U S Department of Energy ORDER Washington D C DOE O 205 1B Approved 5-16-2011 SUBJECT DEPARTMENT OF ENERGY CYBER SECURITY PROGRAM 1 PURPOSE To set forth requirements and responsibilities for a Departmental Cyber Security Program CSP that protects information and information systems for the Department of Energy DOE The CSP requires a Risk Management Approach RMA that includes analysis of threats risks risk-based decisions considering security cost and mission effectiveness and implementation consistent with guidelines from the National Institute of Standards and Technology NIST and Committee on National Security Systems CNSS cyber requirements processes and protections DOE Oversight is conducted through Assurance Systems that monitor the risk evaluation and protection processes at each level in the organization The DOE CSP emphasizes risk management rather than a systems-level “controls compliance” approach Through the RMA the Department effectively and efficiently meets its obligations under the Federal Information Security Management Act FISMA in a manner that improves rather than impedes the fulfillment of the Department’s statutory missions The CSP through DOE’s RMA a establishes line management accountability for ensuring protection of information and information systems through Senior DOE Management SDM consisting of the Department’s Under Secretaries the Energy Information Administrator Power Marketing Administrators and the Chief Information Officer CIO see Attachment 3 for a pictorial representation of DOE SDM b recognizes the Department’s federated government-owned contractor operated GOCO environment and appropriately integrates cyber security governance accountability and reporting into management and work practices at all levels of the Department c institutes a mission-centric risk-based approach to the management of cyber security to ensure the confidentiality integrity and availability of DOE information and information systems d requires a training education and awareness program that develops and maintains cyber security competencies including threat identification and risk management throughout DOE Federal and contractor workforces that enables personnel to fulfill their responsibilities in protecting DOE information and information systems e establishes cyber security governance processes that are mission-focused f defines enterprise-level cyber security requirements processes and responsibilities for protecting unclassified and national security information and information systems and AVAILABLE ONLINE AT www directives doe gov INITIATED BY Office of the Chief Information Officer 2 DOE O 205 1B 5-16-2011 g 2 ensures that the focus of cyber protection is on accomplishing mission threat response and affordable risk mitigation strategy that provides the appropriate benefit from available cyber security resources CANCELLATION a DOE O 205 1A Department of Energy Cyber Security Management Program dated 12-4-06 b DOE M 205 1-4 National Security System Manual dated 3-8-07 c DOE M 205 1-5 Cyber Security Process Requirements Manual dated 8-12-08 d DOE M 205 1-6 Media Sanitization Manual dated 12-23-08 e DOE M 205 1-7 Security Controls for Unclassified Information Systems Manual dated 1-5-09 f DOE M 205 1-8 Cyber Security Incident Management Manual dated 1-8-09 Cancellation of a directive does not by itself modify or otherwise affect any contractual or regulatory obligation to comply with the directive Contractor Requirements Documents CRDs that have been incorporated into a contract remain in effect throughout the term of the contract unless and until the contract or regulatory commitment is modified to either eliminate requirements that are no longer applicable or substitute a new set of requirements 3 APPLICABILITY a Departmental Elements Except for the equivalencies exemptions in paragraph 3 c this directive applies to all Departmental elements The Administrator of NNSA will assure that NNSA employees and contractors comply with their respective responsibilities under this directive Nothing in this Order will be construed to interfere with the NNSA Administrator’s authority under section 3212 d of Public Law P L 106-65 to establish Administrationspecific policies unless disapproved by the Secretary The Administrator of Bonneville Power Administration BPA will assure that BPA employees and contractors comply with their respective responsibilities under this directive For the purposes of this Order the following Departmental Elements are identified as SDM and are responsible for formally implementing the DOE RMA described in this Order DOE O 205 1B 5-16-2011 b c 3 1 The Office of the Under Secretary of Energy 2 The Office for the Under Secretary of Science 3 The National Nuclear Security Administration NNSA 4 Energy Information Administration EIA 5 Bonneville Power Administration BPA 6 Southeastern Power Administration SEPA 7 Southwestern Power Administration SWPA 8 Western Area Power Administration WAPA 9 The Office of the Chief Information Officer OCIO DOE Contractors Except for the equivalencies exemptions in paragraph 3 c the Contractor Requirements Document CRD sets forth requirements of this Order that will apply to contracts that include the CRD 1 The CRD Attachment 1 sets forth requirements of this directive that will apply to site facility management and operating M O contracts that include the CRD 2 A violation of the provisions of the CRD relating to the safeguarding or security of Restricted Data RD or other classified information may result in a civil penalty pursuant to subsection a of section 234B of the Atomic Energy Act of 1954 42 U S C 2282b The procedures for the assessment of civil penalties are set forth in Title 10 Code of Federal Regulations CFR Part 824 ―Procedural Rules for the Assessment of Civil Penalties for Classified Information Security Violations Equivalencies Exemptions for DOE O 205 1B Requests for equivalencies and exemptions from paragraph 4 of this Order must follow the process outlined in paragraph 6 a 3 c of DOE O 251 1C Request for equivalencies or exemptions from subsequent implementation plan requirements established by SDM must be addressed as prescribed in such plans Exemption In accordance with the responsibilities and authorities assigned by Executive Order 12344 and to ensure consistency throughout the joint Navy and DOE organization of the Naval Nuclear Propulsion Program the Deputy Administrator for Naval Reactors will implement and oversee all requirements 4 DOE O 205 1B 5-16-2011 and practices pertaining to this Order for activities under the Deputy Administrator’s cognizance as deemed appropriate 4 REQUIREMENTS The DOE RMA employs an integrated enterprise-wide approach to secure information and information systems Managing information security risk as risk management in general is not an exact science It brings together the best collective judgments of individuals and groups within organizations responsible for strategic planning oversight management and day-to-day operations—providing both the necessary and sufficient risk response measures to adequately protect the missions and business functions of those organizations The DOE RMA provides a structured yet flexible approach for managing risk that is intentionally broad-based with the specific details of assessing responding to and monitoring risk on an ongoing basis provided by NIST security standards and guidelines operational awareness and site expertise DOE information and information systems must be protected in a manner commensurate with impact to mission national security risk and magnitude of harm a Governance 1 2 The CSP and DOE RMA are governed by the Department’s Information Management Governance Council IMGC The IMGC serves as the DOE corporate risk executive function a The DOE Under Secretaries NNSA Administrator and the DOE CIO are the full voting members of the IMGC b The Chief Health Safety and Security Officer and the Director Office of Intelligence and Counterintelligence are advisory nonvoting members of the IMGC The IMGC is supported by a Information Management Governance Council Representatives IMGCR consisting of one Federal representative each from the Office of the Under Secretary of Energy the Office of Science the NNSA and the Office of the CIO b Information Management Governance Council Advisory Group IMGCAG consisting of four members selected by the M O community and approved by the IMGC one CIO selected from the National Laboratories reporting to the Office of the Under Secretary of Energy one CIO selected from the National Laboratories reporting to the Office of Science one CIO selected from the National Laboratories reporting to NNSA and one CIO selected from the NNSA production facilities reporting to NNSA DOE O 205 1B 5-16-2011 5 c b Information Management Governance Secretariat provided by the DOE Office of the CIO to manage the administrative functions of the IMGC The RMA Process 1 The RMA is applicable to the management of all information and information systems 2 At all levels of DOE the RMA must implement the four components of risk management framing assessing responding and monitoring as depicted in Figure 1 3 a Risk framing Step 1 and the risk assessment Step 2 are completed in partnership with the DOE Oversight function b Risk response Step 3 ensures the defensive protections are adequate for the agreed upon risk profile For example at the DOE Site level the Senior Contractor Site Manager is accountable e g Laboratory Director Plant Director for ensuring the defensive protections are adequate to mitigate the risk profile agreed to by the Federal Site Manager and Senior Site Manager c The site is responsible for developing an ongoing monitoring approach to evaluate and respond to changes in the environment and assess overall performance Step 4 DOE Oversight is a component of risk monitoring and is accomplished through review of risk assessments Assurance System outputs and processes as appropriate SDM shall establish the organizational tolerance for risk and communicates the risk tolerance throughout the organization including guidance on how risk tolerance influences ongoing decision-making activities 6 DOE O 205 1B 5-16-2011 DOE Risk Management Approach RMA Process DOE Department RMA Senior DOE Management SDM Cyber Security RMA Implementation Plans IP Inputs • Approved cyber security protections • Risk Mgt Strategy Outputs • Cyber security effectiveness evaluation • RMA process assessment Step 4 Risk Monitoring Involves • Federal Site Manager • Senior Site Manager • Authorizing Official Step 1 Risk Framing Involves • SDM Federal Site Manager • Senior Site Manager • Authorizing Official Activities • Risk monitoring strategy • Risk monitoring • Contractor assurance • Federal oversight Activities • Establish risk assumptions constraints tolerance • ID priorities trade-offs Inputs • Threat Statements • Risk Response • Risk Monitoring Outputs • Risk Mgt Strategy communicated to AO and Site CIO Communications Inputs • Risk Assessment • SDM RMA IP • NIST Reqmts Guides Outputs • Approved implemented cyber security protections Step 3 Risk Response Involves • Authorizing Official • Site CIO Activities • ID and evaluate risk response alternatives • Determine appropriate risk response • Implement cyber security protections Step 2 Risk Assessment Involves • Authorizing Official • Site CIO Activities • ID threats vulnerabilities • Determine risk in context of mission Inputs • SDM RMA IP • Risk Response • Risk Monitoring Output • Risk Determination • Residual Risk • Resource Requirements Figure 1 DOE Risk Management Approach The 4-Steps are displayed at the DOE Site Level as an example 4 SDM must using a risk based and tailored approach flow down the requirements and responsibilities of this Order to all subordinate organizational levels through implementation plans 5 The development of SDM RMA implementation plans must be coordinated with the DOE CIO and with the IMGC to resolve cross-SDM issues 6 Authorization Function -- the Authorizing Official AO is the Federal official s responsible and accountable for ensuring that information systems under their purview are operated at an acceptable level of risk a For NSS the Federal AO function is accomplished through DOE Oversight and must be consistent with CNSS policy b For unclassified systems the Federal AO function is accomplished through DOE Oversight which includes Assurance System transparency and performance according to the site's risk management plan not necessarily a system by system” authorization action DOE O 205 1B 5-16-2011 c 7 SDM Risk Management Implementation Plans 1 Must be based upon requirements guidance and processes of applicable NIST and CNSS publications as well as other appropriate national standards whether or not specifically stipulated in this Order 2 Must provide the framework for establishing acceptable risk in context of mission performance and assurance 3 Must utilize a partnership approach that includes the Federal Site Manager and consultations with the Senior Site Manager in establishing acceptable risks 4 Must provide sufficient flexibility in the design of organizational and site RMA implementation plans such that sites can tailor cyber security protections based on risk assessments to cost-effectively reduce information security risks to an acceptable level including the tailoring of the requirements below 5 Must focus on oversight of high-level balanced outcomes and the outputs of the Assurance System or equivalent 6 Must provide a methodology for graded oversight that is based on risk and the contractor’s past performance in risk management and tailored to meet mission needs 7 Must define or define processes for developing minimum required components of applicable assurance systems such as risk tolerance and or performance indicators objectives measures other criteria 8 Must define processes including AO coordination with applicable contracting officials to evaluate contractor programs management and assurance systems for effectiveness of performance consistent with DOE Order 226 1A Implementation of Department of Energy Oversight Policy 9 Must require that where mission appropriate or where DOE Federal or DOE to citizen services are provided federally directed security initiatives such as Trusted Internet Connection TIC Internet Protocol IP v6 Domain Name System Security Extensions DNSSEC be implemented as part of system development life cycle plans 8 DOE O 205 1B 5-16-2011 10 Must incorporate requirements for tracking cyber security weaknesses identified for NSS and unclassified information systems in a plan of action and milestone process 11 Must require DOE and NNSA NSS and Federal unclassified systems to display a system use notification e g Warning Banner at login and require users to electronically acknowledge the warning such as clicking on OK or I agree button to proceed An example of a DOE approved warning banner WARNING WARNING WARNING WARNING This is a Department of Energy DOE computer system DOE computer systems are provided for the processing of official U S Government information only All data contained within DOE computer systems is owned by the DOE and may be audited intercepted recorded read copied or captured in any manner and disclosed in any manner by authorized personnel THERE IS NO RIGHT OF PRIVACY IN THIS SYSTEM System personnel may disclose any potential evidence of crime found on DOE computer systems to appropriate authorities USE OF THIS SYSTEM BY ANY USER AUTHORIZED OR UNAUTHORIZED CONSTITUTES CONSENT TO THIS AUDITING INTERCEPTION RECORDING READING COPYING CAPTURING and DISCLOSURE OF COMPUTER ACTIVITY WARNING WARNING WARNING WARNING 12 Must address risk-based protection of information on media used by or produced by NSS and unclassified information systems 13 Must define a process for incident reporting that requires all cyber security incidents involving information or information systems including privacy breaches under DOE or DOE contractor control must be identified mitigated categorized and reported to the DOE Cyber Incident Response Capability DOE-CIRC in accordance with DOE-CIRC procedures and guidance DOE-CIRC procedures will incorporate reporting requirements from OMB and the Department of Homeland Security and be consistent with classified information and incident handling procedures in Department directives If loss or unauthorized disclosure of classified information associated with NSS is suspected the incident must be immediately reported to the AO 14 Must require appropriate controlled unclassified information marking in the electronic environment The requirements of DOE DOE O 205 1B 5-16-2011 9 M 471 3-1 Manual for Identifying and Protecting Official Use Only Information 10 CFR Part 1017 Identification and Protection of Unclassified Controlled Nuclear Information and DOE Order 471 1B Identification and Protection of Unclassified Controlled Nuclear Information must be implemented for all DOE and NNSA information and information systems 15 Must require appropriate classification marking in the electronic environment The following must be implemented for all DOE and NNSA NSS For systems with Restricted Data RD Formerly Restricted Data FRD or Transclassified Foreign Nuclear Information TFNI implementation should be consistent with DOE M 470 4-4A Information Security Manual or NAP 70 4 Information Security for NNSA and DOE O 475 2A Identifying Classified Information For systems with National Security Information implementation must be consistent with DOE M 470 4-4A DOE O 475 2A and 32 CFR 2001 23 16 Must require that National Security Systems follow CNSS The security and risk management of DOE and NNSA systems containing national security information must adhere to the requirements established by the CNSS Requests for equivalencies and for exemptions from CNSS requirements must follow those processes as amplified by SDM cyber security implementation plan direction 17 Must require appropriate media sanitization for NSS 18 a Electronic media that is utilized on NSS must be sanitized prior to disposal according to DOE and NNSA media sanitization requirements documented by the AO approved processes in the SDM RMA implementation plan b Disposal of NSS electronic media must be consistent with DOE and NNSA record retention schedules and requirements Must use the information types and their indicated hierarchical protection levels to guide risk-based decisions in the implementation of the RMA For classified systems the AO establishes based on risk acceptance the appropriate level of controls required to authorize use of these systems Table 1 maps the information classification levels from Executive Order E O 13526 and 10 CFR part 1045 Confidential Secret and Top Secret to the CNSSI 1253 potential impacts of Low Moderate and High 10 DOE O 205 1B 5-16-2011 TABLE 1 MAPPING DOE Information Groups to CNSSI 1253 Potential Impact Levels DOE Information Group 1 Confidential NSI Confidential RD 2 4 Confidential RD 2 4 CNSSI 1253 Potential Impact for Loss of Confidentiality Low Moderate Sigma 1 2 3 4 5 9 10 11 12 and 13 Moderate Secret NSI Moderate Secret RD Moderate to High Secret RD 3 Sigma 1 2 3 4 5 9 10 11 12 13 15 and 20 Moderate to High Secret RD 3 Sigma 14 High Top Secret NSI Top Secret RD High 1 Potential levels of impact for Integrity and Availability are determined by use of the data as specified by the Information and Information System Owner as part of the Information System Categorization process of CNSSI 1253 2 RD is governed by the Atomic Energy Act of 1954 and requires additional access authorization Consequences from unauthorized disclosure can be more severe than for the commensurate level of National Security Information NSI The RD category has no automatic “Declassify On date or event ” as does NSI 3 Secret RD and Secret RD with Sigmas start at the highest CNSSI 1253 Potential impact for Loss of Confidentiality using the Risk Management Approach to make decisions to reduce controls 4 CRD is moderate impact 19 Must include requirements for protecting RD FRD and TFNI on NSS consistent with DOE O 5610 2 Chg 1 Control of Weapon Data When RD FRD or TFNI is provided to personnel from other Government Agencies the RMA implementation plans must ensure that such personnel follow the requirements contained in this Order a Electronic Transmission Non-Sigma Nuclear Weapons Data NWD must be sent electronically only over approved classified networks and only if need-to-know for that information is assured by the sender i Non-Sigma Secret RD NWD may be sent to Department of Defense DOD and Other Government Agencies on Secret Internet Protocol Router Network SIPRNET without secondary encryption ii Non-Sigma Secret RD NWD may be sent via DOE Enterprise Secure Network ESN DOE O 205 1B 5-16-2011 5 11 b Secure Telecommunication Transmission of Non-Sigma NWD using point-to-point secure communication via appropriately certified secure telecommunication systems is permitted at both Secret and Top Secret levels provided they are consistent with approved site security plans Access authorization and need-toknow must be verified prior to transmission c Access Requirements The access requirements from DOE M 470 4-5 Personnel Security must be implemented for all DOE and NNSA NSS where RD FRD or TFNI is stored processed or transmitted d Restricted Data Specific Controls RD specific controls must be implemented according to DOE M 470 4 4A Information Security Manual d Power Marketing Administrations PMA At a minimum PMA protections must comply with North American Electric Reliability Corporation NERC standards e Existing authorized systems retain authorization to operate until reauthorization is required either because the systems have passed the authorization expiration date or because of significant security changes in the security requirements of the information system Reauthorization must be in accordance with the applicable SDM RMA implementation plan RESPONSIBILITIES a b DOE Under Secretaries NNSA Administrator 1 Serve as a member of the IMGC 2 Serve as SDM Senior DOE Management SDM Provide assurance the Department is achieving its missions effectively and efficiently with reasonable risk 1 Codify acceptable residual risk balancing mission performance with cost and risk Communicate acceptable mission risk to Federal Site Management and Contracting Officers 2 Flow down the requirements and responsibilities of this Order to all subordinate organizational levels through implementation plans 3 Ensure the preparation and maintenance of organizational RMAs as described in paragraph 4 12 DOE O 205 1B 5-16-2011 c d 4 Coordinate with the DOE CIO in the development of implementation plans and with the IMGC to resolve cross-SDM issues 5 Serve as the Authorizing Official AO for information systems under their purview This authority may be further delegated within the organization The delegating official remains responsible and accountable 6 Retain overall responsibility and accountability for the RMA within their organization 7 Establish and implement an effective oversight program consistent with requirements defined in DOE O 226 1A 8 Notify contracting officers of which contracts must incorporate the CRD Information Management Governance Council IMGC 1 Oversee the CIO’s development and management of the CSP including strategy the RMA the Federal security architecture and cyber security incident management 2 Ensure the DOE CSP and RMA are aligned with mission requirements and DOE management principles 3 Guide DOE efforts in applying Federal standards and requirements related to information management including determination in consultation with OMB and relevant interagency stakeholders of the extent to which new federal requirements OMB guidance data calls etc would be applied to DOE contractors 4 Address broad issues of information management in the Department as appropriate 5 Identify individuals to serve as IMGC Representatives one Federal representative per IMGC member DOE Chief Information Officer CIO 1 Fulfill CIO responsibilities as required by the Federal Information Security Management Act of 2002 FISMA and related cyber security regulations including DOE O 205 1B 5-16-2011 e 13 a Serving as the DOE Office of Primary Interest OPI for developing and maintaining the Department RMA cyber security directives and Departmental cyber threat statement b Ensuring that cyber security training education and awareness that supports role-based competencies is available for the Federal workforce c Reporting annually to the Secretary in coordination with the Information Management Governance Council IMGC on the effectiveness of the CSP 2 Serve as a member of the IMGC 3 Serve as SDM for DOE staff and support offices and for Federal information systems This authority may be further delegated 4 Serve as AO for DOE Federal information systems This authority may be further delegated The delegating official remains responsible and accountable 5 Recommend to the Secretary an individual to serve as the Chief Information Security Officer CISO whose responsibilities are defined in FISMA and in paragraph 5 e 6 Ensure the Federal cyber security architecture framework supports and enables the Department’s missions 7 Ensure the integration of cyber security into Departmental Capital Planning and Investment Control CPIC processes for Federal investments 8 Ensure the requirements established by the Office of Management and Budget OMB or other Federal Agencies and Organizations with directive authority in cyber security are coordinated and implemented for information systems operated by or in direct support of Department Program Staff and Federal Site Offices Chief Information Security Officer CISO 1 Carry out the responsibilities of the CISO as defined by FISMA 2 On behalf of the IMGC and CIO develop and maintain the Departmental RMA including a Preparing supplemental implementing guidance as required 14 DOE O 205 1B 5-16-2011 f b Developing the DOE cyber security threat statement in coordination and consultation with the Office of Intelligence and Counterintelligence c Coordinating implementing and managing a Department-wide cyber security incident reporting assessment and response program and d Directing cyber security incident management in coordination with other Departmental Elements and other U S Government organizations as circumstances warrant consistent with the standards and guidelines issued by the Department of Homeland Security DHS 3 Coordinate and provide the Department’s response for all agencylevel cyber security inquiries FISMA reporting and CSP review requirements e g Congressional DHS and OMB 4 Serve as the subject matter expert point of contact for the CIO with the SDM and other Federal agencies regarding cyber security activities 5 On behalf of the CIO establish policy and guidance for Department-wide communications security COMSEC and TEMPEST and serve as the manager of the DOE COMSEC Central Office of Record and as the DOE-certified TEMPEST technical authority This authority may be further delegated 6 Coordinate the sharing of threat information with SDMs the Office of Intelligence and Counterintelligence and other U S Government officials Information Management Governance Council Representatives IMGCR 1 Serve as subject matter expert staff for the IMGC and support activities necessary for DOE CSP development and implementation 2 Provide input and recommendations for new or revised cyber security policy 3 Provide recommendations to the IMGC on the applicability mission impact and cost-benefit of proposed new or revised cyber security laws regulations policy requirements etc DOE O 205 1B 5-16-2011 g h i 15 Program Secretarial Officers PSO 1 Retain overall accountability for CSP implementation within their organization 2 Uses DOE line management independent oversight and contractor assurance systems to 1 make informed decisions about corrective actions 2 assess the acceptability of risks and 3 improve the effectiveness and efficiency of programs and site operations This authority may be further delegated 3 Ensure the applicable SDM RMA is implemented in a manner that cost-effectively reduces risks to an acceptable level 4 Monitor the effectiveness of RMA implementation 5 Serve as the AO for information systems under their purview This authority may be further delegated The delegating official remains responsible and accountable 6 Notify contracting officers of which contracts must incorporate the CRD Federal Site Manager Oversee contractor performance 1 Oversee the effective management of the site cyber security program approving reviewing and or accepting CAS outputs 2 Oversee and review the effectiveness of the site-level RMA communicating results and decisions with SDM and Site Contractor Management 3 Coordinate with Senior Site Contractor Management e g Laboratory Director Plant Manager to codify acceptable site-level local risk in the context of mission performance Information Management Governance Council Advisory Group IMGCAG 1 Provide input and recommendations for new or revised cyber security policy 2 Provide recommendations to the IMGC on the applicability mission impact and cost-benefit of proposed new or revised cyber security laws regulations policy requirements data calls etc 16 DOE O 205 1B 5-16-2011 j k l m Director of the Office of Intelligence and Counterintelligence 1 Serve as an Advisory member of the IMGC 2 Serve as the AO for DOE information systems under the purview of Intelligence Community This authority may be further delegated The delegating official remains responsible and accountable 3 Ensure that intelligence systems operated by Headquarters and Field elements of the Office of Intelligence and Counterintelligence are protected in accordance with applicable Director of National Intelligence and DOE policy and directives Chief Health Safety and Security Officer HSS 1 Serve as an Advisory member of the IMGC 2 Provide independent oversight of the RMA in accordance with the mission functions and assigned responsibilities of the Office of HSS and associated DOE directives Heads of Departmental Elements other than those under the purview of Under Secretaries NNSA Administrator and the DOE CIO 1 Retain overall accountability for RMA implementation within their organization 2 Prepare and maintain an organizational RMA as described in paragraph 4 or implement the Department RMA developed and maintained by the DOE CIO 3 Ensure the RMA is implemented in a manner that cost-effectively reduces risk to an acceptable level 4 Monitor the effectiveness of RMA implementation 5 Serve as the AO for information systems under their purview This authority may be further delegated The delegating official remains responsible and accountable 6 Notify contracting officers of which contracts must incorporate the CRD Contracting Officers Once notified of contractor applicability incorporate the CRD into affected contracts DOE O 205 1B 5-16-2011 6 17 REFERENCES a FEDERAL LAWS AND REGULATIONS 1 P L 106-65 National Defense Authorization Act Section 3212 d enacted October 1999 2 P L 107 347 Title III Federal Information Security Management Act of 2002 FISMA enacted December 2002 b OFFICE OF MANAGEMENT AND BUDGET OMB CIRCULARS Located at http www whitehouse gov omb circulars_default c OMB MEMORANDA PERTAINING TO INFORMATION TECHNOLOGY SECURITY AND MANAGEMENT Located at http www whitehouse gov omb memoranda_default d DOE ORDERS MANUALS NOTICES AND GUIDELINES Located at https www directives doe gov directives e 1 DOE M 470 4-4A Information Security Manual dated 10-12-10 2 DOE O 475 2A Identifying Classified Information dated 02-0111 3 DOE O 251 1C Departmental Directives Program dated 1-15-09 4 DOE O 206 1 Department of Energy Privacy Program dated 116-09 OTHER 1 32 CFR 2001 23 Classification Marking in the Electronic Environment dated 6-28-10 2 32 CFR2001 24 Additional Information dated 6-28-10 3 Atomic Energy Act of 1954 as amended 4 E O 12344 Naval Nuclear Propulsion Program dated 2-1-82 5 E O 13526 Classified National Security Information dated 1229-09 6 National Security Agency Central Security Service Storage Device Declassification Manual SDDM dated 12- 2007 18 DOE O 205 1B 5-16-2011 7 8 Issuances of the Committee on National Security Systems CNSS formerly the National Security Telecommunications and Information Systems Security Committee NSTISSC Index of National Security Systems Issuances can be found at www cnss gov Assets pdf CNSS-INDEX pdf a Committee on National Security Systems CNSS Instruction No 1253 Security Categorization and Control Selection for National Security Systems b CNSS Policy CNSSP 22 Information Assurance Risk Management Policy for National Security Systems c CNSSP 26 National Policy on Reducing the Risk of Removable Media National Institute of Standards and Technology NIST Directory of NIST publication can be found at http csrc nist gov index html a NIST FIPS 199 Standards for Security Categorization of Federal Information and Information Systems b NIST FIPS 200 Minimum Security Requirements for Federal Information and Information Systems c NIST Special Publications NIST SP 800 series not allinclusive 1 NIST SP 800-36 Guide to Selecting Information Technology Security Products 2 NIST SP 800-37 Rev 1 Guide for Applying the Risk Management Framework to Federal Information Systems 3 NIST SP 800-53 Rev 3 Recommended Security Controls for Federal Information Systems and Organizations 4 NIST SP 800-88 Guidelines for Media Sanitization 7 DEFINITIONS See Attachment 2 8 CONTACT Questions concerning this Order should be directed to the Office of the Chief Information Officer at 202 586-0166 BY ORDER OF THE SECRETARY OF ENERGY DANIEL B PONEMAN Deputy Secretary DOE O 205 1B 5-16-2011 Attachment 1 Page 1 CONTRACTOR REQUIREMENTS DOCUMENT CRD DOE O 205 1B Department of Energy Cyber Security Program Regardless of the performer of the work the contractor is responsible for complying with the requirements of this CRD The contractor is responsible for flowing down the requirements of this CRD to subcontractors at any tier to the extent necessary to ensure the contractor’s compliance with the requirements In addition to the requirements set forth in this CRD contractors are responsible for complying with Attachments 2 and 3 to DOE O 205 1B referenced in and made a part of this CRD and which provide information to assist in the implementation of program requirements applicable to contracts in which this CRD is inserted 1 The contractor is responsible for assessing and managing risk within its environment in the context of acceptable mission risk set collaboratively with the Federal Site Manager 2 The contractor must formally establish a Site Risk Management Approach RMA that is consistent with the requirements of the applicable Senior DOE Management SDM RMA implementation 3 The contractor must establish and maintain an effective Assurance System that provides appropriate transparency to Federal oversight regarding cyber security risk management and overall performance 4 The contractor must establish and implement a configuration management approach Where mission appropriate the approach must consider federally established configurations such as the Federal Desktop Core Configuration FDCC as an alternative 5 Where mission appropriate or where required in the SDM RMA Implementation Plan the contractor must consider and incorporate Federal initiatives such as HSPD-12 or compatible logical access capabilities and the use of Internet Protocol IP v6 and Domain Name System Security Extensions DNSSEC as part of their system development life cycle plans 6 The contractor must establish a process to ensure that users acknowledge and consent to site privacy and monitoring policies 7 The contractor must establish and maintain an Incident Management Handling and Reporting Capability that is consistent with the contractor requirements contained within the applicable SDM RMA Implementation plan This capability must include a Reporting cyber security and privacy incidents to the DOE Computer Incident Response Capability DOE-CIRC b NNSA contractors must report cyber security and privacy incidents to the NNSA Information Assurance Response Center NIARC Attachment 1 Page 2 c DOE O 205 1B 5-16-2011 If loss or unauthorized exposure of information associated with National Security Systems NSS is suspected the incident must be immediately reported to the AO and DOE-CIRC 8 Contractor’s NSS must adhere to the requirements established by the Committee on National Security Systems CNSS Requests for equivalencies and for exemptions from CNSS requirements must follow those processes as amplified by SDM RMA implementation plan direction 9 Contractors with NSS must implement DOE classified data protection levels as defined in their respective SDM RMA implementation plans 10 Contractors with NSS must apply the classification markings in the electronic environment as described in the applicable SDM RMA implementation plans 11 Contractors with NSS must implement requirements for accessing and protecting Restricted Data RD Formerly Restricted Data FRD and Transclassified Foreign Nuclear Information TFNI as defined in the SDM RMA implementation plans 12 The contractor must ensure all information systems operate within the processes defined and approved by the Federal Authorized Official and that all systems maintain an acceptable level of risk pursuant to 1 the agreed upon risk profile defined by Site and Federal management and 2 approved oversight and assurance systems DOE O 205 1B 5-16-2011 Attachment 2 Page 1 and Page 2 DEFINITIONS APPLICABILITY This Attachment provides information and or requirements associated with DOE O 205 1B as well as information and or requirements applicable to contracts in which the associated CRD Attachment 1 to DOE O 205 1B is inserted Refer to NIST Interagency Report IR 7298 Revision 1 Glossary of Key Information Security Terms for additional definition related to cyber security but not unique to this Order The NIST IR 7298 Rev 1 includes most of the current terms definitions used in NIST information security publications and those in the CNSS Instruction No 4009 National Information Assurance IA Glossary 1 Advisory Member A subject matter expert representative from the Federal Government a DOE National Laboratory or Production Facility that officially participates on the Information Management Governance Council IMGC but does not have IMGC decision authority or voting privileges 2 Assurance System Encompass all aspects of the processes and activities designed to identify deficiencies and opportunities for improvement report deficiencies to the responsible managers complete corrective actions and share in lessons learned effectively across all aspects of operation Often referred to as Contractor Assurance System CAS for an M O organization 3 Cyber Security The physical technical and administrative controls and risk management processes for providing the required and appropriate level of confidentiality integrity availability and accountability for DOE NNSA information stored processed or transmitted on electronic systems and networks 4 DOE Oversight Encompasses activities performed by DOE organizations to determine whether Federal and contractor programs and management systems including assurance and oversight systems are performing effectively and or complying with DOE requirements Oversight programs include operational awareness activities onsite reviews assessments self-assessments performance evaluations and other activities that involve evaluation of contractor organizations and Federal organizations that manage or operate DOE sites facilities or operations 5 DOE Federal System Includes systems operated by the DOE or by contractors on behalf of the DOE where the system is used to accomplish a Federal function Does not include systems operated by M O contractors unless such systems meet the above definition Iffice of the Under lecu ri y Adm it rat- - ft- Hatit-nalHuclearHecuriy Adm rat it-n 11mm Deputy Adm iI kt rat- - ft- Defense Huc lea it-n Deputy Adm it rat- - ft- Defense Put-grams SENIOR DOE Elffice of the He reta ry DJ H hwn ltn Hpcm'mb' Dam't-lHRun-mn Dppruy Hint-th Iffice of the Under He reta ry Hc itnce D1 of the Under He retary D1 Alm ajrmal-u lit-puny Dlergy Elf-n rm at it-n Adm ilktratt-r Bt-nne vilIeP-nwer Adm ilktratt-r Elffi e- -chience Deputy Adm iI kt rat- - Haw-a r Deputy Under He reca ry ft- IL't-ullter-terrt- rum Ass utant He reta ry Ft- Dlergy Iffi iency and Felewable lergy Ass utant He-t reta ry Ft- Dwirt-nm ental Management Hputllwettenl Funnier Adm ilktratt-r Advanced Hc ienti'fic putilg Eesea rclI Act-ac iate Adm il in rate Defense Huc lea Hecu ri y Em ergency Iperatit-ns iate Adm il in rate Basic DIerngciencet Ass utant He reta ry ft- Elect ric i y Delivery and Ass ktant He reta ry ft- FossilDIergy Ht-utlleastenl Pannier Adm ilktratt-r Asst-c iate Adm iI kt rat- - ft- Infrast ructu re-R Dwirt-nm ent Adm iI kt rat it-n Asst-c iate Adm iI kt rat- - ft- I Ianagem en a Binlt-g'ical Dwirt-nm ental F ea Ass ktant He reta ry ft- Huc lea Dlerg'y legacy I Ianag'em ent 'W ll l'll Area Fewer Adm ilktratt-r Ass 'utant He reca ry ft- Pplicy Intenlatit-nal Affair Ass ktant He reca ry ft- L'pllg'rets it-na and Intergt- uenlm entalAffair Guleral ief Filanc ial Ufficer Fusit-n DIerngc ience High Dlergy 1 1in ics Huc lea ics rf 'ft- rce Deaelt-pm ent Teacher and Hc ientists ief Hum all i a ief Inf- - nn at itun Elfficer Intelligence and Management Hafecy and Hetu ri y IL't-unter'ntelligence Public Affair rilgas and Appeals Ict-nt-m ic Impact and Dianeth DOE 205 1B 5 16 2011 Attachment 3 Page 1 and Page 2