owe a huge debt of gratitude to Wayne Pecena of Texas A&M University for his expert review of most of the written material in this book. Thanks, Wayne, for your kind, wise and knowledgeable input into the book, particularly your sage advice to small organizations.
I’m incredibly grateful to the other cybersecurity experts who lent their experience to the Voices of Experience commentary throughout the book, including Patrick Miller, Lesley Carhart, Jason Boswell, and Casey Ellis. Your generosity will help your peers and other IT professionals to make their organizations more secure.
Finally, thanks to the countless other cybersecurity experts who I have interviewed over the years. Your contributions to helping people understand how to apply complex risk management concepts in the real world are invaluable contributions to the field. Without you, this book would not be possible.
Cynthia Brumfield
May 2021
I would first thank Cynthia for bringing me into this project. My hope has always been to see the NIST Cybersecurity Framework adopted by any organization looking to better their security posture on a well-established national standard. This book will allow that to happen. I would also like to thank those CISOs that lent their Voices of Experience to bring out their practitioners’ views: Omer Singer, Bill Roberts, Joe Klein, Helen Patton, Sounil Yu, Gary Hayslip, Mike Waters, and Eric Hussey. Lastly, thank you to my wife Kim and daughter Juli for all your support with everything we do.
Brian Haugli
May 2021
Preface – Overview of the NIST Framework
The National Institute of Standards and Technology (NIST), located in Gaithersburg, MD, is a US Department of Commerce division. It is assigned the job of promoting innovation and industrial competitiveness. It is a research organization filled with some of the world’s leading scientists and has produced many Nobel Prize winners.
NIST has a wide-ranging mandate: develop federal patents, oversee over 1,300 Standard Reference Materials, run a scientific laboratory in Boulder, CO, and pursue innovation in encryption technologies, among other significant efforts. NIST is primarily a scientific and engineering organization and, as such, produces patents, technical breakthroughs, documentation, and recommendations through extensive consultation with experts in various areas. This scientific consensus approach often has impressive results that can be difficult for non-specialists to understand or apply.
The NIST Cybersecurity Framework resulted from an intensive one-year effort to synthesize cybersecurity experts’ best thinking into a single “framework of frameworks” that can assure superior risk management. It’s well-understood in the cybersecurity field that risks are constant and that the best approach to organizational cybersecurity is to manage those risks because no one can eliminate them.
The NIST Framework attempts to incorporate all the best various risk management and remediation practices into one coherent whole, an ambitious goal in the complex cybersecurity field. It is a multi-layered, spoke-and-wheel collection of ideas grouped along logical lines.
The Framework is conceptual and not technical, making it a challenge for many organizations to apply in the real world. It doesn’t help that NIST specifically avoided any technical recommendations when developing the Framework. NIST instead chose to map its recommendations to a host of standards, or informative references, designed in-house and at other standards-setting bodies.
Despite its growing use among leading corporations, government offices, and non-profit organizations in the United States and worldwide, many non-cybersecurity professionals, and even some cybersecurity specialists, struggle with the practical application of the NIST Framework.
The following summary provides a broad overview of what the Framework is and how it’s structured. Keep in mind that the rest of the book focuses on the much-needed practical guidance on applying the NIST Framework, which we hope even non-cybersecurity professionals will grasp and find useful.
BACKGROUND ON THE FRAMEWORK
In the face of growing concerns over the prospect of a devastating cyberattack on US critical infrastructure, President Barack Obama issued on February 12, 2013, Executive Order (EO) 13636 “Improving Critical Infrastructure Cybersecurity.”1 The EO aimed to create a “partnership with the owners and operators of critical infrastructure to improve cybersecurity information sharing and collaboratively develop and implement risk-based standards.” To achieve that objective, the EO mandated that NIST develop within one year “a voluntary risk-based Cybersecurity Framework, a set of industry standards and best practices to help organizations manage cybersecurity risks.”
To hammer out the Framework, NIST hosted five workshops at multiple universities involving thousands of domestic and international private- and government-sector participants. Finally, on February 12, 2014, NIST issued the Framework for Improving Critical Infrastructure Cybersecurity.2 The Department of Homeland Security (DHS) currently considers 16 sectors to be critical infrastructure sectors, encompassing information technology, financial services, energy, communications, manufacturing, and many other central services.3 However, NIST hopes that the Framework will be helpful to all organizations and anticipates that its application will extend beyond critical infrastructure.
Underscoring the “living” nature of the Framework, on April 16, 2018, NIST issued an update, Version 1.1.4 The updated Framework features several additional subcategories, including an expansive new set of subcategories dealing with Supply Chain Risk, a timely addition as the protection of digital supply chains has taken center stage due to some recent damaging and high-profile supply chain attacks.
In developing the Framework, NIST wanted to ensure maximum flexibility of application. The final document is industry- and technology-neutral. It encompasses hundreds of standards. It is also international in scope.
NIST stresses that the Framework is not intended to replace any organization’s existing cybersecurity program but is a tool to strengthen existing practices. Suppose an organization does not have a cybersecurity risk management program or set of cybersecurity practices in place? In that case, the Framework should serve as a good starting point for developing that program or those practices.
FRAMEWORK BASED ON RISK MANAGEMENT
NIST premised the entire Framework on the concept of risk management, which is “the ongoing process of identifying, assessing, and responding to risk,” an approach that provides a dynamic implementation of the Framework’s recommendations. Under a risk management approach, “organizations may choose to handle risk in different ways, including mitigating the risk, transferring the risk, avoiding the risk, or accepting the risk, depending on the potential impact to the delivery of critical services.”5
The Framework consists of three parts: The Framework Core, the Framework Implementation, and the Framework Profile Tiers. The purpose of these three parts is to provide a “common language” that all organizations can use to understand, manage, and communicate their cybersecurity initiatives, both internally and externally, and can scale down or up to various parts of an organization as needed.
THE FRAMEWORK CORE
The Framework Core is a set of activities aimed at organizing cybersecurity initiatives to achieve specific outcomes. The Core has five functions: Identify, Protect, Detect, Respond, and Recover (Figure 0.1).
