工业控制系统安全指南Guide+to+Industrial+Contrl+Systems+(ICS)

Special Publication 800-82

Guide to Industrial Control Systems (ICS) Security

Supervisory Control and Data Acquisition (SCADA) systems, Distributed Control Systems (DCS), and other control system configurations such as Programmable Logic Controllers (PLC) Recommendations of the National Institute of Standards and T echnology

Keith S touffer

Joe Falco

Karen Scarfone

C O M P U T E R S E C U R I T Y

G UIDE TO I NDUSTRIAL C ONTROL S YSTEMS (ICS)S ECURITY

Reports on Computer Systems Technology

The Information Technology Laboratory (ITL) at the National Institute of Standards and Technology (NIST) promotes the U.S. economy and public welfare by providing technical leadership for the nation’s measurement and standards infrastructure. ITL develops tests, test methods, reference data, proof of concept implementations, and technical analysis to advance the development and productive use of information technology. ITL’s responsibilities include the development of technical, physical, administrative, and management standards and guidelines for the cost-effective security and privacy of sensitive unclassified information in Federal computer systems. This Special Publication 800-series reports on ITL’s research, guidance, and outreach efforts in computer security and its collaborative activities with industry, government, and academic organizations.

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Acknowledgments

The authors, Keith Stouffer, Joe Falco, and Karen Scarfone of the National Institute of Standards and Technology (NIST), wish to thank their colleagues who reviewed drafts of this document and contributed to its technical content. The authors would particularly like to acknowledge Tim Grance, Ron Ross, Stu Katzke, and Freemon Johnson of NIST for their keen and insightful assistance throughout the development of the document. The authors also gratefully acknowledge and appreciate the many contributions from the public and private sectors whose thoughtful and constructive comments improved the quality and usefulness of this publication. The authors would particularly like to thank the members of ISA99. The authors would also like to thank the UK National Centre for the Protection of National Infrastructure (CPNI)) for allowing portions of the Good Practice Guide on Firewall Deployment for SCADA and Process Control Network to be used in this document as well as ISA for allowing portions of the ANSI/ISA99 Standards to be used in this document.

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Table of Contents

Executive Summary..............................................................................................................ES-1 1.Introduction......................................................................................................................1-1

1.1Authority...................................................................................................................1-1

1.2Purpose and Scope.................................................................................................1-1

1.3Audience..................................................................................................................1-1

1.4Document Structure.................................................................................................1-2

2.Overview of Industrial Control Systems........................................................................2-1

2.1Overview of SCADA, DCS, and PLCs.....................................................................2-1

2.2ICS Operation..........................................................................................................2-2

2.3Key ICS Components..............................................................................................2-3

2.3.1Control Components.....................................................................................2-4

2.3.2Network Components...................................................................................2-5

2.4SCADA Systems......................................................................................................2-6

2.5Distributed Control Systems..................................................................................2-10

2.6Programmable Logic Controllers...........................................................................2-12

2.7Industrial Sectors and Their Interdependencies....................................................2-13

3.ICS Characteristics, Threats and Vulnerabilities..........................................................3-1

3.1Comparing ICS and IT Systems..............................................................................3-1

3.2Threats.....................................................................................................................3-5

3.3Potential ICS Vulnerabilities.....................................................................................3-6

3.3.1Policy and Procedure Vulnerabilities............................................................3-7

3.3.2Platform Vulnerabilities.................................................................................3-8

3.3.3Network Vulnerabilities...............................................................................3-12

3.4Risk Factors...........................................................................................................3-14

3.4.1Standardized Protocols and Technologies.................................................3-15

3.4.2Increased Connectivity...............................................................................3-15

3.4.3Insecure and Rogue Connections..............................................................3-16

3.4.4Public Information.......................................................................................3-16

3.5Possible Incident Scenarios...................................................................................3-17

3.6Sources of Incidents..............................................................................................3-18

3.7Documented Incidents...........................................................................................3-19

4.ICS Security Program Development and Deployment..................................................4-1

4.1Business Case for Security......................................................................................4-1

4.1.1Benefits.........................................................................................................4-1

4.1.2Potential Consequences...............................................................................4-2

4.1.3Key Components of the Business Case.......................................................4-3

4.1.4Resources for Building Business Case........................................................4-4

4.1.5Presenting the Business Case to Leadership...............................................4-4

4.2Developing a Comprehensive Security Program.....................................................4-4

4.2.1Senior Management Buy-in..........................................................................4-5

4.2.2Build and Train a Cross-Functional Team....................................................4-5

4.2.3Define Charter and Scope............................................................................4-6

4.2.4Define ICS Specific Security Policies and Procedures.................................4-6

4.2.5Define and Inventory ICS Systems and Networks Assets............................4-6

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4.2.6Perform Risk and Vulnerability Assessment.................................................4-7

4.2.7Define the Mitigation Controls......................................................................4-8

4.2.8Provide Training and Raise Security Awareness.........................................4-9

3622942aed630b1c59eeb5d4work Architecture.......................................................................................................5-1

5.1Firewalls...................................................................................................................5-1

5.2Logically Separated Control Network.......................................................................5-3

5.3Network Segregation...............................................................................................5-3

5.3.1Dual-Homed Computer/Dual Network Interface Cards (NIC).......................5-3

5.3.2Firewall between Corporate Network and Control Network..........................5-4

5.3.3Firewall and Router between Corporate Network and Control Network.......5-6

5.3.4Firewall with DMZ between Corporate Network and Control Network..........5-7

5.3.5Paired Firewalls between Corporate Network and Control Network............5-9

5.3.6Network Segregation Summary..................................................................5-10

5.4Recommended Defense-in-Depth Architecture.....................................................5-10

5.5General Firewall Policies for ICS...........................................................................5-11

5.6Recommended Firewall Rules for Specific Services..............................................5-13

5.6.1Domain Name System (DNS).....................................................................5-14

5.6.2Hypertext Transfer Protocol (HTTP)...........................................................5-14

5.6.3FTP and Trivial File Transfer Protocol (TFTP)...........................................5-14

5.6.4Telnet..........................................................................................................5-14

5.6.5Simple Mail Transfer Protocol (SMTP).......................................................5-14

5.6.6Simple Network Management Protocol (SNMP)........................................5-15

5.6.7Distributed Component Object Model (DCOM)..........................................5-15

5.6.8SCADA and Industrial Protocols.................................................................5-15

5.7Network Address Translation (NAT)......................................................................5-15

5.8Specific ICS Firewall Issues...................................................................................5-16

5.8.1Data Historians...........................................................................................5-16

5.8.2Remote Support Access.............................................................................5-16

5.8.3Multicast Traffic..........................................................................................5-17

5.9Single Points of Failure..........................................................................................5-17

5.10Redundancy and Fault Tolerance..........................................................................5-18

5.11Preventing Man-in-the-Middle Attacks...................................................................5-18

6.ICS Security Controls......................................................................................................6-1

6.1Management Controls..............................................................................................6-1

6.1.1Security Assessment and Authorization.......................................................6-2

6.1.2Planning........................................................................................................6-2

6.1.3Risk Assessment..........................................................................................6-3

6.1.4System and Services Acquisition.................................................................6-5

6.1.5Program Management..................................................................................6-6

6.2Operational Controls................................................................................................6-6

6.2.1Personnel Security.......................................................................................6-7

6.2.2Physical and Environmental Protection........................................................6-7

6.2.3Contingency Planning.................................................................................6-11

6.2.4Configuration Management........................................................................6-13

6.2.5Maintenance...............................................................................................6-14

6.2.6System and Information Integrity................................................................6-14

6.2.7Media Protection.........................................................................................6-18

6.2.8Incident Response......................................................................................6-18

6.2.9Awareness and Training.............................................................................6-21

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6.3Technical Controls.................................................................................................6-22

6.3.1Identification and Authentication.................................................................6-22

6.3.2Access Control...........................................................................................6-27

6.3.3Audit and Accountability.............................................................................6-31

6.3.4System and Communications Protection....................................................6-32

List of Appendices

Appendix A— Acronyms and Abbreviations.......................................................................A-1 Appendix B— Glossary of Terms..........................................................................................B-1 Appendix C— Current Activities in Industrial Control System Security...........................C-1 Appendix D— Emerging Security Capabilities....................................................................D-1 Appendix E— Industrial Control Systems in the FISMA Paradigm....................................E-1 Appendix F— References......................................................................................................F-1

List of Figures

Figure 2-1. ICS Operation.........................................................................................................2-3 Figure 2-2. SCADA System General Layout.............................................................................2-7 Figure 2-3. Basic SCADA Communication Topologies.............................................................2-8 Figure 2-4. Large SCADA Communication Topology...............................................................2-8 Figure 2-5. SCADA System Implementation Example (Distribution Monitoring and Control)...2-9 Figure 2-6. SCADA System Implementation Example (Rail Monitoring and Control).............2-10 Figure 2-7. DCS Implementation Example.............................................................................2-11 Figure 2-8. PLC Control System Implementation Example....................................................2-12 Figure 3-1. Industrial Security Incidents by Year....................................................................3-19 Figure 5-1. Firewall between Corporate Network and Control Network....................................5-4 Figure 5-2. Firewall and Router between Corporate Network and Control Network.................5-6 Figure 5-3. Firewall with DMZ between Corporate Network and Control Network....................5-7 Figure 5-4. Paired Firewalls between Corporate Network and Control Network.......................5-9 Figure 5-5. CSSP Recommended Defense-In-Depth Architecture.........................................5-11 Figure E-1. Risk Management Framework..............................................................................E-3

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List of Tables

Table 3-1. Summary of IT System and ICS Differences...........................................................3-3 Table 3-2. Adversarial Threats to ICS.......................................................................................3-5 Table 3-3. Policy and Procedure Vulnerabilities.......................................................................3-7 Table 3-4. Platform Configuration Vulnerabilities......................................................................3-8 Table 3-5. Platform Hardware Vulnerabilities.........................................................................3-10 Table 3-6. Platform Software Vulnerabilities...........................................................................3-10 Table 3-7. Platform Malware Protection Vulnerabilities..........................................................3-11 Table 3-8. Network Configuration Vulnerabilities....................................................................3-12 Table 3-9. Network Hardware Vulnerabilities..........................................................................3-13 Table 3-10. Network Perimeter Vulnerabilities........................................................................3-13 Table 3-11. Network Monitoring and Logging Vulnerabilities..................................................3-14 Table 3-12. Communication Vulnerabilities............................................................................3-14 Table 3-13. Wireless Connection Vulnerabilities....................................................................3-14 Table 4-1. Suggested Actions for ICS Vulnerability Assessments............................................4-8 Table E-1. Possible Definitions for ICS Impact Levels Based on ISA99..................................E-5 Table E-2. Possible Definitions for ICS Impact Levels Based on Product Produced, Industry and Security Concerns......................................................................................................E-5

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G UIDE TO I NDUSTRIAL C ONTROL S YSTEMS (ICS)S ECURITY Executive Summary

This document provides guidance for establishing secure industrial control systems (ICS). These ICS, which include supervisory control and data acquisition (SCADA) systems, distributed control systems (DCS), and other control system configurations such as skid-mounted Programmable Logic Controllers (PLC) are often found in the industrial control sectors. ICS are typically used in industries such as electric, water and wastewater, oil and natural gas, transportation, chemical, pharmaceutical, pulp and paper, food and beverage, and discrete manufacturing (e.g., automotive, aerospace, and durable goods.) SCADA systems are generally used to control dispersed assets using centralized data acquisition and supervisory control. DCS are generally used to control production systems within a local area such as a factory using supervisory and regulatory control. PLCs are generally used for discrete control for specific applications and generally provide regulatory control. These control systems are vital to the operation of the U.S. critical infrastructures that are often highly interconnected and mutually dependent systems. It is important to note that approximately 90 percent of the nation's critical infrastructures are privately owned and operated. Federal agencies also operate many of the ICS mentioned above; other examples include air traffic control and materials handling (e.g., Postal Service mail handling.) This document provides an overview of these ICS and typical system topologies, identifies typical threats and vulnerabilities to these systems, and provides recommended security countermeasures to mitigate the associated risks. Initially, ICS had little resemblance to traditional information technology (IT) systems in that ICS were isolated systems running proprietary control protocols using specialized hardware and software. Widely available, low-cost Internet Protocol (IP) devices are now replacing proprietary solutions, which increases the possibility of cyber security vulnerabilities and incidents. As ICS are adopting IT solutions to promote corporate business systems connectivity and remote access capabilities, and are being designed and implemented using industry standard computers, operating systems (OS) and network protocols, they are starting to resemble IT systems. This integration supports new IT capabilities, but it provides significantly less isolation for ICS from the outside world than predecessor systems, creating a greater need to secure these systems. While security solutions have been designed to deal with these security issues in typical IT systems, special precautions must be taken when introducing these same solutions to ICS environments. In some cases, new security solutions are needed that are tailored to the ICS environment.

Although some characteristics are similar, ICS also have characteristics that differ from traditional information processing systems. Many of these differences stem from the fact that logic executing in ICS has a direct affect on the physical world. Some of these characteristics include significant risk to the health and safety of human lives and serious damage to the environment, as well as serious financial issues such as production losses, negative impact to a nation’s economy, and compromise of proprietary information. ICS have unique performance and reliability requirements and often use operating systems and applications that may be considered unconventional to typical IT personnel. Furthermore, the goals of safety and efficiency sometimes conflict with security in the design and operation of control systems. Originally, ICS implementations were susceptible primarily to local threats because many of their components were in physically secured areas and the components were not connected to IT networks or systems. However, the trend toward integrating ICS systems with IT networks provides significantly less isolation for ICS from the outside world than predecessor systems, creating a greater need to secure these systems from remote, external threats. Also, the increasing use of wireless networking places ICS implementations at greater risk from adversaries who are in relatively close physical proximity but do not have direct physical access to the equipment. Threats to control systems can come from numerous sources, including hostile governments, terrorist groups, disgruntled employees, malicious intruders, complexities, accidents, natural disasters as well as malicious or accidental actions by insiders. ICS security objectives typically follow the priority of availability, integrity and confidentiality, in that order.

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G UIDE TO I NDUSTRIAL C ONTROL S YSTEMS (ICS)S ECURITY Possible incidents an ICS may face include the following:

Blocked or delayed flow of information through ICS networks, which could disrupt ICS operation

Unauthorized changes to instructions, commands, or alarm thresholds, which could damage, disable, or shut down equipment, create environmental impacts, and/or endanger human life

Inaccurate information sent to system operators, either to disguise unauthorized changes, or to cause the operators to initiate inappropriate actions, which could have various negative effects

ICS software or configuration settings modified, or ICS software infected with malware, which could have various negative effects

Interference with the operation of safety systems, which could endanger human life.

Major security objectives for an ICS implementation should include the following:

Restricting logical access to the ICS network and network activity. This includes using a demilitarized zone (DMZ) network architecture with firewalls to prevent network traffic from passing directly between the corporate and ICS networks, and having separate authentication mechanisms and credentials for users of the corporate and ICS networks. The ICS should also use a network topology that has multiple layers, with the most critical communications occurring in the most secure and reliable layer.

Restricting physical access to the ICS network and devices. Unauthorized physical access to components could cause serious disruption of the ICS’s functionality. A combination of physical access controls should be used, such as locks, card readers, and/or guards.

Protecting inpidual ICS components from exploitation. This includes deploying security patches in as expeditious a manner as possible, after testing them under field conditions; disabling all unused ports and services; restricting ICS user privileges to only those that are required for each person’s role; tracking and monitoring audit trails; and using security controls such as antivirus

software and file integrity checking software where technically feasible to prevent, deter, detect, and mitigate malware.

Maintaining functionality during adverse conditions. This involves designing the ICS so that each critical component has a redundant counterpart. Additionally, if a component fails, it should fail in a manner that does not generate unnecessary traffic on the ICS or other networks, or does not cause another problem elsewhere, such as a cascading event.

Restoring system after an incident. Incidents are inevitable and an incident response plan is essential. A major characteristic of a good security program is how quickly a system can be

recovered after an incident has occurred.

To properly address security in an ICS, it is essential for a cross-functional cyber security team to share their varied domain knowledge and experience to evaluate and mitigate risk to the ICS. The cyber security team should consist of a member of the organization’s IT staff, control engineer, control system operator, network and system security expert, a member of the management staff, and a member of the physical security department at a minimum. For continuity and completeness, the cyber security team should consult with the control system vendor and/or system integrator as well. The cyber security team should report directly to site management (e.g., facility superintendent) or the company’s CIO/CSO, who in turn, accepts complete responsibility and accountability for the cyber security of the ICS. An effective cyber security program for an ICS should apply a strategy known as “defense-in-depth”, layering security mechanisms such that the impact of a failure in any one mechanism is minimized.

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In a typical ICS this means a defense-in-depth strategy that includes:

Developing security policies, procedures, training and educational material that apply specifically to the ICS.

Considering ICS security policies and procedures based on the Homeland Security Advisory System Threat Level, deploying increasingly heightened security postures as the Threat Level

increases.

Addressing security throughout the lifecycle of the ICS from architecture design to procurement to installation to maintenance to decommissioning.

Implementing a network topology for the ICS that has multiple layers, with the most critical communications occurring in the most secure and reliable layer.

Providing logical separation between the corporate and ICS networks (e.g., stateful inspection firewall(s) between the networks).

Employing a DMZ network architecture (i.e., prevent direct traffic between the corporate and ICS networks).

Ensuring that critical components are redundant and are on redundant networks.

Designing critical systems for graceful degradation (fault tolerant) to prevent catastrophic cascading events.

Disabling unused ports and services on ICS devices after testing to assure this will not impact ICS operation.

Restricting physical access to the ICS network and devices.

Restricting ICS user privileges to only those that are required to perform each person’s job (i.e., establishing role-based access control and configuring each role based on the principle of least

privilege).

Considering the use of separate authentication mechanisms and credentials for users of the ICS network and the corporate network (i.e., ICS network accounts do not use corporate network user accounts).

Using modern technology, such as smart cards for Personal Identity Verification (PIV).

Implementing security controls such as intrusion detection software, antivirus software and file integrity checking software, where technically feasible, to prevent, deter, detect, and mitigate the introduction, exposure, and propagation of malicious software to, within, and from the ICS.

Applying security techniques such as encryption and/or cryptographic hashes to ICS data storage and communications where determined appropriate.

Expeditiously deploying security patches after testing all patches under field conditions on a test system if possible, before installation on the ICS.

Tracking and monitoring audit trails on critical areas of the ICS.

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G UIDE TO I NDUSTRIAL C ONTROL S YSTEMS (ICS)S ECURITY NIST has created the Industrial Control System Security project1 in cooperation with the public and private sector ICS community to develop specific guidance on the application of the security controls in NIST SP 800-53, Recommended Security Controls for Federal Information Systems and Organizations to ICS.

While most controls in Appendix F of NIST SP 800-53 are applicable to ICS as written, several controls did require ICS-specific interpretation and/or augmentation by adding one or more of the following to the control:

ICS Supplemental Guidance provides organizations with additional information on the application of the security controls and control enhancements in Appendix F of NIST SP 800-

53 to ICS and the environments in which these specialized systems operate. The Supplemental

Guidance also provides information as to why a particular security control or control

enhancement may not be applicable in some ICS environments and may be a candidate for

tailoring (i.e., the application of scoping guidance and/or compensating controls). ICS

Supplemental Guidance does not replace the original Supplemental Guidance in Appendix F of

NIST SP 800-53.

ICS Enhancements (one or more) that provide enhancement augmentations to the original control that may be required for some ICS

ICS Enhancement Supplemental Guidance that provides guidance on how the control enhancement applies, or does not apply, in ICS environments.

This ICS-specific guidance is included in NIST SP 800-53, Revision 3, Appendix I: Industrial Control Systems – Security Controls, Enhancements, and Supplemental Guidance. Section 6 of this document also provides initial guidance on how 800-53 security controls apply to ICS. Initial recommendations and guidance, if available, are provided in an outlined box for each section. NIST is planning a December 2011 update to NIST SP 800-53 (NIST SP 800-53, Revision 4), including an update of current security controls, control enhancements, supplemental guidance, as well as tailoring and supplementation guidance, in the area of industrial control systems.

Additionally, Appendix C of this document provides an overview of the many activities currently ongoing among Federal organizations, standards organizations, industry groups, and automation system vendors to make available recommended practices in the area of ICS security.

The most successful method for securing an ICS is to gather industry recommended practices and engage in a proactive, collaborative effort between management, the controls engineer and operator, the IT organization, and a trusted automation advisor. This team should draw upon the wealth of information available from ongoing federal government, industry groups, vendor and standards organizational activities listed in Appendix C.

1The Industrial Control System Security Project Web site is located at: 3622942aed630b1c59eeb5d4/groups/SMA/fisma/ics/

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1. Introduction

1.1 Authority

The National Institute of Standards and Technology (NIST) developed this document in furtherance of its statutory responsibilities under the Federal Information Security Management Act (FISMA) of 2002, Public Law 107-347 and Homeland Security Presidential Directive 7 (HSPD-7) of 2003.

NIST is responsible for developing standards and guidelines, including minimum requirements, for providing adequate information security for all agency operations and assets, but such standards and guidelines shall not apply to national security systems. This guideline is consistent with the requirements of the Office of Management and Budget (OMB) Circular A-130, Section 8b(3), “Securing Agency Information Systems,” as analyzed in A-130, Appendix IV: Analysis of Key Sections. Supplemental information is provided in A-130, Appendix III.

This guideline has been prepared for use by Federal agencies. It may be used by nongovernmental organizations on a voluntary basis and is not subject to copyright, though attribution is desired.

Nothing in this document should be taken to contradict standards and guidelines made mandatory and binding on Federal agencies by the Secretary of Commerce under statutory authority, nor should these guidelines be interpreted as altering or superseding the existing authorities of the Secretary of Commerce, Director of the OMB, or any other Federal official.

1.2 Purpose and Scope

The purpose of this document is to provide guidance for securing industrial control systems (ICS), including supervisory control and data acquisition (SCADA) systems, distributed control systems (DCS), and other systems performing control functions. The document provides an overview of ICS and typical system topologies, identifies typical threats and vulnerabilities to these systems, and provides recommended security countermeasures to mitigate the associated risks. Because there are many different types of ICS with varying levels of potential risk and impact, the document provides a list of many different methods and techniques for securing ICS. The document should not be used purely as a checklist to secure a specific system. Readers are encouraged to perform a risk-based assessment on their systems and to tailor the recommended guidelines and solutions to meet their specific security, business and operational requirements.

The scope of this document includes ICS that are typically used in the electric, water and wastewater, oil and natural gas, chemical, pharmaceutical, pulp and paper, food and beverage, and discrete manufacturing (automotive, aerospace, and durable goods) industries.

1.3 Audience

This document covers details specific to ICS. The document is technical in nature; however, it provides the necessary background to understand the topics that are discussed.

The intended audience is varied and includes the following:

Control engineers, integrators, and architects who design or implement secure ICS

System administrators, engineers, and other information technology (IT) professionals who administer, patch, or secure ICS

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Security consultants who perform security assessments and penetration testing of ICS

Managers who are responsible for ICS

Senior management who are trying to understand implications and consequences as they justify and apply an ICS cyber security program to help mitigate impacts to business functionality

Researchers and analysts who are trying to understand the unique security needs of ICS

Vendors that are developing products that will be deployed as part of an ICS

Readers of this document are assumed to be familiar with general computer security concepts, communication protocols such as those used in networking and with using Web-based methods for retrieving information.

1.4 Document Structure

The remainder of this guide is pided into the following major sections:

Section 2 provides an overview of SCADA and other ICS as well as their importance as a rationale for the need for security.

Section 3 provides a discussion of differences between ICS and IT systems, as well as threats, vulnerabilities and incidents.

Section 4 provides an overview of the development and deployment of an ICS security program to mitigate the risk of the vulnerabilities identified in Section 3.

Section 5 provides recommendations for integrating security into network architectures typically found in ICS, with an emphasis on network segregation practices.

Section 6 provides a summary of the management, operational, and technical controls identified in NIST Special Publication 800-53, Recommended Security Controls for Federal Information Systems and Organizations, and provides initial guidance on how these security controls apply to ICS.

The guide also contains several appendices with supporting material, as follows:

Appendix A provides a list of acronyms and abbreviations used in this document.

Appendix B provides a glossary of terms used in this document.

Appendix C provides a list and short description of some of the current activities in ICS security.

Appendix D provides a list of some emerging security capabilities being developed for ICS.

Appendix E provides an overview of the FISMA implementation project and supporting documents, and the relevancy of FISMA to ICS.

Appendix F provides a list of references used in the development of this document.

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2. Overview of Industrial Control Systems

Industrial control system (ICS) is a general term that encompasses several types of control systems, including supervisory control and data acquisition (SCADA) systems, distributed control systems (DCS), and other control system configurations such as skid-mounted Programmable Logic Controllers (PLC) often found in the industrial sectors and critical infrastructures. ICS are typically used in industries such as electrical, water and wastewater, oil and natural gas, chemical, transportation, pharmaceutical, pulp and paper, food and beverage, and discrete manufacturing (e.g., automotive, aerospace, and durable goods.) These control systems are critical to the operation of the U.S. critical infrastructures that are often highly interconnected and mutually dependent systems. It is important to note that approximately 90 percent of the nation's critical infrastructures are privately owned and operated. Federal agencies also operate many of the industrial processes mentioned above; other examples include air traffic control and materials handling (e.g., Postal Service mail handling.) This section provides an overview of SCADA, DCS, and PLC systems, including typical architectures and components. Several diagrams are presented to depict the network connections and components typically found on each system to facilitate the understanding of these systems. Keep in mind that actual implementations of ICS may be hybrids that blur the line between DCS and SCADA systems by incorporating attributes of both. Please note that the diagrams in this section do not represent a secure ICS. Architecture security and security controls are discussed in Section 5 and Section 6 of this document respectively.

2.1 Overview of SCADA, DCS, and PLCs

SCADA systems are highly distributed systems used to control geographically dispersed assets, often scattered over thousands of square kilometers, where centralized data acquisition and control are critical to system operation. They are used in distribution systems such as water distribution and wastewater collection systems, oil and natural gas pipelines, electrical power grids, and railway transportation systems. A SCADA control center performs centralized monitoring and control for field sites over long-distance communications networks, including monitoring alarms and processing status data. Based on information received from remote stations, automated or operator-driven supervisory commands can be pushed to remote station control devices, which are often referred to as field devices. Field devices control local operations such as opening and closing valves and breakers, collecting data from sensor systems, and monitoring the local environment for alarm conditions.

DCS are used to control industrial processes such as electric power generation, oil refineries, water and wastewater treatment, and chemical, food, and automotive production. DCS are integrated as a control architecture containing a supervisory level of control overseeing multiple, integrated sub-systems that are responsible for controlling the details of a localized process.Product and process control are usually achieved by deploying feed back or feed forward control loops whereby key product and/or process conditions are automatically maintained around a desired set point. To accomplish the desired product and/or process tolerance around a specified set point, specific PLCs are employed in the field and proportional, integral, and/or derivative settings on the PLC are tuned to provide the desired tolerance as well as the rate of self-correction during process upsets. DCS are used extensively in process-based industries.

PLCs are computer-based solid-state devices that control industrial equipment and processes. While PLCs are control system components used throughout SCADA and DCS systems, they are often the primary components in smaller control system configurations used to provide operational control of discrete processes such as automobile assembly lines and power plant soot blower controls. PLCs are used extensively in almost all industrial processes.

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G UIDE TO I NDUSTRIAL C ONTROL S YSTEMS (ICS)S ECURITY The process-based manufacturing industries typically utilize two main processes [1]:

Continuous Manufacturing Processes. These processes run continuously, often with transitions to make different grades of a product. Typical continuous manufacturing processes include fuel or steam flow in a power plant, petroleum in a refinery, and distillation in a chemical plant.

Batch Manufacturing Processes. These processes have distinct processing steps, conducted on a quantity of material. There is a distinct start and end step to a batch process with the possibility of brief steady state operations during intermediate steps. Typical batch manufacturing processes

include food manufacturing.

The discrete-based manufacturing industries typically conduct a series of steps on a single device to create the end product. Electronic and mechanical parts assembly and parts machining are typical examples of this type of industry.

Both process-based and discrete-based industries utilize the same types of control systems, sensors, and networks. Some facilities are a hybrid of discrete and process-based manufacturing.

While control systems used in distribution and manufacturing industries are very similar in operation, they are different in some aspects. One of the primary differences is that DCS or PLC-controlled sub-systems are usually located within a more confined factory or plant-centric area, when compared to geographically dispersed SCADA field sites. DCS and PLC communications are usually performed using local area network (LAN) technologies that are typically more reliable and high speed compared to the long-distance communication systems used by SCADA systems. In fact, SCADA systems are specifically designed to handle long-distance communication challenges such as delays and data loss posed by the various communication media used. DCS and PLC systems usually employ greater degrees of closed loop control than SCADA systems because the control of industrial processes is typically more complicated than the supervisory control of distribution processes. These differences can be considered subtle for the scope of this document, which focuses on the integration of IT security into these systems. Throughout the remainder of this document, SCADA systems, DCS and PLC systems will be referred to as ICS unless a specific reference is made to one (e.g., field device used in a SCADA system).

2.2 ICS Operation

The basic operation of an ICS is shown in Figure 2-1 [2]. Key components include the following:

Control Loop. A control loop consists of sensors for measurement, controller hardware such as PLCs, actuators such as control valves, breakers, switches and motors, and the communication of variables. Controlled variables are transmitted to the controller from the sensors. The controller interprets the signals and generates corresponding manipulated variables, based on set points, which it transmits to the actuators. Process changes from disturbances result in new sensor signals, identifying the state of the process, to again be transmitted to the controller.

Human-Machine Interface (HMI). Operators and engineers use HMIs to monitor and configure set points, control algorithms, and adjust and establish parameters in the controller. The HMI also

displays process status information and historical information.

Remote Diagnostics and Maintenance Utilities. Diagnostics and maintenance utilities are used to prevent, identify and recover from abnormal operation or failures.

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A typical ICS contains a proliferation of control loops, HMIs, and remote diagnostics and maintenance tools built using an array of network protocols on layered network architectures. Sometimes these control loops are nested and/or cascading –whereby the set point for one loop is based on the process variable determined by another loop. Supervisory-level loops and lower-level loops operate continuously over the duration of a process with cycle times ranging on the order of milliseconds to minutes.

Figure 2-1. ICS Operation

2.3 Key ICS Components

To support subsequent discussions, this section defines key ICS components that are used in control and networking. Some of these components can be described generically for use in SCADA systems, DCS and PLCs, while others are unique to one. The Glossary of Terms in Appendix B contains a more detailed listing of control and networking components. Additionally, Figure 2-5 and Figure 2-6 in Section 2.4 show SCADA implementation examples, Figure 2-7 in Section 2.5 shows a DCS implementation example and Figure 2-8 in Section 2.6 shows a PLC system implementation example that incorporates these components.

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2.3.1 Control Components

The following is a list of the major control components of an ICS:

Control Server. The control server hosts the DCS or PLC supervisory control software that communicates with lower-level control devices. The control server accesses subordinate control modules over an ICS network.

SCADA Server or Master Terminal Unit (MTU). The SCADA Server is the device that acts as the master in a SCADA system. Remote terminal units and PLC devices (as described below) located at remote field sites usually act as slaves.

Remote Terminal Unit (RTU). The RTU, also called a remote telemetry unit, is a special purpose data acquisition and control unit designed to support SCADA remote stations. RTUs are field devices often equipped with wireless radio interfaces to support remote situations where wire-based

communications are unavailable. Sometimes PLCs are implemented as field devices to serve as RTUs; in this case, the PLC is often referred to as an RTU.

Programmable Logic Controller (PLC).The PLC is a small industrial computer originally designed to perform the logic functions executed by electrical hardware (relays, switches, and

mechanical timer/counters). PLCs have evolved into controllers with the capability of controlling complex processes, and they are used substantially in SCADA systems and DCS. Other controllers used at the field level are process controllers and RTUs; they provide the same control as PLCs but are designed for specific control applications. In SCADA environments, PLCs are often used as field devices because they are more economical, versatile, flexible, and configurable than special-purpose RTUs.

Intelligent Electronic Devices (IED). An IED is a “smart” sensor/actuator containing the intelligence required to acquire data, communicate to other devices, and perform local processing and control. An IED could combine an analog input sensor, analog output, low-level control capabilities,

a communication system, and program memory in one device. The use of IEDs in SCADA and DCS

systems allows for automatic control at the local level.

Human-Machine Interface (HMI). The HMI is software and hardware that allows human operators to monitor the state of a process under control, modify control settings to change the control

objective, and manually override automatic control operations in the event of an emergency. The HMI also allows a control engineer or operator to configure set points or control algorithms and parameters in the controller. The HMI also displays process status information, historical

information, reports, and other information to operators, administrators, managers, business partners, and other authorized users. The location, platform, and interface may vary a great deal. For example, an HMI could be a dedicated platform in the control center, a laptop on a wireless LAN, or a browser on any system connected to the Internet.

Data Historian. The data historian is a centralized database for logging all process information within an ICS. Information stored in this database can be accessed to support various analyses, from statistical process control to enterprise level planning.

Input/Output (IO) Server.The IO server is a control component responsible for collecting, buffering and providing access to process information from control sub-components such as PLCs, RTUs and IEDs. An IO server can reside on the control server or on a separate computer platform.

IO servers are also used for interfacing third-party control components, such as an HMI and a control server.

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2.3.2 Network Components

There are different network characteristics for each layer within a control system hierarchy. Network topologies across different ICS implementations vary with modern systems using Internet-based IT and enterprise integration strategies. Control networks have merged with corporate networks to allow control engineers to monitor and control systems from outside of the control system network. The connection may also allow enterprise-level decision-makers to obtain access to process data. The following is a list of the major components of an ICS network, regardless of the network topologies in use:

Fieldbus Network.The fieldbus network links sensors and other devices to a PLC or other controller. Use of fieldbus technologies eliminates the need for point-to-point wiring between the controller and each device. The devices communicate with the fieldbus controller using a variety of protocols. The messages sent between the sensors and the controller uniquely identify each of the sensors.

Control Network.The control network connects the supervisory control level to lower-level control modules.

Communications Routers. A router is a communications device that transfers messages between two networks. Common uses for routers include connecting a LAN to a WAN, and connecting

MTUs and RTUs to a long-distance network medium for SCADA communication.

Firewall. A firewall protects devices on a network by monitoring and controlling communication packets using predefined filtering policies. Firewalls are also useful in managing ICS network

segregation strategies.

Modems. A modem is a device used to convert between serial digital data and a signal suitable for transmission over a telephone line to allow devices to communicate. Modems are often used in SCADA systems to enable long-distance serial communications between MTUs and remote field devices. They are also used in SCADA systems, DCS and PLCs for gaining remote access for

operational and maintenance functions such as entering commands or modifying parameters, and diagnostic purposes.

Remote Access Points.Remote access points are distinct devices, areas and locations of a control network for remotely configuring control systems and accessing process data. Examples include using a personal digital assistant (PDA) to access data over a LAN through a wireless access point, and using a laptop and modem connection to remotely access an ICS system.

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2.4 SCADA Systems

SCADA systems are used to control dispersed assets where centralized data acquisition is as important as control [3] [4]. These systems are used in distribution systems such as water distribution and wastewater collection systems, oil and natural gas pipelines, electrical utility transmission and distribution systems, and rail and other public transportation systems. SCADA systems integrate data acquisition systems with data transmission systems and HMI software to provide a centralized monitoring and control system for numerous process inputs and outputs. SCADA systems are designed to collect field information, transfer it to a central computer facility, and display the information to the operator graphically or textually, thereby allowing the operator to monitor or control an entire system from a central location in real time. Based on the sophistication and setup of the inpidual system, control of any inpidual system, operation, or task can be automatic, or it can be performed by operator commands.

SCADA systems consist of both hardware and software. Typical hardware includes an MTU placed at a control center, communications equipment (e.g., radio, telephone line, cable, or satellite), and one or more geographically distributed field sites consisting of either an RTU or a PLC, which controls actuators

and/or monitors sensors. The MTU stores and processes the information from RTU inputs and outputs, while the RTU or PLC controls the local process. The communications hardware allows the transfer of information and data back and forth between the MTU and the RTUs or PLCs. The software is programmed to tell the system what and when to monitor, what parameter ranges are acceptable, and what response to initiate when parameters change outside acceptable values. An IED, such as a protective relay, may communicate directly to the SCADA Server, or a local RTU may poll the IEDs to collect the data and pass it to the SCADA Server. IEDs provide a direct interface to control and monitor equipment and sensors. IEDs may be directly polled and controlled by the SCADA Server and in most cases have local programming that allows for the IED to act without direct instructions from the SCADA control center. SCADA systems are usually designed to be fault-tolerant systems with significant redundancy built into the system architecture.

Figure 2-2 shows the components and general configuration of a SCADA system. The control center houses a SCADA Server (MTU) and the communications routers. Other control center components include the HMI, engineering workstations, and the data historian, which are all connected by a LAN. The control center collects and logs information gathered by the field sites, displays information to the HMI, and may generate actions based upon detected events. The control center is also responsible for centralized alarming, trend analyses, and reporting. The field site performs local control of actuators and monitors sensors. Field sites are often equipped with a remote access capability to allow field operators to perform remote diagnostics and repairs usually over a separate dial up modem or WAN connection. Standard and proprietary communication protocols running over serial communications are used to transport information between the control center and field sites using telemetry techniques such as telephone line, cable, fiber, and radio frequency such as broadcast, microwave and satellite.

MTU-RTU communication architectures vary among implementations. The various architectures used, including point-to-point, series, series-star, and multi-drop [5], are shown in Figure 2-3. Point-to-point is functionally the simplest type; however, it is expensive because of the inpidual channels needed for each connection. In a series configuration, the number of channels used is reduced; however, channel sharing has an impact on the efficiency and complexity of SCADA operations. Similarly, the series-star and multi-drop configurations’ use of one channel per device results in decreased efficiency and increased system complexity.

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Figure 2-2. SCADA System General Layout

The four basic architectures shown in Figure 2-3 can be further augmented using dedicated communication devices to manage communication exchange as well as message switching and buffering. Large SCADA systems, containing hundreds of RTUs, often employ sub-MTUs to alleviate the burden on the primary MTU. This type of topology is shown in Figure 2-4.

Figure 2-5 shows an example of a SCADA system implementation. This particular SCADA system consists of a primary control center and three field sites. A second backup control center provides redundancy in the event of a primary control center malfunction. Point-to-point connections are used for all control center to field site communications, with two connections using radio telemetry. The third field site is local to the control center and uses the wide area network (WAN) for communications. A regional control center resides above the primary control center for a higher level of supervisory control. The corporate network has access to all control centers through the WAN, and field sites can be accessed remotely for troubleshooting and maintenance operations. The primary control center polls field devices for data at defined intervals (e.g., 5 seconds, 60 seconds) and can send new set points to a field device as required. In addition to polling and issuing high-level commands, the SCADA server also watches for priority interrupts coming from field site alarm systems.

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