GB/T 33009.4-2016 English PDF (GB/T33009.4-2016)

GB/T 33009.4-2016: Industrial automation and control system security - Distributed control system (DCS) - Part 4: Risk and vulnerability detection requirements
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GB/T 33009.4-2016
GB
NATIONAL STANDARD OF THE
PEOPLE’S REPUBLIC OF CHINA
ICS 25.040
N 10
Industrial automation and control system security -
Distributed control system (DCS) -
Part 4. Risk and vulnerability detection requirements
ISSUED ON. OCTOBER 13, 2016
IMPLEMENTED ON. MAY 01, 2017
Issued by. General Administration of Quality Supervision, Inspection and
Quarantine of the People's Republic of China
Standardization Administration of the People's Republic of
China.
3. No action is required - Full-copy of this standard will be automatically and
immediately delivered to your EMAIL address in 0~60 minutes.
Table of Contents
Foreword ... 3 
1 Scope .. 5 
2 Normative references ... 5 
3 Terms, definitions, abbreviations ... 6 
3.1 Terms and definitions ... 6 
3.2 Abbreviations .. 9 
4 Overview of DCS risk and vulnerability detection .. 10 
4.1 DCS system overview ... 10 
4.2 DCS risk and vulnerability detection objectives .. 12 
4.3 Basic principles of DCS risk and vulnerability detection ... 12 
4.4 DCS risk and vulnerability detection content ... 13 
4.5 Basic work unit of DCS risk and vulnerability detection ... 13 
4.6 Implementation of DCS risk and vulnerability detection ... 15 
4.7 Disposal of DCS risk and vulnerability detection results ... 16 
5 DCS software security risk and vulnerability .. 16 
5.1 Operating system of server and control station .. 16 
5.2 Database management system ... 18 
5.3 OPC software ... 21 
5.4 DCS monitoring software .. 22 
5.5 DCS configuration software ... 24 
5.6 Other software ... 26 
6 DCS network communications security risk and vulnerability ... 26 
6.1 Commercial Ethernet protocol communication mechanism ... 26 
6.2 Industrial network protocol communication mechanism ... 27 
6.3 DCS communication data security .. 29 
6.4 DCS communication services ... 30 
6.5 DCS status conversion .. 31 
References ... 33 
Foreword
GB/T 33009 “Industrial automation and control system security - Distributed
control system (DCS)” and GB/T 33008 “Industrial automation and control
system security - Programmable logic controller (PLC)” and other standards
together constitute the industrial automation and control systems network
security series standard.
GB/T 33009 “Industrial automation and control system security - Distributed
control system (DCS)” is divided into 4 parts.
- Part 1. Protection requirements;
- Part 2. Management requirements;
- Part 3. Assessment guidelines;
- Part 4. Risk and vulnerability detection requirements.
This part is part 4 of GB/T 33009.
This part was drafted in accordance with the rules given GB/T 1.1-2009.
This part was proposed by China Machinery Industry Federation.
This part shall be under the jurisdiction of the National Industrial Process
Measurement, Control and Automation Standardization Technical Committee
(SAC/TC 124) and the National Information Security Standardization Technical
Committee (SAC/TC 260).
The drafting organizations of this part. Zhejiang University, Zhejiang Institute of
Control Technology Co., Ltd., Machinery Industry Instrumentation Technology
Institute of Economics, Chongqing University of Posts and Telecommunications,
Chinese Academy of Sciences Shenyang Institute of Automation, Southwest
University, Fujian Institute of Technology, Hangzhou Institute of Technology,
Beijing Venus Information Security Technology Co., Ltd., China Electronics
Standardization Institute, State Grid Smart Grid Research Institute, China
Nuclear Power Engineering Co., Ltd., Shanghai Automation Instrumentation
Co., Ltd., Dongtu Technology Co., Ltd., Tsinghua University, Siemens (China)
Limited, Schneider Electric (China) Co., Ltd., Beijing Iron and Steel Design and
Research Institute, Huazhong University of Science and Technology, Beijing
Austin Technology Co., Ltd., Rockwell Automation (China) Co., Ltd., China
Instrument Society, Ministry of Industry and Information Technology Electronics
Fifth Research Institute, Beijing Haitai Fangyuan Science and Technology Co.,
Ltd., Qingdao Tofino Information Security Technology Co., Ltd., Beijing Guodian
Zhishen Control Technology Co., Ltd., Beijing Likong Huakang Technology Co.,
Industrial automation and control system security -
Distributed control system (DCS) -
Part 4. Risk and vulnerability detection requirements
1 Scope
This part of GB/T 33009 specifies the risk and vulnerability detection of the
distributed control system (DCS) before and after being put into operation,
proposes specific requirements for the risk and vulnerability detection of the
DCS software, Ethernet network communication protocol and industrial control
network protocol.
This part applies to vulnerability detection of the following objects in the DCS.
a) Monitoring software, configuration software, database software and other
DCS application software;
b) Operating systems such as DCS operator stations and control stations;
c) Functions and components in the DCS with network protocol
implementation and network communication capabilities.
This part does not apply to intelligent instrumentation and industrial wireless
vulnerability detection.
2 Normative references
The following documents are essential to the application of this document. For
the dated documents, only the versions with the dates indicated are applicable
to this document; for the undated documents, only the latest version (including
all the amendments) are applicable to this document.
GB 17859-1999 Classified criteria for security protection of computer
information system
GB/T 20271-2006 Information security technology - Common security
techniques requirement for information system
GB/T 20984-2007 Information security technology - Risk assessment
specification for information security
GB/T 28449-2012 Information security technology - Testing and evaluation
process guide for classified protection of information system security
GB/T 30976.1-2014 Industrial control system security - Part 1. Assessment
specification
GB/T 33009.1-2016 Industrial automation and control system security -
Distributed control system (DCS) - Part 1. Protection requirements
GB/T 33009.2-2016 Industrial automation and control system security -
Distributed control system (DCS) - Part 2. Management requirements
3 Terms, definitions, abbreviations
3.1 Terms and definitions
The terms and definitions as defined in GB/T 20984-2007 and GB/T 30976.1-
2014 AND the following terms and definitions apply to this document. For ease
of use, some terms and definitions from GB/T 20984-2007 and GB/T 30976.1-
2014 are repeatedly listed below.
3.1.1
Availability
Characteristics of data or resources that can be accessed and used by the
authorized entities as required.
[GB/T 20984-2007, Definition 3.3]
3.1.2
Authentication
The act of verifying the entity's claimed identity.
3.1.3
Authorized user
A user who can perform an action based on security policy.
3.1.4
Confidentiality
4 Overview of DCS risk and vulnerability detection
4.1 DCS system overview
4.1.1 Network structure of common DCS system application
DCS system applications are usually a vertical hierarchical network structure,
from top to bottom including process monitoring layer, field control layer and
field equipment layer. Each layer is connected by a communication network,
and each equipment in each layer is communicated through a communication
network of the same level. The typical network structure is as shown in Figure
1. This part mainly proposes requirements for security requirements of the
process monitoring layer, field control layer network, and field equipment layer
network in the DCS system. The description of each layer is as follows.
- Process monitoring layer. the main task is to monitor the operation, it has
some management functions at the same time. This level is for operator
and control system engineers, so it is equipped at this level with
technologically sophisticated computer systems and a wide range of
external devices, especially displays and keyboards, it also requires
support from hard discs or soft discs of large storage capacity as well as
the support of software of strong functions, to ensure that engineers and
operators configure, monitor and operate the system, implement advanced
control policies, diagnostics, and quality assessments of the production
process;
- Field control layer. The main functions of the field control layer include.
collecting process data, data conversion and processing; monitoring and
control of the production process, output of control signals, achieving
analog and digital control; I/O card diagnosis; data communication with
process monitoring layer;
- Field equipment layer. The main functions of the field equipment layer
include. collecting control signals, executing control commands, performing
equipment actions in accordance with control signals.
system operation site to perform field observation of personnel actions,
technical facilities and physical environments to judge the personnel security
awareness, business operation, management procedures, and other security
conditions. Test refers to the testing performed by technical tools.
Detection implementation. The main component of the work unit. It is the
specific requirements for detection implementation as developed based on the
detection purposes and the detection contents, which relates to the specific
detection method, detection target, and operation process. In the detection
implementation process, use the adverb “shall” to indicate that these processes
are mandatory, which must be completed before the detection staff makes
conclusions; use the adverb “may” to indicate that these processes are non-
mandatory activities, which have no fundamental impact onto the conclusions
made by the detection staff, and can be selectively completed by the detection
staff based on actual conditions. The detection measures in this part are all
important and need to be considered, but it should be based on the actual
application of DCS, DCS security requirements of enterprise to determine
whether the detection measures are appropriate and to select feasible detection
measures.
Result judgment. Describe how the detection staff can determine whether the
system under detection meets the testing requirements based on these
detection evidences after the detection staffs have obtained various detection
evidences through performing the detection operations. Before giving the
detection conclusions of the overall work unit, it shall first give the conclusion of
a single detection implementation item. Generally speaking, the conclusion
judgment of a single detection implementation item always requires the
subjective judgment of the detection staff, and this detection implementation
item is satisfied once the correct and critical evidence is obtained.
4.6 Implementation of DCS risk and vulnerability detection
For DCS systems that have not been deployed and implemented, the DCS risk
and vulnerability detection can be selected before the DCS is put into
production and after the security assessment.
For DCS upgraded based on existing DCS or newly added with extension
functions, it is recommended to perform risk and vulnerability detection on the
newly added systems before the new and old system joint test. Conduct risk
and vulnerability detection on the affected DCS key components and network
communication functions in the old and new joint test phase.
For systems in service, risk and vulnerability detection may be selected afte...
GB/T 33009.4-2016
GB
NATIONAL STANDARD OF THE
PEOPLE’S REPUBLIC OF CHINA
ICS 25.040
N 10
Industrial automation and control system security -
Distributed control system (DCS) -
Part 4. Risk and vulnerability detection requirements
ISSUED ON. OCTOBER 13, 2016
IMPLEMENTED ON. MAY 01, 2017
Issued by. General Administration of Quality Supervision, Inspection and
Quarantine of the People's Republic of China
Standardization Administration of the People's Republic of
China.
3. No action is required - Full-copy of this standard will be automatically and
immediately delivered to your EMAIL address in 0~60 minutes.
Table of Contents
Foreword ... 3 
1 Scope .. 5 
2 Normative references ... 5 
3 Terms, definitions, abbreviations ... 6 
3.1 Terms and definitions ... 6 
3.2 Abbreviations .. 9 
4 Overview of DCS risk and vulnerability detection .. 10 
4.1 DCS system overview ... 10 
4.2 DCS risk and vulnerability detection objectives .. 12 
4.3 Basic principles of DCS risk and vulnerability detection ... 12 
4.4 DCS risk and vulnerability detection content ... 13 
4.5 Basic work unit of DCS risk and vulnerability detection ... 13 
4.6 Implementation of DCS risk and vulnerability detection ... 15 
4.7 Disposal of DCS risk and vulnerability detection results ... 16 
5 DCS software security risk and vulnerability .. 16 
5.1 Operating system of server and control station .. 16 
5.2 Database management system ... 18 
5.3 OPC software ... 21 
5.4 DCS monitoring software .. 22 
5.5 DCS configuration software ... 24 
5.6 Other software ... 26 
6 DCS network communications security risk and vulnerability ... 26 
6.1 Commercial Ethernet protocol communication mechanism ... 26 
6.2 Industrial network protocol communication mechanism ... 27 
6.3 DCS communication data security .. 29 
6.4 DCS communication services ... 30 
6.5 DCS status conversion .. 31 
References ... 33 
Foreword
GB/T 33009 “Industrial automation and control system security - Distributed
control system (DCS)” and GB/T 33008 “Industrial automation and control
system security - Programmable logic controller (PLC)” and other standards
together constitute the industrial automation and control systems network
security series standard.
GB/T 33009 “Industrial automation and control system...