GEH-6865

Control Server
Dell® Windows® 10 Thin Client HMI System
Secure Deployment Guide
June 2019

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These instructions do not purport to cover all details or variations in equipment, nor to provide for every possible
contingency to be met during installation, operation, and maintenance. The information is supplied for informational
purposes only, and GE makes no warranty as to the accuracy of the information included herein. Changes, modifications,
and/or improvements to equipment and specifications are made periodically and these changes may or may not be reflected
herein. It is understood that GE may make changes, modifications, or improvements to the equipment referenced herein or to
the document itself at any time. This document is intended for trained personnel familiar with the GE products referenced
herein.
GE may have patents or pending patent applications covering subject matter in this document. The furnishing of this
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Public Information – This document contains non-sensitive information approved for public disclosure.
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For further assistance or technical information, contact the nearest GE Sales or Service Office, or an authorized GE Sales
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Issued: June 2019

© 2019 General Electric Company.

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Related Documents
Document # Title
GEH-6840 NetworkST* 3.1/4.0 for Mark VIe Controls Application Guide
GEH-6846 Control Server Installation and Setup Guide
GEH-6863 Control Server Dell Windows 10 Thin Client HMI System User Guide
GEH-6864 Control Server Dell Windows 10 Thin Client HMI System Support and Maintenance Guide
GHT-200059 How to Remove Unused Software from Control Server Dell Windows 10 Thin Client HMI Systems
GEH-6721_Vol_I Mark VIe and Mark VIeS Control Systems Volume I: System Guide

Acronyms and Abbreviations

ACL Access Control List
DHCP Dynamic Host Configuration Protocol
HMI Human-machine Interface
PDH Plant Data Highway
RBAC Role Based Access Control
RPC Remote Procedure Call
SIEM Security Information and Event Management
TCP Transmission Control Protocol
UDH Unit Data Highway
UDP User Datagram Protocol
VLAN Virtual Local Area Network
VM Virtual Machine

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Contents
1 Introduction ....................................................................................................................................... 5
2 Security and Secure Deployment................................................................................................. 7
2.1 What is Security?.....................................................................................................................................7
2.2 I have a firewall. Is that enough?.................................................................................................................7
2.3 What is Defense in Depth? ........................................................................................................................7
2.4 General Concepts.....................................................................................................................................8
2.5 What is Hardening?..................................................................................................................................9
2.6 General Recommendations ........................................................................................................................9
3 Thin Client Security Guidelines .................................................................................................. 11
3.1 Security Capabilities .............................................................................................................................. 11
3.1.1 User Authentication and Authorization................................................................................................ 11
3.1.2 Access Control Mechanisms ............................................................................................................. 11
3.1.3 Write Filter .................................................................................................................................... 12
3.2 Communication Requirements ................................................................................................................. 12
3.2.1 Network Connectivity ...................................................................................................................... 12
3.2.2 Ports and Services List ..................................................................................................................... 12
3.3 Configuration Hardening......................................................................................................................... 13
3.3.1 Domain Membership ....................................................................................................................... 13
3.3.2 Unused Software Removal................................................................................................................ 13
3.3.3 USB Port....................................................................................................................................... 13
Glossary of Terms ................................................................................................................................ 15

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1 Introduction
This document provides information to help improve the cyber security of systems that include the Mark* VIe control system.
It is intended for use by control engineers, integrators, IT professionals, and developers responsible for deploying and
configuring the Thin Client within the Mark VIe control system.
Each site has its own philosophies, procedures, and audit requirements. In the power generation field many of these will be
based on industry standards and practices such as described in ISA-99, IEC-62443, NIST 800, and NERC CIP documents.
These standards and practices should be used as guidance while configuring and maintaining the site. This document
describes the available tools and concepts that should be followed to help sites meet their security requirements; however,
tools alone cannot guarantee a site's compliance. The best password policy enforcement tool cannot protect against posting a
password on a sticky-note on a computer monitor - an act that is likely to raise issues during an audit. Site procedures (which
are outside the scope of this document) must be created, maintained, and followed to meet most audit requirements.
Certain sections of this document include information about optional products, such as the NetworkST* 4.0 product with
network hardening capability or the SecurityST* product with its wealth of additional security functions. These products are
not required to run the Mark VIe control system, but their pre-packaged functionality can be used to strengthen the site
security posture. Whether or not these products are used, the concepts presented in this document should be addressed within
each site's specific security requirements.
The controllers and supervisory-level computers described in this document were not designed for or intended to be
connected directly to any wide area network (WAN), including but not limited to a corporate network or the Internet.
Additional routers and firewalls (such as those supplied with the NetworkST 4.0 product) that have been configured
with access rules customized to the site's specific needs must be used to access devices described in this document from
outside the local control networks.

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Notes

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2 Security and Secure Deployment
This chapter introduces the fundamentals of security and secure deployment.

2.1 What is Security?

Security is the process of maintaining the confidentiality, integrity, and availability of a system as follows:

Confidentiality Ensure only the people you want to see information can see it.

Integrity Ensure the data is what it is supposed to be.

Availability Ensure the system or data is available for use.

GE recognizes the importance of building and deploying products with these concepts in mind and encourages customers to
take appropriate care in securing their GE products and solutions.
Different sites have different needs and requirements surrounding these concepts. Follow the site's requirements when
building, deploying, and using systems, keeping in mind the impact that decisions and procedures will have on the site's
security posture.

2.2 I have a firewall. Is that enough?

Firewalls and other network security products, including Data Diodes and Intrusion Prevention Devices, can be an important
component of any security strategy. However, a strategy based solely on any single security mechanism will not be as resilient
as one that includes multiple, independent layers of security. Therefore, GE recommends taking a Defense in Depth approach
to security.

2.3 What is Defense in Depth?

Defense in Depth is the concept of using multiple, independent layers of security to raise the cost and complexity of a
successful attack. To carry out a successful attack on a system, an attacker would need to find not just a single exploitable
vulnerability, but would need to exploit vulnerabilities in each layer of defense that protects an asset. For example, if a system
is protected because it is on a network protected by a firewall, the attacker only needs to circumvent the firewall to gain
unauthorized access. However, if there is an additional layer of defense, such as a username/password authentication
requirement, the attacker would need to find a way to circumvent both the firewall and the username/password authentication.

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2.4 General Concepts
There are a number of general concepts that are used throughout this document that provide many of the building blocks used
to improve a site's security posture. The general concepts are as follows:
Authentication is determining or verifying the identity of a user or element requesting access to a resource, or requesting
that a particular action be taken.

• Example: The Microsoft® Windows® operating system typically defines a username to establish an identity for a user and
a password to verify that the user is who they claim to be.
• Example: Many communications schemes use a certificate to verify the identity of the endpoint(s) of that
communication. As part of the initiation of the communication link, one or both sides provide their certificate to verify
their identity.
Authorization is determining what identities are allowed (authorized) to access a resource or perform an action. Most
authorization schemes support multiple levels of authorization, such as a distinction between the ability to view an item
versus the ability to modify an item.

• Example: The Microsoft Windows operating system supports multiple levels of access on items (such as ReadOnly
versus ReadWrite access to a file) and a set of operating system privileges to control actions that users may take.
Access Control Lists (ACLs) are often used as a method of binding together the requester's identity with the level of
access allowed. These are defined on a per-item basis, so different items may have different ACLs.

• Example: The Microsoft Windows operating system supports ACLs on files and devices to define which users have what
access rights to those items.
• Example: The network switches support ACLs on their administrative interfaces to define which elements of the system
have the right to access the administrative functions.

Note When done at the operating system level, ACLs protect an item no matter what tool (program) is used to attempt
access - this is called authoritative security. This is a stronger level of protection than the tool determining to allow access or
not - this is called cooperative or client-based security. Cooperative security can be bypassed by using a different client to
access the resource, authoritative security cannot be bypassed as easily.

Least Privileges is the concept that each user should only be granted the access rights and privileges that they need to
perform their work function. This protects items and configurations against inadvertent changes by users, possibly because of
malware that the user has inadvertently triggered.

• Example: The Microsoft Windows operating system supports the concept of Administrator level access for making
changes to the operating system and software running on the computer. If a user is operating with Administrative access,
any malware that they trigger could alter the operating system or any program in any way that it desired. If the user is
operating with a non-administrative account they are limited in the changes they can make.
• Example: The ToolboxST* system supports a Users and Roles concept to define which operations a user is allowed to
perform, such as forcing variables, issuing alarm acknowledge, and reset commands, or downloading configurations to
controllers.
Role Based Access Control (RBAC) is the concept of a consolidation of using the user's identity (authentication) and
their allowed rights (authorization) in a manor slightly easier to maintain. An intermediate concept of a user's Role is
introduced, which defines a collection of users with shared access rights and privileges. This simplifying scheme has a
number of benefits, such as:

• Authorization (done on a per-item basis) is given not to a set of user identities, but instead to a Role - it's ACL is not a list
of usernames but a (much smaller) list of Roles. As users are added and removed from the system, the ACLs on each
item do not have to change since they were tied to the Roles and not the users, making updates faster and more efficient.
• Reporting on the members of a single Role is quick and easy compared to having to visit all items and examine their
individual ACLs.
• If a user's Role changes (their job requirements change), it is a simpler task to assign them to a new role, or to revert it
back if the change was only temporary.

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• New roles are typically easy to define as the site's operating procedures change and different classifications of users are
required or different sets of privileges are identified.
• Example: The Microsoft Windows operating system has a single security group that grants Administrative access to
computers - the Administrators group. Adding or removing a user to the Administrators group will grant or revoke the
user's administrative privileges and the individual ACLs on all files and devices does not have to be changed.
• Example: The ToolboxST system supports a Users and Roles concept, which defines the rights and privileges granted for
each Role. If a site decides to change whether the operator’s role is allowed to force variables, granting or revoking the
Force privilege to the operators role is all that is required - there is no need to change each user's privileges.

2.5 What is Hardening?

Hardening a system includes taking steps to reduce attack surfaces that may be used in an attack on a system. These steps
include removing functions that are not essential and changing system settings to help deter attacks. Each section in this
document provides information on how to help harden each component, but the following concepts apply to most products:

• Disable unused servers and services on each device.

• Create and maintain the list of users and their rights. Disable or remove a user's account as soon as the person is no longer
granted access rights to the equipment.
• Implement the site's password policies, where possible by configuring the equipment to reject passwords that do not meet
the standards automatically.
• Remove all as-shipped accounts or, if the account is to remain, change all passwords as soon as feasible during the site
commissioning process. Implement strict site policy and controls to limit the exposure of passwords.

2.6 General Recommendations

The following general recommendations should be used to improve the security posture at the site:

• Provide physical security for all devices - many, if not most devices can be compromised by an attacker that has physical
access to the device at startup/boot time or direct access to the non-volatile media that the device boots from (such as
hard drive or flash memory). Access to network equipment (switches, routers) can allow for introduction of new devices
onto the networks, including network monitoring equipment.
• Disable unused services on devices to reduce the mechanisms available for attacks.
• Wherever possible, configure the site's password requirements (length, complexity) into the devices or operating systems
to have each device enforce them automatically. If it cannot be automatically enforced it must be performed by
procedure.
• Implement RBAC wherever possible and keep the list of users and roles current. Some system components allow for
logging (auditing) failures. Use these if available, preferably logging to a centralized site Security Information and Event
Management (SIEM) (if available) for both convenience and pattern analysis across devices.
• Implement a site-wide scheme for applying software patches, especially those defined as security patches.
Limiting visibility to the control system is a strong defense-in-depth approach to help prevent attacks. This is accomplished
by using separate communications networks (Virtual Local Area Networks [VLANs]) to isolate different equipment types,
then tightly controlling the network traffic that can cross from one VLAN to another. There are various schemes and
recommendations (ISA-99, IEC-62443) that include network segmentation and should be followed when making any
networking changes or while introducing new equipment to the control system.

• Consider using a dedicated point-to-point link instead of a shared network for dedicated functions within the same
network zone. Never bridge network zones using a dedicated link, always go through a router that provides controlled
access (and optional logging).
• Consider using an additional firewall even within a network zone to add additional constraints on traffic, especially if the
traffic includes a protocol that does not support authentication.

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Notes

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3 Thin Client Security Guidelines
This chapter provides security guidelines for the secure deployment of Dell® Windows 10 Thin Client terminals.

Note Windows Thin Clients must undergo a hardening procedure that includes joining them to the network domain,
application of Thin Client group policy, and removal of unused software. Refer to the section Configuration Hardening for
more information.

3.1 Security Capabilities

3.1.1 User Authentication and Authorization
Under normal operation, users are automatically logged in to the Thin Client terminal local User account. The automatic
logon sequence does not require the user to enter a password. The local User account provides user mode access to the Thin
Client terminal. User mode provides access to pre-configured Remote Desktop (RDP) connections that provide the interface
to the Virtual Machines (VMs) running on the Control Server, while restricting the user’s ability to view or change the Thin
Client terminal’s configuration.
Administrative mode is required to make changes to the Thin Client terminal and to view configuration and debugging
information. Full administrative access is provided through the local Administrator account. Domain Administrators have
privileges to make configuration changes; however, some functions such as enabling or disabling the Write Filter require the
use of the local Administrator account.
Adhere to the following guidelines:

• Maintain local account passwords according to site policy. Complexity and reuse of rules is not enforced by the
equipment and must be addressed by procedure.
• Users should be provided with local account passwords according to their roles and responsibilities. Administrative level
accounts to the Thin Client terminal should only be provided to those who require them to perform their job function.
• Make sure to change all local account factory default passwords as soon as possible during the site commissioning
process.

3.1.2 Access Control Mechanisms

Thin Client terminal local accounts are granted different levels of access to the Thin Client terminal. The assigned privilege
levels control the level of access to Thin Client terminal subsystems, including the ability to view and modify the Thin Client
terminal configuration. User Account access privileges are as follows:

• Local User accounts provide normal user level access to the Thin Client terminal. This account is used unless the
automatic login sequence is overridden by the user.
• Local Administrator accounts provide administrative access to the Thin Client terminal. This account is used to modify
the Thin Client terminal configuration. Use of this account password should be limited to those with the requirement to
re-configure or troubleshoot the Thin Client terminal.

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3.1.3 Write Filter
Thin Client terminals employ a Write Filter that is active during normal operation. The Write Filter directs all file system
writes to a temporary cache. All changes are discarded when the Thin Client terminal is rebooted, restoring the terminal to its
original state. Only users with Administrative privileges can disable the Write Filter and make persistent changes to the Thin
Client terminal. The Write Filter should only be disabled long enough to make necessary changes and then immediately
enabled. For more information, refer to the Control Server Dell Windows 10 Thin Client HMI System Support and
Maintenance Guide (GEH-6864), the section Write Filter.

3.2 Communication Requirements

3.2.1 Network Connectivity
Thin Client terminals have a single Ethernet connection to the Plant Data Highway (PDH) network. The PDH is used to
establish a connection and open a session on a host computer. Adhere to the following guidelines:

• Thin Client terminals should never be connected to the UDH.

• Thin Client terminals should never bridge multiple networks - only one network should ever be connected.
• If there are multiple Thin Client terminals located together (such as in a central control room), each Thin Client terminal
should be connected to a different network switch - typically one would be connected to each switch in a redundant
switch pair.
• Consider pulling two Ethernet cables (one from each switch in a redundant pair) to the location of the Thin Client
terminal. In case of network or switch failure, the cable on the Thin Client terminal could quickly be replaced (the
existing connection unplugged and the other connection plugged in) to re-establish PDH connectivity. After the network
issue is addressed, the connection should be reverted so that the Thin Client terminals are once again connected to
different switches.
Thin Client terminals are designed to be used to establish connections within the local control zone (specifically to hosts on
the PDH). Adhere to the following guidelines:

• Do not configure the Thin Client terminals with a default gateway address or router address that would allow
communications outside of the local network.
• If external routing is a site requirement, the use of routers and/or firewalls with appropriate rules to limit the addresses
and protocols allowed to pass should be implemented.
Thin Client terminals are typically configured to use the DHCP to reserve an IP address. Since loss of DHCP servers can
prevent the Thin Client terminal from obtaining an IP address, or renewing it when the lease has expired, the lease times
configured into the DHCP servers is purposefully longer than typical industry standards. The long lease should not cause
problems because the number of Thin Client terminals is typically an order of magnitude less than the pool of IP addresses,
and Thin Client terminals do not tend to come and go from the site to drain the address pool.

• If the site has many Thin Client terminals joining and leaving the network (an unlikely event), a reduction in the DHCP
lease period may be necessary. An option may be to script or manually clean out unused but not-yet-expired device leases
if the IP address pool starts to grow low. This would be an unusual condition.
• If changes are made to the DHCP lease time, it may be worthwhile to consider its relationship to the Windows Cached
Credential expiration period (currently 31 days in Microsoft Windows operating systems).
• Static addresses that do not conflict with other site equipment should be available in case manual assignment of Thin
Client terminal IP addresses is required during a long-term failure of the DHCP servers. These addresses should be
outside of the DHCP address pool space to prevent conflicts when the DHCP servers are put back into service.

3.2.2 Ports and Services List

Port Protocol Service Description
135 TCP msrpc Windows Remote Procedure Call (RPC)
5985 TCP wsman Windows PowerShell remote session port

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3.3 Configuration Hardening
Windows Thin Clients must undergo a hardening procedure that includes joining them to the network domain, application of
Thin Client group policy, and removal of unused software. Thin Clients must be hardened before they can be applied to and
used in the Control Server system. Refer to the Control Server Dell Windows 10 Thin Client HMI System Support and
Maintenance Guide (GEH-6864) for further details.

3.3.1 Domain Membership

The Control Server system design requires the Windows Thin clients to join the network domain for operational and security
reasons. Joining the domain applies Thin Client Group Policy settings that are critical to Thin Client security.

3.3.2 Unused Software Removal

The Windows Thin Clients come from the manufacturer with software that is not used in the Control Server system. Unused
software must be removed from the Thin Client to reduce the attack surface presented by the Thin Client. Refer to How to
Remove Unused Software from Control Server Dell Windows 10 Thin Client HMI Systems (GHT-200059) for further details.

3.3.3 USB Port

Most Thin Client terminals provide USB ports for both local usage (re-flash the local BIOS if needed - the unbrick procedure)
and for sharing the USB drive with a host to make it available within the current host session. Adhere to the following
guidelines:

• Verify the source and integrity of media before placing it into site equipment.
− Software distributions should be verified by whichever method the manufacturer supports, such as signed installation
files or a separate website that lists the hashes for the files on the distribution media.
− Use of password protected media does not ensure that the media is free from malicious software, but it does help
prevent the media from being infected while left unattended.
• Consider using hardware USB port locks to prevent access to USB ports, and/or pull the front or rear USB port
connectors from the motherboard.
• Consider blocking the use of USB ports on all but one or two Thin Client terminals (often the ones associated with
Engineering Workstations) to limit USB exposure, then use the internal network to transfer the information to computers
that need it.
• Make sure the AutoRun option in the host operating system is disabled to help prevent software from being automatically
run when the media is inserted or the session connection is established.
• Set secure passwords for each local User account in each Thin Client terminal and limit exposure to only those who
require them as described in the section User Authentication and Authorization.

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Notes

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Glossary of Terms
DHCP A protocol that allows a device to request (lease) an IP address on the network from a DHCP server. The device will
have exclusive use of that IP address until it releases the address or the least time expires.

Domain Controller A server that provides identity management functions. It holds a database of the users defined and
the groups that those users are members of that are used to control user access to various resources.

Firewall A device that connects between multiple networks to limit the types of traffic that are allowed to flow between the
networks.

Management Data Highway (MDH) A network containing devices that need to be monitored but not controlled. Traffic
from the Monitoring Zone (MDH) to the Control Zone (PDH and UDH) must go through a router with access lists that limits
the traffic allowed.

PDH A network used to transport non-critical information within the Control Zone. Traffic to the Control Zone (PDH and
UDH) from outside the Control Zone must go through a router with access lists that limits the traffic allowed.

SIEM A server that collects event messages from various other subsystems to provide a central location for analyzing and
viewing these events.

Router (Network) A networking device that is typically connected to multiple different networks with rules that define
what message traffic is allowed to cross from one network to a different network.

Switch (Network) A networking device that connects multiple devices together to form an Ethernet Network.

UDH A network that is used to transport critical control information within the Control Zone. Traffic to the Control Zone
(PDH and UDH) from outside the Control Zone must go through a router with access lists that limit the allowed traffic.

VLAN A mechanism for logically connecting multiple devices into one network within a switch or router. Networking
equipment typically support multiple different VLANs within a single switch to provide isolation of network segments within
a single switch. VLANs include the UDH, PDH, MDH, MGH, and DMZ.

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