Building and Enhancing OT/ICS Security Programs Through Governance, Risk, and Compliance (GRC)
Posted by: Christopher Warner
Operational Technology (OT) and Industrial Control Systems (ICS) are critical components of many industries, especially those within the 16 critical infrastructure sectors. However, traditional IT-based cybersecurity programs often struggle to adequately address the unique requirements of OT/ICS environments, which are focused on physical process control, availability, and safety. Leveraging Governance, Risk, and Compliance (GRC) principles can provide a structured yet adaptable approach to building, managing, and growing effective OT/ICS security programs. This blog outlines a roadmap for organizations to start and mature their OT/ICS security programs, considering the distinct challenges and priorities of OT compared to IT. It emphasizes how GRC can help create a holistic security framework that not only secures OT/ICS assets but also aligns with broader organizational goals and regulatory requirements.
1. Introduction to OT/ICS and GRC
Operational Technology (OT) encompasses the hardware and software systems that manage, monitor, and control industrial processes, such as Supervisory Control and Data Acquisition (SCADA) systems, Distributed Control Systems (DCS), and Programmable Logic Controllers (PLCs). The criticality of these systems varies across industries but is prevalent in critical infrastructure sectors like energy, manufacturing, transportation, and utilities.
Governance, Risk, and Compliance (GRC) is a structured approach that aligns an organization’s IT, OT, and overall business objectives. Applying GRC principles to OT/ICS security enables organizations to:
- Establish a clear governance structure and security policies.
- Identify, analyze, and mitigate risks.
- Ensure compliance with regulatory, safety, and industry standards.
2. The Differences Between IT and OT Security
IT and OT security have distinct characteristics due to the nature of their respective environments:
- Focus: IT security emphasizes data protection (confidentiality, integrity, availability), while OT security prioritizes process safety, availability, integrity, and confidentiality.
- Lifecycle: OT systems have longer lifespans and slower update cycles compared to IT systems. OT equipment is built to be deployed in industrial environments and can last more than 20 years in operation, whereas IT equipment is replaced much more frequently.
- Protocol: IT networks use standardized protocols (e.g., TCP/IP), whereas OT networks rely on specialized industrial protocols (e.g., Modbus, DNP3).
- Threat Landscape: IT threats focus on data breaches and malware, whereas OT threats can lead to physical safety risks and process disruptions.
3. The Role of GRC in OT/ICS Security Programs
A successful OT/ICS security program leverages GRC principles to provide a comprehensive security approach. Here’s how GRC is applied:
3.1 Governance
Governance is foundational to setting up an OT/ICS security program, providing the framework for strategic decision-making and policy development. Elements of governance include:
- Establishing an OT/ICS Security Steering Committee: This committee should consist of cross-functional stakeholders, including security personnel, control engineers, safety managers, compliance officers, and IT representatives. It ensures that OT/ICS security aligns with organizational goals and that there is collaboration across IT and OT domains.
- Developing Security Policies: Policies should address specific OT/ICS requirements, including network segmentation, access control, device hardening, and incident response.
- Defining Roles and Responsibilities: Clear definitions prevent overlapping responsibilities between IT and OT personnel. While IT teams may focus on cybersecurity administration, OT staff, like control and safety engineers, can assume responsibilities for maintaining security configurations and protocols.
3.2 Risk Management
The risk landscape in OT/ICS is complex and intertwined with physical processes. A GRC-driven risk management approach in OT/ICS involves:
- Conducting Comprehensive Risk Assessments: These assessments should identify, evaluate, and prioritize risks specific to OT/ICS systems, considering both cyber and safety impacts. Using established frameworks like NIST CSF, NIST SP 800-82, or IEC 62443 can aid in structuring the assessment process.
- Implementing Risk Mitigation Strategies: Mitigating risks in OT/ICS often requires a combination of technical, administrative, and physical controls. For example, network segmentation can reduce attack surfaces, while regular safety training can help staff respond effectively to incidents.
- Continuous Monitoring and Risk Adjustment: GRC tools can be employed to monitor threats and vulnerabilities in real time, allowing for dynamic risk adjustments based on changing conditions within the OT environment.
3.3 Compliance
Compliance in OT/ICS security is driven by a combination of regulatory requirements, industry standards, and safety protocols. Key components include:
- Identifying Relevant Regulations and Standards: Regulations like NERC-CIP, NIST CSF, and TSA Pipeline Directives, along with safety standards like ANSI/ISA 61511 and IEC 62443, guide compliance efforts in OT/ICS. GRC tools can map these standards to internal controls, helping organizations streamline compliance processes.
- Implementing Control Mechanisms: Controls should ensure that OT/ICS systems adhere to compliance requirements while maintaining operational efficiency and safety.
- Documenting and Auditing Compliance Efforts: GRC systems should maintain documentation that supports audits and demonstrates compliance with regulatory mandates, thereby reducing the risk of penalties and enhancing security credibility.
4. Key Considerations for Building an OT/ICS Security Program
Each organization will have its unique approach, influenced by factors like industry, organizational structure, and available resources. However, some universal considerations include:
4.1 Tailored Security Programs
OT/ICS security cannot be a mere extension of IT security. Programs should be tailored to the specific needs of OT environments, considering the differences in technology, processes, and priorities.
4.2 Bridging IT and OT Cultures
Many organizations place cybersecurity under IT, while OT security is often the domain of control engineers and safety personnel. A successful OT/ICS security program requires bridging these cultural and functional gaps and fostering collaboration between IT security professionals and OT engineers.
4.3 Integrating Safety and Security
Given the inherent safety risks in OT environments, security programs should integrate safety protocols. For example, implementing both cybersecurity and process safety measures in systems like SCADA can prevent incidents that may affect physical safety.
5. Maturing and Growing Your OT/ICS Security Program
Once an initial OT/ICS security program is established, organizations can focus on maturity and growth by:
- Conducting Regular Reviews and Updates: Periodic assessments help refine security policies, identify emerging risks, and address new compliance requirements.
- Investing in Staff Training and Awareness: Continuous training for both OT and IT personnel is crucial for maintaining security and safety in OT environments.
- Leveraging Advanced Technologies: Implementing technologies like AI-driven anomaly detection, Zero Trust Architecture, and threat intelligence can enhance OT/ICS security posture.
Building and growing a robust OT/ICS security program using GRC principles is essential for safeguarding critical infrastructure and industrial processes. By aligning governance, risk management, and compliance efforts, organizations can create a secure, resilient, and compliant OT environment that supports broader business objectives.
Christopher Warner
Senior Security Consultant - OT,
GuidePoint Security
Chris Warner has over 25 years of experience in operational technology (OT), IT, and Cyber-Physical Systems, having roles as an assessor, integrator, advisor, and thought leader across all 16 Critical Infrastructure Sectors.
Chris has significant experience leading various Information Security services, including security program reviews, governance, risk, and compliance (GRC) assessments, security program development, policy creation, and various advisory services to help organizations establish a unified view of risk.
Chris has earned a Master of Business Administration (MBA e-business), a Master of Arts in Organizational Management, a Bachelor of Science in Business Management, an Associate in Avionics Engineering and the OPSWAT OT Security Expert Certification. Additionally, Chris is a USAF, Disabled Veteran, a veteran member of InfraGard, and has held Tier 5 Top Secret/SCI/Q/Polygraph with Lifestyle clearances. Currently, Chris holds a Secret Clearance with the FBI and CISA.