packages/knowledge/vertical/energy-nerc-cip.yaml

# Vertical Governance Policy: Energy — NERC CIP / FERC Order 887 / DOE AI Strategy
# Doctrine v6 | R3 Adversarial Receipts
# Last revised: 2025-07

schema_version: "1.0.0"
vertical: energy
regime: NERC-CIP/FERC-887/DOE-AI
effective_date: "2025-07-01"
jurisdiction: US-FERC/NERC

meta:
  title: "Energy AI Governance Policy — NERC CIP / FERC Order 887 Alignment"
  description: >
    Maps NERC Critical Infrastructure Protection (CIP) standards and FERC
    Order 887 (Emergency Preparedness) to Doctrine v6 Λ-axes for AI systems
    used in bulk electric system (BES) operations and grid management.
  authority: "NERC CIP-002 through CIP-014; FERC Order No. 887 (Jan 2023); DOE AI Strategy (2024); 18 CFR § 40"
  receipt_chain_required: true
  merkle_root_algorithm: SHA3-256
  bes_impact: HIGH

regulatory_clauses:
  - clause_id: NERC-CIP-007-6-R4
    title: "System Security Management — Security Event Monitoring"
    citation: "NERC CIP-007-6 R4; 18 CFR § 40.7"
    full_ref: "NERC CIP-007-6 Requirement R4 — Security event monitoring for BES Cyber Systems"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 1.0
        enforcement: mandatory
        rationale: >
          AI anomaly detection on OT/ICS networks must generate security event
          receipts within 15 minutes of detection; Merkle DAG ensures log integrity.
      - axis: Λ7
        label: Auditability
        weight: 0.95
        enforcement: mandatory

  - clause_id: NERC-CIP-005-7-R1
    title: "Electronic Security Perimeter"
    citation: "NERC CIP-005-7 R1; 18 CFR § 40.5"
    full_ref: "NERC CIP-005-7 Requirement R1 — Identify and protect Electronic Security Perimeters"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 0.98
        enforcement: mandatory
        rationale: >
          AI systems accessing BES Cyber Systems must authenticate via ESP
          boundary with receipt-logged access events.
      - axis: Λ10
        label: Sovereignty
        weight: 0.85
        enforcement: mandatory

  - clause_id: NERC-CIP-013-2-R1
    title: "Supply Chain Risk Management"
    citation: "NERC CIP-013-2 R1; FERC Order 850"
    full_ref: "NERC CIP-013-2 Requirement R1 — Supply chain risk management plan for industrial control systems"
    lambda_axes:
      - axis: Λ8
        label: Robustness
        weight: 0.90
        enforcement: mandatory
        rationale: >
          AI model weights sourced from third parties must have SBOM receipts;
          supply chain provenance verified before deployment to BES systems.
      - axis: Λ2
        label: Accountability
        weight: 0.85
        enforcement: mandatory

  - clause_id: FERC-ORDER-887
    title: "Emergency Preparedness — Extreme Cold Weather"
    citation: "FERC Order No. 887 (Jan 6 2023); 18 CFR § 40.1"
    full_ref: "FERC Order No. 887 — Reliability Standards for Transmission System Emergency Preparedness and Operations"
    lambda_axes:
      - axis: Λ5
        label: Safety
        weight: 0.92
        enforcement: mandatory
        rationale: >
          AI load forecasting must account for extreme weather scenarios;
          scenario coverage logged in receipt chain with meteorological data hash.
      - axis: Λ8
        label: Robustness
        weight: 0.88
        enforcement: mandatory

  - clause_id: NERC-CIP-010-4-R1
    title: "Configuration Change Management"
    citation: "NERC CIP-010-4 R1"
    full_ref: "NERC CIP-010-4 Requirement R1 — Configuration change management and vulnerability assessments"
    lambda_axes:
      - axis: Λ7
        label: Auditability
        weight: 0.95
        enforcement: mandatory
        rationale: >
          AI model updates to BES operational systems require configuration
          baseline comparison; diff receipts committed pre/post update.
      - axis: Λ1
        label: Transparency
        weight: 0.80
        enforcement: mandatory

  - clause_id: NERC-CIP-003-8-R2
    title: "Security Management Controls — Transient Devices"
    citation: "NERC CIP-003-8 R2; Attachment 1"
    full_ref: "NERC CIP-003-8 Requirement R2 — Transient Cyber Assets and Removable Media"
    lambda_axes:
      - axis: Λ6
        label: Security
        weight: 0.88
        enforcement: mandatory
      - axis: Λ3
        label: Privacy
        weight: 0.65
        enforcement: recommended
        rationale: >
          AI edge inference devices must be sanitised before reuse; wipe
          confirmation receipts logged in chain.

  - clause_id: DOE-AI-STRATEGY-2024-GRID
    title: "DOE AI Strategy — Grid Modernisation AI Applications"
    citation: "DOE AI Strategy (2024) § 3.2; DOE FOA-2986"
    full_ref: "U.S. DOE Artificial Intelligence Strategy (2024) § 3.2 — Grid modernisation and energy security applications"
    lambda_axes:
      - axis: Λ4
        label: Fairness
        weight: 0.70
        enforcement: recommended
        rationale: >
          AI demand response systems must not disproportionately curtail service
          to disadvantaged communities; equity receipts with census-tract metadata.
      - axis: Λ9
        label: Explainability
        weight: 0.78
        enforcement: recommended

  - clause_id: NERC-CIP-009-6-R1
    title: "Recovery Plans for BES Cyber Systems"
    citation: "NERC CIP-009-6 R1"
    full_ref: "NERC CIP-009-6 Requirement R1 — Recovery plans for BES Cyber Systems: conditions, roles, responsibilities"
    lambda_axes:
      - axis: Λ5
        label: Safety
        weight: 0.95
        enforcement: mandatory
        rationale: >
          AI-assisted grid restoration must have human override capability;
          restoration decision receipts must include operator confirmation token.
      - axis: Λ2
        label: Accountability
        weight: 0.88
        enforcement: mandatory

compliance_thresholds:
  minimum_lambda_coverage: 7
  mandatory_axes: [Λ5, Λ6, Λ7]
  receipt_retention_days: 2190        # 6 years NERC CIP
  max_anomaly_detection_latency_s: 900    # 15 min CIP-007-6
  bes_impact_level: HIGH

receipt_chain:
  algorithm: SHA3-256
  chaining: merkle_dag
  quorum: 2-of-3
  nodes: [primary, air-gapped-ot, regulatory-archive]
  air_gapped_backup: true