Security Guideline for the Electricity Sector: Information Protection (Update for 30-Day CIPC Comment Period) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 Preamble: 40 41 2. Classification Levels of document security 42 43 3. Labeling Requirements for labeling documents 44 4. Handling It is in the public interest for NERC to develop guidelines that are useful for improving the reliability of the bulk electric system. Guidelines provide suggested guidance on a particular topic for use by bulk electric system entities according to each entity’s facts and circumstances and not to provide binding norms, establish mandatory reliability standards, or be used to monitor or enforce compliance. Introduction: This Guideline addresses potential risks that can apply to some Electricity Sector Organizations and provides practices that can help mitigate the risks. Each organization decides the risk it can accept and the practices it deems appropriate to manage its risk. This Guideline provides a suggested framework for protecting information related to sensitive company information that may include business information, personnel information, and information in support of NERC Standards. Scope of Application: This Guideline applies to all essential infrastructure owners and operators, and in particular, to personnel responsible for making information available to others within or outside their company or agency. Essential infrastructure owners and operators should implement an information protection program to protect essential infrastructure information and to control access to this information. This Guideline provides a suggested framework for such a program. Guideline Details: An entity implementing an Information Protection Program (IP Program) should define an Information Management Lifecycle to identify, protect and control information subject to the IP Program. The IP Program should address all aspects of information handling from creation through use, storage and destruction of the information. Information Management Lifecycle Overview: 1. Identification Method of identifying documents subject to this Guideline 45 How documents are handled when in use 46 47 5. Access Control Method of requesting and granting access to restricted documents 48 49 6. Logging Activity Logging access, updates, etc. to a document 50 51 7. Storage How documents of different security levels are required to be stored 52 53 8. Transmittal How documents are sent to either internal or external destinations 54 55 9. Destruction Methods of destroying and recording destruction of documents 56 57 10. Inventory Tracking sensitive documents 58 59 11. Lost or Compromised Documents Responding to lost, stolen or otherwise compromised documents 60 61 Appendix A. Document Management System Using an electronic storage system to manage documents 62 63 64 Appendix B. Monitoring and Assessing the Information Protection Program Evaluating the effectiveness of the IP Program process; correcting deficiencies 65 66 67 Appendix C. Encryption What types of encryption should be used; how encryption should be implemented 68 69 Appendix D. Protected Critical Infrastructure Information (PCII) Designation of information released to government agencies as PCII 70 Appendix E. Examples of Information to be Protected 71 72 Appendix F. Definitions Definitions of terms used in this document 73 74 75 76 77 78 79 80 81 82 83 84 Appendix G. References References to more information about topics in this document 1. Identification Information to be protected should be identified as early in the information creation process as possible. Information subject to this Guideline can be in hardcopy or electronic form. Examples of information addressed by this Guideline are listed in Appendix E. The IP Program should include a provision for capturing and identifying information as the information is created. The IP Program identification section should also include provision for examining and identifying information that exists at the time the IP Program becomes effective. 85 86 87 88 89 90 91 92 93 94 95 96 97 98 99 100 101 102 103 104 105 The IP Program identification section should contain specific categories of information to be protected. These categories should include, but may not be limited to, operational procedures, critical asset lists, network topology or similar diagrams, floor plans and equipment layouts of essential facilities, disaster recovery plans, incident response plans, and security configuration information. Information to be protected should be assigned an Information Protection Owner (IP Owner). The IP Owner will be responsible for classification and access control of the information. Information identified by this section of the IP Program should be subject to the remaining provisions of the IP Program, such as inventory, classification, etc. 2. Classification Information should be classified according to a defined scheme. The typical classification system consists of two or more levels, with each level requiring different methods of handling, storage, etc. An entity may use the following example classification system as a starting point in developing its own system: Classification Level Public Proprietary Sensitive Confidential Description Information which may be safely released to the general public. This level may also include information required to be disclosed to the public such as financial results. Note that classifying information as “Public” is not necessarily an authorization to release said information. Examples may include outage statistics and estimated restoration times. Information which may be obtained by any employee but should not be released to the public. Examples may include organization charts, telephone lists or budget information. Information which may contribute to understanding or identifying an essential system. Information at this level does not contain enough detail to be able to compromise assets, but may contribute to an attacker’s knowledge of the essential system. Examples may include operational procedures, lists of assets, network diagrams, floor plans, equipment layouts and disaster recovery plans. Information which significantly enhances the probability of a successful compromise of an essential system. Examples may include incident response plans, security configurations, password lists and results of physical or cyber vulnerability assessments. 106 107 108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 Further sections of this Guideline will refer to these example classification levels. An entity implementing an IP Program should map these example levels to its own classification scheme. 3. Labeling Labels should be used as appropriate to indicate the Classification Level of protected information. Labels may be considered as external, such as a “Confidential” sticker placed on a backup tape, or internal, such as the Classification Level of a report being included in the report header. The IP Program should state clearly when labeling is required and the type of label required. If possible, information should be internally labeled with its classification level. Most documents and reports should be capable of being internally labeled. Information stored on live computer systems such as servers, desktop workstations and laptops need not carry an external label. Removable media such as CD, DVD and magnetic tape should carry an external label. The following table gives suggested labeling at different classification levels: Classification Level Public Proprietary Sensitive Confidential Suggested Label Requirements No label required. Note that many entities have a screening or authorization process for public release of information. No label required. A label may be required if this information is released to a third party under nondisclosure agreement. Documents or reports should be required to carry the word “Sensitive” in a defined place, usually the center of the document footer. Procedures should be in place to ensure reports generated from Sensitive databases or logs carry the “Sensitive” designation in the header or footer of each page. Interactive screens may be required to show the “Sensitive” designation if the data comes from a Sensitive database. Documents or reports should be required to carry the word “Confidential” in a defined place such as a watermark. If a watermark is not feasible, the label should appear in the document header or document footer. Procedures should be in place to ensure reports generated from Confidential databases or logs carry the “Confidential” designation in the header or footer of each page. Interactive screens may be required to show the “Confidential” designation if the data comes from a Confidential database. 129 130 131 132 133 134 135 4. Handling Information handling requirements specify precautions to take while using protected information. The intent of the handling requirements is to prevent disclosure of the protected information during its normal use. Classification Level Public Proprietary Sensitive Confidential 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 Suggested Handling Requirements None If the information is used in a facility that is open to public access, precautions similar to those at the “Sensitive” level should be used. Otherwise, none. Hardcopy should not be posted or left unattended in a non-restricted area such as a conference room. Computers in a non-restricted area with access to Sensitive information should be locked or otherwise secured when not attended by an authorized individual. Hardcopy should not be posted or left unattended. Computers capable of displaying Confidential information should not have screens visible from nonsecured areas. For example, some control rooms have viewing windows behind the operator positions. If screens are visible from these windows, protected information may be inadvertently compromised. Printers and copiers should be physically monitored while producing Confidential hardcopies. 5. Access Control The IP Program should contain provisions for control of access to protected information. The components of an access control system may include: Identification of the person responsible for controlling access to the information (IP Owner). The IP Owner may have one or more designated alternates assigned. The IP Owners should be identified on a list of information owners maintained for the responsible entity. The list should contain, at minimum, the IP Owner’s name, title, and business phone. Each entry in the Information Inventory (see Inventory) should be associated with an IP Owner on this list. The list of IP Owners may be part of the Information Inventory. The list of IP Owners should be reviewed and approved at least annually. Record of the annual review and approval should be kept. 153 154 155 156 157 158 159 Access privileges for each document in the Information Inventory should be reviewed and approved at least annually. Record of the annual review and approval should be kept. The IP Program should specify a provision for revoking access when such access is no longer required. Revocation should not be delayed until the annual review. Classification Level Public Proprietary Sensitive Confidential 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 Suggested Access Control Restrictions Read-only; write permissions should be granted onty to those authorized to modify the information. Access restricted to employees only. Access to contractors and third parties permitted under NonDisclosure Agreement (NDA). Employees, contractors with NDA and third parties with NDA may be granted access. Access may be granted to groups of Sensitive documents or to all Sensitive documents. Access should be restricted to personnel with a need to know only. Contractors or third parties with need for Confidential documents should be granted access only after legal review of the NDA to ensure the NDA is sufficient for this level of access. Access should be granted only to individual documents for a defined time period. When the time period expires the access privilege should be reviewed and renewed only if still needed. 6. Logging Activity An IP Program should have a provision for logging activity associated with protected information. Logs may be electronic or hardcopy, depending on the needs of the information being protected. Logs may contain the following information: Identification of the information affected Type of activity Date and time of activity Individual performing the activity Individual approving the activity The following types of activity are candidates for logging: Information creation Access to information Information modification Duplication of information Transmittal of information to third parties 179 180 181 Change of classification level Destruction of information Classification Level Public Proprietary Sensitive Confidential 182 183 184 185 186 187 188 189 190 191 None Release to third party under NDA; change of classification level Creation, modification and destruction; release to third party under NDA; change of classification level Creation, modification, duplication, access and destruction; release to third party under NDA; change of classification level 7. Storage The method used for storage of protected information should be specified in the IP Program. The methods used will vary based on the form of the information (hardcopy, electronic) and the classification level of the information. Where an electronic storage medium is at risk of physical loss (such as a laptop computer or portable storage device), the information should be stored in encrypted format regardless of the sensitivity of the information. Classification Level Public Proprietary Sensitive Confidential 192 193 194 Suggested Activity Logging 8. Transmittal Suggested Storage Methods No restrictions No restrictions when stored within a facility controlled by the Responsible Entity; when outside such facility, hardcopy information should be stored in a locked container, electronic information should be protected by password or other access restriction Hardcopy information should be kept in a locked storage location such as a cabinet or file drawer; electronic information should be protected by restricting access privileges to those with need to access Hardcopy information should be kept in a secure cabinet or file with controlled access to key or combination; electronic information should be encrypted and protected by restricting access privileges and encryption key to those with need to access. Encryption keys should be unique for each document. 195 196 197 198 The IP Program should provide acceptable methods of transferring protected information between authorized individuals. These methods will depend on the classification level of the information. Classification Level Public Proprietary Sensitive Confidential 199 200 201 202 203 204 205 206 207 208 209 210 211 212 213 214 215 216 217 218 219 220 221 Suggested Transmission Methods Any Any non-public communications or transmission medium such as cell phone, US Mail, interoffice mail in a reusable envelope or Internet email. Any non-public communications or transmission medium with some precaution against unauthorized eavesdropping or document access. Examples include: wired telephone service; interoffice mail in a sealed envelope; US Mail or other common carrier in a tightly sealed and completely opaque envelope; internal (non-internet) email system; internet email encrypted with a password sent under separate cover A secure transmittal system with confirmation of document integrity and delivery. Examples include: bonded courier; internet email encrypted with a password sent through a different medium; and encrypted CD or DVD sent through common carrier with a password sent through a different carrier 9. Destruction Providing for secure destruction of protected information is crucial to any IP Program. One of the most popular techniques for information gathering is “dumpster diving” to find sensitive materials that have not been disposed of properly. Paper documents should be destroyed with a cross-cut shredder or burned. Information on computer storage media should be destroyed. NIST SP800-88 “Guidelines for Media Sanitization” describes the following methods. Clear: Overwriting the media with random data. Purge: Degaussing the media with a strong magnetic field. Destroy: Methods include Disintegration, Pulverization, Melting, Incineration and Shredding so that particle size does not exceed five millimeters on any side. 10. Inventory An IP Program should specify an inventory system to be used to track protected information. This inventory system should be useful in answering questions such as: What information exists at a Sensitive or Confidential level? Who has custody of information at a Confidential level? 222 223 224 225 226 227 228 229 230 231 232 233 234 235 236 237 238 239 240 241 242 243 244 245 246 247 248 While an inventory may be implemented as part of a Document Management System (see Appendix A), it may also be a stand-alone system. Information kept by an inventory system may include: Identification, such as a number or name, of each document or type of information Date of creation of the information Location of the information Classification level of the information List of individuals with authorized access to the information List of individuals responsible for granting access to the information Retention period for the information Date of destruction of the information Date and circumstances of possible compromise of the information 12. Lost or Compromised Information The IP Program should contain provisions for information that is missing or that is known to be compromised. Such loss can occur in many ways, such as inadvertent release to public information channels, loss of a laptop computer or portable storage media, or improper destruction of media. An organization may wish to consider information known by an employee who is terminated for cause to be compromised. Alternatively, if an organization has an employment agreement regarding confidentiality that survives the termination of an employee, the organization may take that into consideration when determining if information known by a former employee is compromised. 249 250 251 252 253 254 255 256 257 258 259 260 261 262 263 264 265 266 267 268 269 270 271 272 273 274 275 276 277 278 279 280 281 282 283 284 285 286 287 288 289 290 291 292 Appendix A. Document Management System Use of a Document Management System can greatly ease the overhead involved in information protection. Such systems are available commercially or can be homegrown. Some functions that these systems can perform are: Secure electronic storage of information Access control Logging of creation, modification, removal or access Version control (assignment of version numbering) Version history (retention of previous versions of documents) Organization of information (such as by standard requiring the documents) Collaboration (central repository for teams working on a document) Approval workflow (electronically approving documents) Scheduled review (for documents that need periodic review and approval) Enforce retention policy Assist in monitoring and assessing the IP Program If a Document Management System is implemented, the IP Program should contain provisions and instructions for its use and administration. Appendix B. Assessing the Information Protection Program The IP Program should contain a provision for regularly assessing the IP Program. Topics for consideration during an assessment include: Scope: Does the IP Program protect the information it is intended to protect? Is there information that should be protected that is not covered by the IP Program? Is too much information being protected? Are employees being hindered in their jobs by information that is protected to little advantage? Roles: Are the roles defined by the IP Program correctly assigned? Are the people in those roles aware of their responsibilities within the IP Program? Information Lifecycle: Is the Information Lifecycle defined by the IP Program being observed? Is information being identified, classified, labeled, handled, stored, transmitted and destroyed correctly? Access Control: Are the privileges granted to each individual appropriate to the individual’s job requirements? Are those responsible for approving access to information still the proper parties? Inventory: Is the inventory being kept up to date? Are changes in information ownership reflected promptly in the inventory? Document Management System: Is the Document management System being used and maintained correctly? Lost or Compromised Documents: Are lost or otherwise compromised documents handled correctly? 293 294 295 296 297 298 299 300 301 302 303 304 305 306 307 308 309 310 311 312 313 314 315 316 317 318 319 320 321 322 323 324 325 326 327 328 329 330 331 332 333 334 335 336 337 338 Classification of Documents: Are documents still in their correct classification level? Results of the assessment should be documented and remediation of any deficiencies promptly addressed. Appendix C. Encryption The purpose of encrypting data is to protect data contents from discovery. There are two different types of encryption algorithms: symmetric and asymmetric. Symmetric algorithms are faster to encrypt and decrypt, but key management can be a challenge. Asymmetric algorithms use two different keys (one for encryption, one for decryption), which makes key management easier. The downside being that a management infrastructure needs to be in place. Also, due to the larger key strengths with asymmetric algorithms, encryption/decryption operations are slower. In addition to protecting the data, a good encryption program should also include a file integrity check. This is generally accomplished with file hashing. Hashing creates a hex signature of document or file. If the file gets changed, the hash signature would need to be changed, or else a mismatch will occur. It is highly recommended to create hash signatures for all encrypted files and storing that information in a protected manner. Hash updates on confidential data should have a procedure that requires authorization to complete. In order to securely transfer and/or store sensitive data, it should be encrypted with the strongest cipher that a company can support. Any encryption keys used in encryption/decryption should be classified under the IP program as "Confidential" data and stored and managed in a secure manner. Recommendations for an encryption strategy are as follows: Decide the type of encryption: o Asymmetric: different keys for encryption and decryption. Pros: Key management is less of a challenge Considered to be more secure than symmetric encryption because of ability to restrict access to decryption key Cons: Requires a public key infrastructure (for public and private key pair management) Slower to encrypt/decrypt Initially deploying keys can be a challenge. o Symmetric: one key to be used for encryption and decryption Pros: Infrastructure is easier to set up. 339 340 341 342 343 344 345 346 347 348 349 350 351 352 353 354 355 356 357 358 359 360 361 362 363 364 365 366 367 368 369 370 371 372 373 374 375 Faster encryption/decryption. Key set up and management is much easier Key distribution is much easier, though caution must be taken to secure the key during distribution. Cons: Key control is more challenging. Considered less secure, because of key control challenges (even though algorithms are practically unbreakable). Decide the key strength: o The larger the bit count, the stronger the algorithm. o The larger the bit count, the longer it takes for encrypt/decrypt. o Find the right balance between security and performance. o It is recommended not to use anything less than 128 bits (symmetric) or 1028 bits (asymmetric) regardless of the data being encrypted. o Each organization should clearly specify a minimum acceptable cipher strength for its own use, as well as a recommended cipher strength. Choose an algorithm: o AES (Advanced Encryption Algorithm) is current government (and NIST) standard. It is a symmetric algorithm with key strengths of 128, 192 and 256 bit. The algorithm is (for all practical senses) unbreakable with modern technology. o If asymmetric encryption is desired, the most common algorithms are DSS and RSA RSA has a key strength between 1024 and 2048 bits. DSS has key strengths between 512 and 1024 bits. Choose a hashing algorithm: o In light of research done over the last five years, it is not recommended to use MD5 or SHA1 for any sensitive data o It is recommended to use SAH256 or 512. 376 377 378 379 380 381 382 383 384 Appendix D. Protected Critical Infrastructure Information (PCII) The Protected Critical Infrastructure Information (PCII) Program was established and is operated by the Department of Homeland Security (DHS). Its goal is to facilitate greater sharing of critical infrastructure information between the owners and operators of the critical infrastructures and government entities with infrastructure protection responsibilities. The overall goal is reducing the nation’s vulnerability to terrorism. PCII can be used by Federal, State, and Local government entities for the following purposes: 385 386 387 388 389 390 391 392 393 394 395 396 397 398 399 400 401 402 403 404 405 406 407 408 409 410 411 412 413 414 415 416 417 Analyze and secure critical infrastructure and protected systems, Identify vulnerabilities and develop risk assessments, and Enhance recovery preparedness measures. The PCII Program, created a framework which enables members of the private sector to voluntarily submit confidential information regarding the nation’s critical infrastructure to the Department of Homeland Security (DHS) with the assurance that the information will be protected from public disclosure. If the information submitted satisfies the requirements of the Critical Infrastructure Information Act of 2002, it is protected from: The Freedom of Information Act (FOIA), State and local disclosure laws, and Use in civil litigation. Information related to the security of critical infrastructure or protected systems, including documents, records or other information concerning threats, vulnerabilities and operational experience may be submitted for PCII protection. Qualifying information must be: Voluntarily submitted, Not customarily available in the public domain, and Not submitted in lieu of compliance with any regulatory requirement. All PCII recipients share responsibility for ensuring that PCII is properly safeguarded in accordance with the Critical Infrastructure Information Act of 2002. Penalties for improper disclosure are fines, imprisonment of not more than one year, or both, and removal from office or employment. This program applies to all critical infrastructure not only bulk electric system assets. Appendix E. Examples of Information to be Protected Type of Information Locations & Functions: Essential assets: function and physical location Examples Control centers and backup control centers. Transmission substations supporting the reliable operation of the Bulk Electric System. Generation resources supporting the reliable operation of the Bulk Electric System. Systems and facilities essential to system restoration. Systems and facilities essential to automatic load shedding. Special protection systems supporting the reliable operation of the Bulk Electric System. Other facilities deemed essential by the application of the responsible entities’ risk based Network topology maps assessment methodology. Details of essential computer systems (e.g. operational systems such as EMS, SCADA, digital control systems, their names and function, CAD/CAM facilities, network configuration and firewall policies) Ties between control areas, congestion points GIS data of transmission networks and facilities, etc. Hierarchical production or process control maps, charts or diagrams Diagrams of Electronic Security Perimeters Bridge and over-surface assets SCADA-controlled assets Remotely controlled assets Fuel, industrial chemicals or waste storage Emergency coordination centers Emergency meeting points and stations Exposed/unprotected assets Unmanned assets Hazardous materials Contingency facilities 418 Type of Information Assessments: Vulnerability or risk assessments Examples Hypothetical impact assessments Drills and exercises Facility limitations Location/function-specific ranked data Security assessments Risk based methodology used to identify essential assets. Hypothetical environmental impact assessments Information that describes areas likely to be affected by a failure (e.g. Downstream impact of dam breach) Detailed exercise scope and objectives Operating procedures Findings and lessons-learned Backup control center testing procedures Storm or other high-risk limits Grid constraints and congestion points Natural hazard high-risk facilities Single contingency risks Quantitative comparisons of assets 419 Type of Information Operations: Real time operations data Examples Real time MW and flows at critical grid locations or transfer points Physical and cyber security plans Heightened risk operating procedures Emergency response and business continuity plans Hourly forebay water elevations Reports and logs related to cyber assets Facility and information technology security capabilities and procedures Essential production processes Contingency protection measures Special protection schemes and their operation Emergency control actions, procedures and status when responding to events Details of response to NERC Alert Levels Emergency response procedures (e.g. steps to be taken at a specific facility) Facility evacuation criteria Power system restoration plans Contingency procedures Minutes of meetings regarding emergency planning processes and strategies Post-incident audits or reviews and specific action plans Systems used to track changes to software or hardware systems Systems used to manage work essential assets or associated cyber systems Change Tracking and Work Management Systems Type of Information Interdependencies: Personnel information Examples Energy and water sources Communications assets and procedures 420 Transportation methods Key suppliers or customers Essential operations or emergency personnel names, addresses, telephone numbers, contact information, etc. Regular or backup energy and water sources Essential communications processes and facilities Key communications contacts and protocols Key transportation routes for essential services or personnel Supply lines to essential facilities (military installations, hospitals, government facilities, etc.) Key business process partners Customer supply points Number of retail customers served by a specific facility or portion of the infrastructure Emergency and backup services Information that could be used to identify customers and their critical infrastructure 421 422 423 424 425 426 427 428 429 430 431 432 433 434 435 436 437 438 439 440 441 442 443 444 445 446 447 448 449 450 451 452 453 454 455 456 457 458 459 460 461 462 463 464 465 Appendix F. Definitions (incomplete) Attacker - A person or process that intentionally attempts to violate a system or systems with the intent to bypass the security of the system and/or relevant data. Computer System - A complete, working computer. The computer system includes not only the computer, but also any software and peripheral devices that are necessary to make the computer function. Every computer system, for example, requires an operating system. Essential Infrastructure - Systems and assets, whether physical or virtual, so vital to the United States that the incapacity or destruction of such systems and assets would have a debilitating impact on security, national economic security, national public health or safety, or any combination of these matters. Essential Infrastructure Information - Information not customarily in the public domain and related to the security of essential infrastructure or protected systems. Facility - Something (as a hospital) that is built, installed, or established to serve a particular purpose. Information - The attribute inherent in and communicated by one of two or more alternative sequences or arrangements of something (as nucleotides in DNA or binary digits in a computer program) that produce specific effects. Appendix G. Related Documents, References and Links DHS Protected Critical Infrastructure Information (PCII) Program http://www.dhs.gov/xinfoshare/programs/editorial_0404.shtm PCII Program Fact Sheet http://www.asisonline.org/newsroom/pcii.pdf Critical Infrastructure Information Act of 2002 http://www.dhs.gov/xlibrary/assets/CII_Act.pdf NIST SP800-88 http://csrc.nist.gov/publications/PubsSPs.html 466 467Revision History: 468 Date Version Number 8/25/2008 0.5 469 Reason/Comments Internal draft