Recorders, Data Loggers, and Control Products
Contents
1. 3 Identifying and Evaluating Threats 1 3 3 Identifying and Evaluating Threats Determine all possible security threats to the assets that are on your list of assets that need to be protected Possible threats need to be considered from the following viewpoints Unauthorized Access to Assets by Individuals with Malicious Intent e Insider e Outsider e Via network e Direct access to assets direct operation of instruments that contain assets Unauthorized Access to Assets by Malicious Software e Via network e Via removable media Inappropriate Access by Valid Users through Operation Errors and Careless Unintended Acts e Via network e Via removable media e Direct access to assets direct operation of instruments that contain assets For each security threat that you have identified evaluate the probability of occurrence Below is an example of how the probabilities of occurrence can be classified e Probability level A High probability that the threat will occur e Probability level B Moderate probability that the threat will occur e Probability level C Low probability that the threat will occur Identifying and Evaluating Vulnerabilities Determine the vulnerability of each asset or the vulnerability of the device that contains the asset Vulnerabilities are conditions that allow security threats to adversely affect assets Examples of vulnerabilities are listed below e Flaws in the planning of security measures e Flaws in th2. be provided at the following occasions e Atthe time of employment e When the staff members that access the applicable instruments change because of personnel changes or other reasons TI 04A02A01 00EN June 22 2012 00 Revision Information Title Recorders Data Loggers and Control Products Security Standard Manual number TI 04A02A01 O0EN June 2012 1st Edition Newly published OO a Written by Yokogawa Electric Corporation Published by Yokogawa Electric Corporation 2 9 32 Nakacho Musashino shi Tokyo 180 8750 JAPAN BEE TI 04A02A01 00EN June 22 2012 00 Blank Page
3. 4A02A01 00EN June 22 2012 00 6 Product Specific Security Features 1 11 6 Product Specific Security Features This chapter explains the security features of each system product They should be assessed when security measures are put in place Each product has features that enhance security MW100 Data Acquisition Units Login Feature The login feature allows only registered users to access the MW100 There are two user levels privileges Administrator privileges All features can be used User privileges Writing to external media via FTP and other features are restricted Measured data report data log information status information etc can be retrieved Measurement range adjustments require administrator privileges By enabling the login feature and assigning administrator and user privileges you can control who is able to access the MW100 and view measured data and who is able to access the MW100 and change the measurement setup Assign appropriate login privileges to users to ensure security Up to 10 users can be registered in the MW100 Log Information By referring to communication logs operation logs FTP logs etc you can determine how the instruments have been operated DX1000 DX2000 DX1000N Paperless Recorders Login Feature The login feature allows only registered users to access the paperless recorders There are two user levels privileges Administrator privileges All features can be used Admi
4. EN June 22 2012 00 4 Overview of the Products That This Document Applies To 1 5 4 Overview of the Products That This Document Applies To Applicable Products This document applies to the following products e Chart recorders uR10000 uR20000 e Paperless recorders DX1000 DX2000 DX1000N DX100P DX200P CX1000 CX2000 e Data acquisition units MW100 e Single loop controllers YS1000 Series e Digital indicating controllers UTAdvanced The communication features implemented on the applicable products vary depending on the product series This chapter describes the communication features that are implemented on each series of products and the security measures that should be considered Features of Applicable Products All the products covered in this document use microprocessors and real time OSs to run communication applications At the factory different communication applications are embedded in each product series In principle users cannot add new program codes to or create new applications in these instruments As an exception some products do allow users to update the embedded software However only specific code can be embedded in a specific way so there is no threat of software updates leading to the introduction of malicious programs into these instruments Communication Protocols Ethernet and TCP IP Protocol Applicable products come with standard or optional 10BASE T or 100BASE TX Ethernet ports Ethernet communication
5. Technical Recorders Data Loggers and Information Control Products Security Standard TI 04A02A01 O0EN PBaMaS amp 6 _ ee Contents 1 Lig es2 19 04 1 2 9 teeneee Berar nes sneer ter ney erneee ese are Perens sete ee ner nanne nnana nnna 1 1 Why Security Is Essential c c cicniesiniiieoeniicceniieniedieonnieeiiedeceneess 1 1 Applicable Product 5 sscecs5ee scan thevecensech casa a ETA 1 1 TAA CIN sd ec ex aa a EAR a aa EE A E 1 1 2 Assets That Should Be Protected ccccccesseeeceeneeeeeeeeseeeeeneeeneseeneseees 1 2 3 Identifying and Evaluating Threats ssssssssnssuunsunnnnunnnunnnnunnnunnnnunnnnnnnn 1 3 Identifying and Evaluating Vulnerabilities 2 0 eee eeeeeeeeeeeeeeeeeeeeeeeeteneeeneeeaes 1 3 RISK ASSESSIMEMM ernro aaa aaa aaa aaae iii 1 4 4 Overview of the Products That This Document Applies To 1 5 Communication Protocol Sesso casiedtnusiasiedn aieiaa adedi a aeiaai ea 1 5 5 Security TRU AES ccs innen paesana aea nan once eaa Seaan aep Raen p SAEs SENA Esa 1 10 6 Product Specific Security Features cccccssecceeneseeeeseeeeeseeeeeeeeeees 1 11 MW100 Data Acquisition UMIS traina A A A AA 1 11 DX1000 DX2000 DX1000N Paperless Recorde rs ccccceeceeetseeesseeeees 1 11 CX1000 CX2000 Paperless RECOrdels cc ccseceeeeeeeeeeeeeeeeeeeneeeeseeeeeessaees 1 12 DX100P DX200P Paperless Recorders cccecceeeeeee
6. e execution of security measures e Flaws in the supervision or improvement of security measures e Lack of physical protection e Flaws in the configuration of firewalls e Failure to exterminate viruses and flaws in the application of security patches e Flaws in backing up data system is not being backed up e Insufficient understanding of production control systems and their operation and environment e Lack of system designer and operator awareness about security TI 04A02A01 00EN June 22 2012 00 3 Identifying and Evaluating Threats 1 4 Risk Assessment Assess the security risk for each asset or the device containing the asset Risk is assumed to be expressible using the following formula Risk threat x vulnerability x expected loss Risk assessment enables you to prioritize various security measures Risk assessment includes assessing the business loss incurred due to the halting of system functionality the expenses required to repair the damage to the production control system and so on Determine the priority of each security measure in accordance with the level of quantitative loss Doing so will enable you to determine which risks require countermeasures which risks can be tolerated and so on Note that in some cases losses are difficult to assess as business losses because they include factors such as environmental contamination personal injury and loss of public confidence in the organization TI 04A02A01 00
7. e installed at remote sites and connected via telephone lines Damages that might occur are data leaks destruction of settings and damage to production facilities and products as a result of improper operation Threats of Information Leaks and Sabotage Chart recorders single loop controllers and digital indicating controllers hold very limited information about networks IP addresses subnet masks default gateways products host and domain names and DNS server addresses Damages that may be incurred due to leaks of these pieces of information are equivalent to or less than damages that may be incurred due to leaks from personal computers On the other hand paperless recorders and data acquisition units have FTP client and SMTP features Therefore these instruments have access information for external FTP servers and SMTP servers Once a user is able to log into these instruments it is possible for the user to obtain such information If the access information is stolen as a result of a leak or eavesdropping of the login password this may allow unauthorized intrusion into relevant servers If intrusion is allowed into instruments measured values may be retrieved settings may be destroyed and output control signals may be operated inappropriately For example if a setting is changed externally and the controlled temperature is raised abnormally produced goods may be damaged Also recorded data may be erased or tampered with TI 0
8. ecorders and change their measurement setups Assign appropriate login privileges to users to ensure security Up to 3 administrators and 90 users can be registered in these paperless recorders Audit Trail Feature The audit trail feature saves operation logs configuration change logs and the setup files that were in use Up to 2000 operation log entries can be recorded in the internal memory You can review the operation log to verify what kinds of operations have been performed in the past Sign Record Feature The sign record feature adds batch processing results pass or fail comments the names of users who added information and the date and time that the information was added to the display data and event data files that are stored to external storage media The information is embedded in files along with tampering detection data and can thus be used as digital signatures Log Information DX100P DX200P operations configuration changes error messages file transfers using the FTP client feature email transmissions Web interface operations SNTP server access logs etc are logged TI 04A02A01 00EN June 22 2012 00 6 Product Specific Security Features 1 13 UTAdvanced Digital Indicating Controllers Write Access to Modbus Registers Writing to Modbus registers over communication lines can be enabled or disabled Disabling the feature will prevent outsiders with malicious intent from changing the controller settings When
9. eeeseeeteeeesneeeeeeeetsaees 1 12 UTAdvanced Digital Indicating Controllers eceeceeeeeereeeeeeeeeneeteeeeneeeneees 1 13 YS1000 Series Single loop Controllers ec eeeeeeeeeeeeeneeeneeeeeeeneeeneeeeeeneeeas 1 13 7 Bs A geen ene ee eee ee nee Selo eee nen re eeees apeeee eae erers 1 14 Revision Information sxccenaiecendnn haere i The contents of this document are subject to change without notice Yokogawa Electric Corporation TI 04A02A01 0O0EN YOKOGAWA 2 9 32 Nakacho Musashino shi Tokyo 180 8750 Japan Copyright June 2012 1st Edition June 2012 l 1 Introduction 1 1 Introduction This document contains security guidelines for products that Yokogawa s Network Solutions Business Division provides This document provides generalized risk assessment and security measures for the network Ethernet connections of applicable products and uses standard models as a basis for explaining how to manage applicable products Because new measures are always being taken to counter today s ever changing security threats the contents of this document are subject to change without prior notice Why Security Is Essential In recent years with the advancement of network and information technology open information technologies used in operating systems and communication protocols are also being adopted in control systems This trend is accelerating the close interaction between information systems and control systems In t
10. es can be used User privileges Writing to external media via FTP and other features are restricted Measured data report data log information status information etc can be retrieved Measurement range adjustments require administrator privileges By enabling the login feature and assigning administrator and user privileges you can control who is able to access the paperless recorders and view measured data and who is able to access the paperless recorders and change their measurement setups Assign appropriate login privileges to users to ensure security One administrator and up to six users can be registered in these paperless recorders Log Information By referring to communication logs operation logs FTP logs etc you can determine how the instruments have been operated DX100P DX200P Paperless Recorders Login Feature The login feature allows only registered users to access the paperless recorders There are two user levels privileges Administrator privileges All features can be used User privileges Writing to external media via FTP and other features are restricted Measured data report data log information status information etc can be retrieved Measurement range adjustments require administrator privileges By enabling the login feature and assigning administrator and user privileges you can control who is able to access the paperless recorders and view measured data and who is able to access the paperless r
11. his type of environment control systems can become targets for attackers and are subject to security threats from computer viruses and other malicious programs Ensuring the safety of measuring systems and control systems is vital to protecting important assets Applicable Products This document applies to the following products e Chart recorders uR10000 uR20000 e Paperless recorders DX1000 DX2000 DX1000N DX100P DX200P CX1000 CX2000 e Data acquisition units MW100 e Single loop controllers YS1000 Series e Digital indicating controllers UTAdvanced Trademarks e Ethernet is a registered trademark of Fuji Xerox Corporation e Modbus is a registered trademark of Schneider Automation Inc in the United States e Other company and product names are registered trademarks or trademarks of their respective holders e In this document the TM and symbols do not accompany their respective registered trademark or trademark names TI 04A02A01 00EN June 22 2012 00 2 Assets That Should Be Protected 1 2 2 Assets That Should Be Protected You need to make a list of assets that should be protected clarify their owners and evaluate their values The higher the value of the asset the greater the need to take security measures The following are examples of assets that should be protected Data Assets e Production schedule information e System configuration information e Application configuration information e Control parameter informatio
12. n e Recipe information e History information Device Assets Engineering workstations EWSs e Operator consoles OITs e Process controllers DCSs and PLCs e Field devices e Network devices Human and Environmental Assets e Employees e Factories and plant facilities e Natural environment When theses assets are exposed to security threats the following may result e Disturbance or halting of production activities e Leakage of recipes and other confidential information that relates to production activities e Personal injury e Damage to factories and plant facilities Environmental damage These events can inflict tremendous losses on an organization The objective of taking security measures is to protect these assets from threats and reduce opportunity losses incurred by the organization Priority Classification Example Below is an example of how asset priorities can be classified e Priority A Extremely high e Priority B High e Priority C Low e Priority D Extremely low NOTE This document is based on ISA 99 00 01 2007 Security for Industrial Automation and Control Systems Part 1 Terminology Concepts and Models This document refers to this standard as ISA 99 00 01 ISA 99 00 01 defines activity based criteria for determining security measures and asset based criteria for determining the assets that need to be protected This document is based on these criteria TI 04A02A01 00EN June 22 2012 00
13. nd Maintenance Instrument server server NED server measurement and test information SME client client client server server server Y Y SNTP client server cient WEB server es Utility software server by YOKOGAWA etc SMTP server External software DX1000 DX2000 DX1000N Paperless Recorders DX100P DX200P CX1000 CX2000 Fil ti inati inati Spolcaton Recording application Management application FTP Setup and Maintenance Instrument server rere measurement and test information aed client server server server A A A A Yy Y ar WEB Utility software SMTP server browser by YOKOGAWA etc server External software DX100P DX200P and CX1000 CX2000 Paperless Recorders TI 04A02A01 00EN June 22 2012 00 4 Overview of the Products That This Document Applies To uR10000 uR20000 Recording ithe application Management application Setup and Maintenance Instrument measurement and test information server server server A A Utility software by YOKOGAWA etc External software uR10000 uR20000 Chart Recorders YS1000 Series UTAdvanced Measurement application management Modbus server A Modbus client Ex
14. nistrators can specify which features to make available to normal users Normal user privileges Writing to external media via FTP and other features are restricted Measured data report data log information status information etc can be retrieved Measurement range adjustments require administrator privileges By enabling the login feature and assigning administrator and user privileges you can control who is able to access the paperless recorders and view measured data and who is able to access the paperless recorders and change their measurement setups Assign appropriate login privileges to users to ensure security Up to 5 administrators and 30 normal users can be registered in these paperless recorders Log Information By referring to communication logs operation logs FTP logs etc you can determine how the instruments have been operated IP Access Limitation Function Available on the DX1000 DX2000 DX1000N Release 3 and later restricts access to Modbus server Only Modbus access from a registered IP address is allowed Access from an unregistered IP address is rejected This feature prevents unauthorized access and enhances security TI 04A02A01 00EN June 22 2012 00 6 Product Specific Security Features 1 12 CX1000 CX2000 Paperless Recorders Login Feature The login feature allows only registered users to access the paperless recorders There are two user levels privileges Administrator privileges All featur
15. ol YS1000 Series UTAdvanced MW100 and DX1000 DX2000 DX1000N The Modbus protocol is widely used in communications between industrial devices The protocol is also used to connect these devices to DCSs PLCs SCADAs etc For the DX1000 DX2000 DX1000N the Modus protocol can be used to output measured data and to start and stop measurements For the YS1000 Series and UTAdvanced the Modbus protocol can be used to change an instrument s settings such as the SP through the access and modification for the instrument s register values Yokogawa Proprietary Protocol Chart recorders paperless recorders and data acquisition units The server feature in the recording application and management application uses a command response protocol This protocol makes it possible to read measured values setup and measurement information maintenance and test information and instrument information Commands and responses are primarily exchanged using ASCII character strings but for some commands binary response data is returned The syntax and operations of commands and responses are defined in the user s manual of each instrument The Yokogawa proprietary protocol has a user authentication feature When the protocol s login feature described later is enabled users can use the protocol only when they enter the appropriate user name and password TI 04A02A01 00EN June 22 2012 00 5 Security Threats 1 10 5 Security Threats Notable securit
16. ormal conditions the instrument attempts to transfer files to the primary server If the transfer fails the instrument attempts to transfer files to the secondary server HTTP Protocol Paperless recorders and data acquisition units The recording application displays recording screens and messages on a remote Web browser It also allows the instrument to be controlled remotely only when the user logs in as an operator via a Web browser Microsoft Internet Explorer version 4 0 and later has been tested for operational compatibility The HTTP server has a user authentication feature When the server s login feature described later is enabled users can use the HTTP server only when they enter the appropriate user name and password SMTP Protocol Paperless recorders and data acquisition units The management application transmits emails to an SMTP server in accordance with how the instrument has been set up On the applicable products emails are transmitted 1 Periodically 2 When a hardware malfunction or other system error occurs 3 When an hourly daily monthly or other report is created 4 When an alarm occurs due to measurement errors or other reasons For each situation you can set 1 whether to send an email 2 the subject 3 the destinations whether to send email to each of two groups 3 the body message and 4 whether to include the Web address URL and measured values of each instrument Modbus protoc
17. s Server Features of R10000 uR20000 Chart Recorders 34260 tcp fixed Yokogawa proprietary Setup and measurement services 3426 1 tcp fixed Yokogawa proprietary Maintenance and test services 34264 udp fixed P Yokogawa proprietary Instrument information service YS1000 Series Single loop Controllers Server features 502 tcp Multi vendor connection Modbus server Server Feature of UTAdvanced Digital Indicating Controllers 502 tcp Multi vendor connection Modbus server TI 04A02A01 00EN June 22 2012 00 4 Overview of the Products That This Document Applies To 1 7 The following figure summarizes the client and server features of each instrument An overview of each protocol is given in the later pages MW100 Data Acquisition Units MW100 Time File operation Recording and measurement icati synchronization application A oplisation Management application SNTP FIP Modbus Setup and Maintenance server server Bite r server measurement and test ar client client client server server A A A A A A Yy y y y SNTP FTP Modbus Utility client client R client software SA ly server server server by YOKOGAWA etc External software DX1000 DX2000 DX1000N Time synchroni Eoo y a o Management application zation SNTP FTP Modbus Setup a
18. ternal software YS1000 Series Single loop Controllers and UTAdvanced Digital Indicating Controllers TI 04A02A01 00EN June 22 2012 00 4 Overview of the Products That This Document Applies To 1 9 FTP Protocol Paperless recorders and data acquisition units The file management application saves data residing in the main memory to files on an external storage medium Depending on how the instrument is configured the file management application generates daily weekly and other types of report files These files are saved to an external storage medium disk or memory card that is inserted into the instrument The FTP server feature can be used to manipulate the files and directories in the external storage medium The measurement and report files described above are stored in specified directories Authenticated users can retrieve and delete existing files and save new files If the FTP client feature is enabled files can be automatically transferred to registered FTP servers when the files are created or when specific events occur The FTP server has a user authentication feature When the server s login feature described later is enabled users can use the FTP server only when they enter the appropriate user name and password Up to two connection destination servers primary and secondary can be specified For each the user sets the server name host name or IP address user name password and initial directory Under n
19. the feature is disabled settings must be changed manually onsite IP Access Limitation Function Only Modbus access from a registered IP address is allowed Access from an unregistered IP address is rejected This feature prevents unauthorized access and enhances security YS1000 Series Single loop Controllers Write Access over Ethernet Writing to Modbus registers over Ethernet can be enabled or disabled Disabling the feature will prevent outsiders with malicious intent from changing the controller settings When the feature is disabled settings must be changed manually onsite TI 04A02A01 00EN June 22 2012 00 7 Staff Security 1 14 7 Staff Security One of the most important security threats is people Human error can pose major security threats Education The purpose of education is to ensure that staff members develop knowledge and skills about security and are able to carry out daily operations in accordance with security guidelines Education should include the following objectives e Staff members deepen their understanding about security Staff members recognize threats and influences on production control systems e Staff members can carry out appropriate security measures and improvements e Staff members understand the proper operation and management of production control systems For example staff members should learn how to check logs to determine whether a system has been attacked Education should
20. uses stable TCP and UDP protocols that are based on IPv4 The applicable products allow IP addresses subnet masks and default gateways to be specified In addition on applicable products equipped with client features destination devices can be specified by their IP address or by their DNS Domain Name System host name The port numbers in the following table are factory default port numbers that have been allotted for the purpose of connecting to the server features of the applicable products The port numbers of some products are fixed Fixed port numbers are indicated as fixed in the table Server Features of MW100 Data Acquisition Units Port Number Maximum Protocol Simultaneous Connections 502 tcp Multi vendor connection Modbus server C a zm See Time syncronization SNTP sene TI 04A02A01 00EN June 22 2012 00 4 Overview of the Products That This Document Applies To 1 6 Server Features of DX1000 DX2000 DX1000N Paperless Recorders 502 tcp 2 Modbus Multi vendor connection Modbus server DX1000 DX2000 only FTP S Ce E aw SNTP_______ Time synchronization NTP seve e Zip 3426 1 tcp fixed Yokogawa proprietary Maintenance and test services 34264 udp fixed Yokogawa proprietary Instrument information service Server Features of DX100P DX200P and CX1000 CX2000 Paperless Recorders eono ec ATT id HTTP ene 3426atup ies Yokogawa proprietary Instrument information sewe
21. y threats are listed below Virus Infection Threats There is no threat of the applicable instruments being infected with viruses The operating system used in the instruments is a unique OS for embedded applications In addition off the shelf office applications email clients and browsers which are often targets of viruses and macros are not embedded in the instruments so there is no worry about being compromised by viruses or macros through such programs However the DX MW and other instruments that use external storage may be used as storage stepping stones for files that contain viruses Intrusion Threats The applicable instruments have multiple server features and users can log into them However users cannot start other clients from the instruments so the instruments cannot be used to intrude into other systems or to send obscure emails Network access to instruments measured values and settings can be protected with passwords To use a password to protect an instrument enable the login feature in advance Access to instruments is not possible unless the password is known However when you log into an FTP server the user name and password are transmitted in plain text If the network is wiretapped it is possible for the password to be stolen There is always a possibility that a password may be leaked by a person who is not careful There is a possibility of direct intrusion into the instruments when the instruments ar
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