Ontario Reliability Compliance Program Requirements Form nerc reliability Standard: cip-007-3 Cyber Security Systems Security Management




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Ontario Reliability Compliance Program

Requirements Form
NERC Reliability Standard: CIP-007-3

Cyber Security - Systems Security Management



NOTICE TO MARKET PARTICIPANTS: Pursuant to the requirements established under Chapter 5, Section 14.1.4 of the market rules, market participants are required to provide to the IESO such data as may be required by the IESO to enable it to satisfy a request by a standards authority. The IESO has developed the Ontario Reliability Compliance Program (ORCP) to assist market participants in meeting these obligations. As part of the ORCP, market participants are required to submit to the IESO electronic certification forms using the IESO Reliability Compliance Tool accessed via the IESO Web Portal.

This requirements form does not replace the electronic certification forms. Rather, it is primarily intended for use by the IESO when the Reliability Compliance Tool becomes unavailable for use.

Terms and acronyms used in this Form that are italicized have the meanings ascribed thereto in Chapter 11 of the “Market Rules”.


Part 1 – General Information


Market Participant Information

Market Participant Name:      

Market Participant ID:      

Compliance Information


Compliance Year:      

Reporting Period:


From:       To:      



Part 2 – Market Participant Compliance Reporting


Part 1 – Market Participant Compliance Reporting





As an authorized representative of the market participant, I certify that the market participant was:
 COMPLIANT with the requirements of IESO-FORM-1699 stated below for the entire Reporting Period.


Comments:      



 NON-COMPLIANT for a portion of or the entire Reporting Period with some or all requirement(s) of IESO-FORM-1699, but in compliance with all other applicable requirements of IESO-FORM-1699 for the entire Reporting Period, as indicated below.

 R1. Test Procedures - The Responsible Entity shall ensure that new Cyber Assets and significant changes to existing Cyber Assets within the Electronic Security Perimeter do not adversely affect existing cyber security controls. For purposes of Standard CIP-007-3, a significant change shall, at a minimum, include implementation of security patches, cumulative service packs, vendor releases, and version upgrades of operating systems, applications, database platforms, or other third-party software or firmware.

 R1.1. The Responsible Entity shall create, implement, and maintain cyber security test procedures in a manner that minimizes adverse effects on the production system or its operation.

 R1.2. The Responsible Entity shall document that testing is performed in a manner that reflects the production environment.

 R1.3. The Responsible Entity shall document test results.

 R2. Ports and Services - The Responsible Entity shall establish, document and implement a process to ensure that only those ports and services required for normal and emergency operations are enabled.

 R2.1. The Responsible Entity shall enable only those ports and services required for normal and emergency operations.

 R2.2. The Responsible Entity shall disable other ports and services, including those used for testing purposes, prior to production use of all Cyber Assets inside the Electronic Security Perimeter(s).

 R2.3. In the case where unused ports and services cannot be disabled due to technical limitations, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure.

 R3. Security Patch Management - The Responsible Entity, either separately or as a component of the documented configuration management process specified in CIP-003-3 Requirement R6, shall establish, document and implement a security patch management program for tracking, evaluating, testing, and installing applicable cyber security software patches for all Cyber Assets within the Electronic Security Perimeter(s).

 R3.1. The Responsible Entity shall document the assessment of security patches and security upgrades for applicability within thirty calendar days of availability of the patches or upgrades.

 R3.2. The Responsible Entity shall document the implementation of security patches. In any case where the patch is not installed, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure.

 R4. Malicious Software Prevention - The Responsible Entity shall use anti-virus software and other malicious software (“malware”) prevention tools, where technically feasible, to detect, prevent, deter, and mitigate the introduction, exposure, and propagation of malware on all Cyber Assets within the Electronic Security Perimeter(s).

 R4.1. The Responsible Entity shall document and implement anti-virus and malware prevention tools. In the case where anti-virus software and malware prevention tools are not installed, the Responsible Entity shall document compensating measure(s) applied to mitigate risk exposure.

 R4.2. The Responsible Entity shall document and implement a process for the update of anti-virus and malware prevention “signatures.” The process must address testing and installing the signatures.

 R5. Account Management - The Responsible Entity shall establish, implement and document technical and procedural controls that enforce access authentication of, and accountability for, all user activity, and that minimize the risk of unauthorized system access.

 R5.1. The Responsible Entity shall ensure that individual and shared system accounts and authorized access permissions are consistent with the concept of “need to know” with respect to work functions performed.

 R5.1.1. The Responsible Entity shall ensure that user accounts are implemented as approved by designated personnel. Refer to Standard CIP-003-3 Requirement R5.

 R5.1.2. The Responsible Entity shall establish methods, processes, and procedures that generate logs of sufficient detail to create historical audit trails of individual user account access activity for a minimum of ninety days.

 R5.1.3. The Responsible Entity shall review, at least annually, user accounts to verify access privileges are in accordance with Standard CIP-003-3 Requirement R5 and Standard CIP-004-3 Requirement R4.

 R5.2. The Responsible Entity shall implement a policy to minimize and manage the scope and acceptable use of administrator, shared, and other generic account privileges including factory default accounts.

 R5.2.1. The policy shall include the removal, disabling, or renaming of such accounts where possible. For such accounts that must remain enabled, passwords shall be changed prior to putting any system into service.

 R5.2.2. The Responsible Entity shall identify those individuals with access to shared accounts.

 R5.2.3. Where such accounts must be shared, the Responsible Entity shall have a policy for managing the use of such accounts that limits access to only those with authorization, an audit trail of the account use (automated or manual), and steps for securing the account in the event of personnel changes (for example, change in assignment or termination).

 R5.3. At a minimum, the Responsible Entity shall require and use passwords, subject to the following, as technically feasible:

 R5.3.1. Each password shall be a minimum of six characters.

 R5.3.2. Each password shall consist of a combination of alpha, numeric, and “special” characters.

 R5.3.3. Each password shall be changed at least annually, or more frequently based on risk.

 R6. Security Status Monitoring - The Responsible Entity shall ensure that all Cyber Assets within the Electronic Security Perimeter, as technically feasible, implement automated tools or organizational process controls to monitor system events that are related to cyber security.

 R6.1. The Responsible Entity shall implement and document the organizational processes and technical and procedural mechanisms for monitoring for security events on all Cyber Assets within the Electronic Security Perimeter.

 R6.2. The security monitoring controls shall issue automated or manual alerts for detected Cyber Security Incidents.

 R6.3. The Responsible Entity shall maintain logs of system events related to cyber security, where technically feasible, to support incident response as required in Standard CIP-008-3.

 R6.4. The Responsible Entity shall retain all logs specified in Requirement R6 for ninety calendar days.

 R6.5. The Responsible Entity shall review logs of system events related to cyber security and maintain records documenting review of logs.

 R7. Disposal or Redeployment - The Responsible Entity shall establish and implement formal methods, processes and procedures for disposal or redeployment of Cyber Assets within the Electronic Security Perimeter(s) as identified and documented in Standard CIP-005-3.

 R7.1. Prior to the disposal of such assets, the Responsible Entity shall destroy or erase the data storage media to prevent unauthorized retrieval of sensitive cyber security or reliability data.

 R7.2. Prior to redeployment of such assets, the Responsible Entity shall, at a minimum, erase the data storage media to prevent unauthorized retrieval of sensitive cyber security or reliability data.

 R7.3. The Responsible Entity shall maintain records that such assets were disposed of or redeployed in accordance with documented procedures.

 R8. Cyber Vulnerability Assessment - The Responsible Entity shall perform a cyber vulnerability assessment of all Cyber Assets within the Electronic Security Perimeters at least annually. The vulnerability assessment shall include, at a minimum, the following:

 R8.1. A document identifying the vulnerability assessment process;

 R8.2. A review to verify that only ports and services required for operation of the Cyber Assets within the Electronic Security Perimeter are enabled;

 R8.3. A review of controls for default accounts; and,

 R8.4. Documentation of the results of the assessment, the action plan to remediate or mitigate vulnerabilities identified in the assessment, and the execution status of that action plan.

 R9. Documentation Review and Maintenance - The Responsible Entity shall review and update the documentation specified in Standard CIP-007-3 at least annually. Changes resulting from modifications to the systems or controls shall be documented within thirty calendar days of the change being completed.



Comments:      



 N/A – the requirements of IESO-FORM-1699 do not apply to the market participant.



Comments:      


Reference Document(s)


NERC Reliability Standard CIP-007-3

Signature


I have full authority to bind the market participant. I certify that all information set out or referred to in this form is true, accurate and complete as at the date of this certification. I further understand that this information is provided in accordance with the requirements of Chapter 5, Section 14.1.1 of the market rules. I understand that this information is subject to verification by the IESO and that such a review or audit will require all information set out or referred to in this form be verified by appropriate documentation.

Certified by MPCC1:

     

Please Print Name

     

Signature
Date of Certification:      




1 market participant compliance contact

IESO_FORM_1699 v6.0 Confidential Page of

REV-12-10





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