Between confusing standards, odd implementations, lack of security capability from control systems, and the craziness of The Audit, NERC CIP is not a field for the faint of heart. I’ve been doing work in this space for 8 years now, and I don’t pretend to have the complete picture from beginning to end. But, I have made mistakes along the way that have sat with me, mistakes that I’ll go ahead and share with the aspiring CIP’er that might chance across this blog.  So, here are some basic rules I have for CIP consulting, rules that I have made because various headaches and rules that I have broken (that caused various headaches).

Rule #1 – Don’t Show Up Without CIP-004 Access
CIP-004 Personnel & Training is the bane of any CIP consultant’s existence, namely because it takes forever to complete. It doesn’t matter if you’ve have been hired to solve problems, improve programs, configure devices, or install equipment, you need the initial access from CIP-004 to start that work. I can’t tell you how many times I’ve spent the first day on-site patiently waiting to “clear NERC CIP customs”.

The main issue is that the CIP-004 process involves several finicky pieces of documentation and lengthy time requirements. Sometimes, large organizations require that you go through their background check process, which is often done by another department entirely. Large organizations being what they are, you could get stuck in the background check process. Add in a  lengthy training program, unfamiliarity with the access process (most employees have gone through it themselves only once), and a ‘special’ CIP-004 for contractors and consultants, and you’ll spend the first day twiddling thumbs.

Get your plan in gear two weeks in advance to avoid this.  Have all background and criminal check  information ready to go in a CIP packet for your client, and prepare to walk through the process with multiple people over the phone and email.

Rule #2 – Don’t Forget Devices
One of the consistent causes of a violation I see everywhere comes from forgetting devices. CIP is not just for PCs and Servers, it is intended to cover all applicable Cyber Asset.  This means entities need evidence of protections for network switches, routers, PLCs, firewalls… Basically every cyber asset needs something. Many a time I’ve asked for the backup configuration of a serial to Ethernet converter, and received blank stares in response.

Rule #3 – Have a Process to Report Deficiencies to the Client
As a compliance consultant, you know what violates the NERC CIP and what is in line with NERC CIP. While on site, you may see deficiencies in the process that need to be addressed so that your client may avoid a fine or finding. Without a process to report these to the client, there is no definite way to ensure that your observation could be tracked and acted upon. This is important for your client to avoid glaring violations, but also to ensure you don’t get a “why didn’t you catch this” phone call.

Set this up at the start of the project, but be prepared: Some clients are not interested in hearing about their deficiencies.

Rule #4 – Make a Clear Distinction Between NERC Required, and a Recommendation
I have an opinion, you have an opinion, and then there is what is required.  Make sure to draw bold lines between what is a definite NERC Required item, and your interpretation of a NERC requirement. While the standards can have a lot of room to interpret, there are some definitive required/not required items. Separate these from your interpretations by specifically stating “this is NERC required, due to the following evidence”.

One of the best ways to illustrate this difference is with the Backup requirements in NERC CIP-009. The NERC Required element is that a backup be done annually. However, I’ve usually recommended that a backup be done after each significant change.  I’ve supported this by discussing the level of effort necessary to bring a 9 month old backup up to full operation and compliance will often outweigh a benefit from only doing a backup annually. Because I’ve separated the NERC Required element from my recommendation, there can be discussion on the points, rather than a “you must do this”. Plus, I always recommend the use of an automated backup system, which removes a lot of manual actions.

I’ll be the first to admit that I’ve broken a few of these rules from time to time, and I generally regret doing so.  If you have any other CIP rules you’d like to share, feel free to leave them in the comments for discussion.