of existing
consensus
standards and
develop
p a roadmap
p
to fill gaps
PHASE 2
Establish public/private
Standards Panel to provide
ongoing recommendations
for new/revised standards
PHASE 3
Testing and
Certification
Framework
2009
March
2010
September
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Inputs
Executives meeting with Secretaries Locke
and Chu
Workshops with more than 1500 participants
11-13,
13, 2008
• November 11
• April 28-29, 2009
• May
y 19-20,, 2009
• SDO Workshop, August 3-4, 2009
EPRI Report
Comments through two Federal Register
Notices
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Interoperability Framework Elements
Testing and
Certification
Standards
Security Architecture
and Requirements
Conceptual Reference Model
Business and Public Policy Requirements
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Smart Grid Domains
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I2G Domain Expert Working Group
i2g_interop@nist.gov
Scope: Interoperability and interaction
between the electric grid and industrial
facilities including electric power
facilities,
generation
http://collaborate.nist.gov/twiki-sggrid/bin/view/SmartGrid/I2G
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We Need A Standards Roadmap
Capabilities
Priorities
Reference Model
Standards
Release Plan
Responsibilities
Governance
Testing and Certification
I2G Roadmap
http://collaborate.nist.gov/twiki-sggrid/pub/SmartGrid/I2GRoadmap/
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Cyber Security Coordination Task Group
Over 300 participants within 7 Working Groups
Obj ti
Objective
is
i to
t assess standards
t d d for
f
applicability and interoperability across the
domains of the Smart Grid, rather than
develop a single set of cyber security
requirements that are applicable to all
elements of the Smart Grid
Grid.
Standards will be assessed within an overall
risk management framework that focuses on
cyber security within the Smart Grid.
http://collaborate nist gov/twiki-sggrid/bin/view/SmartGrid/CyberSecurityCTG
http://collaborate.nist.gov/twiki-sggrid/bin/view/SmartGrid/CyberSecurityCTG
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Cyber Security Requirements Document
NISTIR 7628 Smart Grid Cyber Security
Strategy and Requirements
• First draft released September 2009; Second
draft released January
y 2010; Final in spring
p g 2010
• Overall cyber security strategy for the Smart Grid
• Privacy and the Smart Grid
• Logical interface analysis – initial analysis
• Specification of confidentiality, integrity, and
availability
il bilit iimpactt llevels
l (l
(low, moderate,
d
t hi
high)
h)
• Advanced Metering Infrastructure (AMI) security
requirements
• Crosswalk of cyber security documents
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Thank You.
Keith Stouffer
National Institute of Standards and Technology
Keith stouffer@nist gov
Keith.stouffer@nist.gov