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FITSP-M
Module 3
Risk Management Framework
Leadership
“…Through the process of risk management, leaders must consider
risk to U.S. interests from adversaries using cyberspace to their
advantage and from our own efforts to employ the global nature of
cyberspace to achieve objectives in military, intelligence, and business
operations… “
- The National Strategy For Cyberspace Operations
Office Of The Chairman, Joint Chiefs Of Staff, U.S. Department
Of Defense
FITSP-M Exam Module Objectives
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Application Security
Contingency Planning
Data Security
Planning
Risk Assessment
Security Assessments and Authorization
Risk Management Framework
Overview
 Section A: SP 800-37r1
– Evolution of Risk Management
– International and National Standards
– Components of Risk Management
 Section B: Risk Management Framework (RMF)
– Characteristics of RMF
– The Fundamentals of RMF
 Section C: Roles & Responsibilities
 Section D: Steps in the RMF Process
Section A
SP 800-37R1 - GUIDE FOR APPLYING THE RISK
MANAGEMENT FRAMEWORK TO FEDERAL
INFORMATION SYSTEMS
Evolution of Risk Management
 SP 800-37 updated Revision 1
From Guidelines for C&A of Federal Information Systems
to Guide for Applying the Risk Management Framework
to Federal Information Systems: A Security Life Cycle
Approach
 SP 800-39 supersedes SP 800-30
From Risk Management Guide for Information
Technology Systems to Managing Information Security
Risk Organization, Mission and Information System View
Risk Management Approach
Risk Management Redefined
Harmonization of International and
National Standards
 ISO/IEC 31000 - Risk management – Principles and
guidelines
 ISO/IEC 31010 - Risk management – Risk assessment
techniques
 ISO/IEC 27001 - Information technology – Security
techniques – Information security management systems
– Requirements
 ISO/IEC 27005 - Information technology – Security
techniques – Information security risk management
systems
Section B
SP 800-37R1 – RISK MANAGEMENT
FRAMEWORK (RMF)
Risk Management Framework
and the SDLC
Phase
Initiation
Traditional C&A
Task
Subtask
1: Preparation. Information System Description
Security Categorization
Risk Management Framework
Step Task
1.2 Information System Description
1.1 Security Categorization
1.3 Information System Registration
Threat Identification
Vulnerability Identification
Security Control Identification
2.1 Common Control Identification
2.2 Security Control Selection
3.1 Security Control Implementation
3.2 Security Control Documentation
2.3 Monitoring Strategy
Initial Risk Determination
2: Notification Notification
Planning And Resources
3: SSP
Analysis,
Update, And
Acceptance.
Security Categorization Review
System Security Plan Analysis
System Security Plan Update
System Security Plan Acceptance 2.4 Security Plan Approval
Continuous Monitoring
Accreditation Certification
Traditional C&A
Phase Task
Subtask
4: Security
Documentation Supporting Materials
Control
Methods And Procedures
Assessment
Security Assessment
Security Assessment Report
5: Security
Findings And Recommendations
Certification
System Security Plan Update
Documentation POAM Preparation
Accreditation Package Assembly
6: Accreditation Final Risk Determination
Decision
Risk Acceptability
7: Security
Security Accreditation Package
Accreditation Transmission
Documentation System Security Plan Update
8: Configuration Documentation Of Information
Management System Changes
Security Impact Analysis
9: Control
Security Control Selection
Monitoring
Selected Security Control Assessment
Risk Management Framework
Step Task
4.1
4.2
4.3
4.4
Assessment Preparation
Security Control Assessment
Security Assessment Report
Remediation Actions
5.1
5.2
5.3
5.4
Plan of Action and Milestones
Security Authorization Package
Risk Determination
Risk Acceptance
6.1 Information System and
Environment Changes
2.3 Monitoring Strategy (sorta)
6.2 Ongoing Security Control
Assessments
10: Status
System Security Plan Update
6.4 Key Updates
Reporting And POAM Update
6.3 Ongoing Remediation Actions
Documentation Status Reporting
6.5 Security Status Reporting
RMF 6.6
Ongoing Risk Determination and Acceptance
RMF 6.7
Information System Removal and Decommissioning
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Fundamentals of RMF
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Integrated Organization-wide Risk Management
System Development Life Cycle
Information System Boundaries
Security Control Allocation
Roles & Responsibilities
Integrated Organization-Wide Risk
Management
System Development Life Cycle
 Phases of the SDLC
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Initiation
Development/Acquisition
Implementation
Operation/Maintenance
Disposal
 Security Requirements
 Integrated Project Teams
 Reusing Information
RMF Task
1.1
Security Categorization
Initiation (concept/requirements definition)
1.2
Information System
Description
Initiation (concept/requirements definition)
1.3
Information System
Registration
2.1
Common Control Identification
Initiation (concept/requirements definition)
2.2
2.3
2.4
3.1
Security Control Selection
Monitoring Strategy
Security Plan Approval
Security Control
Implementation
Initiation (concept/requirements definition)
Initiation (concept/requirements definition)
Development/Acquisition
Development/Acquisition
4.1
4.2
4.3
4.4
Assessment Preparation
Security Control Assessment
Security Assessment Report
Remediation Actions
Categorize
Select
Implement
Security Control
Documentation
ssess
3.2
Phase
Step
Task
SDLC
Initiation (concept/requirements definition)
Implementation
Development/Acquisition
Development/Acquisition
Development/Acquisition
Development/Acquisition
Development/Acquisition
Implementation
Implementation
Implementation
Implementation
Implementation
5.1
Plan of Action and Milestones
5.2
Security Authorization Package
5.3
Risk Determination
5.4
Risk Acceptance
6.1
System and Environment Changes
6.2
Ongoing Security Control
Assessments
Operation/Maintenance.
6.3
Ongoing Remediation Actions
Operation/Maintenance.
6.4
Key Updates
Operation/Maintenance.
6.5
Security Status Reporting
Operation/Maintenance.
6.6
Ongoing Risk Determination and
Acceptance
Operation/Maintenance.
6.7
System Decommissioning
Monitor
Authorize
Implementation
Implementation
Implementation
Implementation
Operation/Maintenance.
Disposal
Knowledge Check
 Which NIST special publication supersedes SP 800-30
as the source for guidance on risk management?
 What are the four components of the new Risk Management Model?
 Give an example of Tier 1 risk.
 Which phase of the SDLC should define security requirements?
Development/Acquisition
Initiation
Disposal
Implementation
Operation/Maintenance.
RMF 1 - Security Categorization
RMF 2 - Security Control Selection
RMF 3 - Security Control Implementation
RMF 4 - Security Control Assessment
RMF 5 - Security Authorization
RMF 6 - Security Control Monitoring
Place the SDLC
Phase within
the appropriate
RMF step
Information System Boundaries
 Establishing Information System Boundaries
 Boundaries for Complex Information Systems
 Changing Technologies and the Effect on Information
System Boundaries
Changing Technologies Effect on
Information System Boundaries
 Dynamic Subsystems
– Net-centric
– Service-oriented Architecture
– Cloud Computing
 External Subsystems
– Contractor Systems
 Trust Relationships
FedRAMP
 Federal Risk and Authorization Management Program
 Accelerate the adoption of secure cloud solutions
through reuse of assessments and authorizations
 Increase confidence in security of cloud solutions
 Achieve consistent security authorizations using a
baseline set of agreed upon standards and accredited
independent third party assessment organizations
 Ensure consistent application of existing security
practices Increase confidence in security assessments
 Increase confidence in security assessments
 Increase automation and near real-time data for
continuous monitoring
Security Control Allocation
Options
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System-specific
Common
Hybrid
Inherited
Section C
ROLES & RESPONSIBILITIES
Organization-wide
RM Strategy/ New Roles
Risk Executive (function)
Information Security Architect
Information System Security Engineer
RMF Roles & Responsibilities
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Head Of Agency (Chief Executive Officer)
Risk Executive (Function)
Chief Information Officer
Information Owner/Steward
Senior Information Security Officer
Authorizing Official
Authorizing Official Designated Representative
Common Control Provider
Information System Owner
Information System Security Officer
Information Security Architect
Information System Security Engineer
Security Control Assessor
Head Of Agency (Chief Executive
Officer)
 Highest-level Senior Official
 Overall Responsibility
– Information & Information Systems
 Security Integrated with Strategic and Operational
Processes
 Sufficiently Trained Personnel
 Establishes Appropriate Accountability
 Provides Active Support
 Oversight of Monitoring
Risk Executive (Function)
 Ensures Risk-related Considerations are Organizationwide
 Consistent Across Organization
 Coordinates with Senior Leadership to:
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Provide Comprehensive Approach
Develop a Risk Management Strategy
Facilitate Sharing of Risk Information
Provides Oversight
Provide Forum to Consider All Risk Sources
Chief Information Officer
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Designating Senior Information Security Officer
Information Security Policies
Ensuring Adequately Trained Personnel
Assisting Senior Officials with Their Security
Responsibilities
 Appropriate Allocation of Resources
 FISMA Reporting
Information Owner/Steward
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Authority For Specified Information
May or May Not Be the Same as System Owner
Provide Input to Information System Owners
Rules of Behavior
Single System May Contain Information from Multiple
Information Owners/Stewards
Senior Information Security Officer
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Carries Out the CIO FISMA Responsibilities
Primary Liaison for CIO to Organization’s Senior Officials
Possesses Professional Qualifications
Heads Office that Conducts FISMA Reporting
Authorizing Official
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Formally Assumes Responsibility
Budgetary Oversight
Accountable for Security Risks
Senior Management Position
Approve Security Plans and Plan of Actions and
Milestones (POAMs)
 Information System May Involve Multiple Authorizing
Officials
 Authorizing Official Designated Representative
Common Control Provider
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Documenting Common Controls
Validating Required Control Assessments
Documenting Assessment Findings in SAR
Producing POAMs
Information System Owner
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Aka Program Manager
Focal Point for Information System (IS)
Responsible for IS throughout the SDLC
Addressing The Operational Interests of User
Community
Ensuring Compliance with Information Security
Requirements
SSP, Development and Maintenance
Deciding Who Has Access to System
Works with Assessor to Remediate Deficiencies
Information System Security
Officer
 Ensures Appropriate Security Posture
 Principal Advisor
 Day-to-Day Security Operations
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Environmental
Physical
Personnel
Incident Handling
Training and Awareness
 Policies and Procedures
 Active System Monitoring
Information Security Architect
 Security Requirements Adequately Addressed In Enterprise
Architecture
– Reference Models
– Segment And Solution Architectures
– Resulting Information Systems
 Liaison Between The Enterprise Architect And Information
System Security Engineer
 Advisor to Senior Officials
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System Boundaries
Assessing Severity of Deficiencies
POAMs
Risk Mitigation Approaches
Security Alerts
Information System Security
Engineer
Information System Security Engineering: A process that
captures and refines information security requirements
and ensures that the requirements are effectively
integrated into information technology component
products and information systems through purposeful
security architecting, design, development, and
configuration.
 Part of the Development Team
 Employ Security Control Best Practices
 Coordinate Security-related Activities
Security Control Assessor
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Conduct SSP Assessments
Conduct Control Assessments
Provide Assessment of Deficiencies
Recommend Corrective Action
Prepare SAR (Security Assessment Report)
 Assessor Independence
– Unbiased Assessment Process
– Objective Information for Risk Determination
Knowledge Check
 What establishes the scope of protection for organizational
information systems?
 What is the difference between a dynamic subsystem and an
external subsystem.
 What program uses a “do once, use many times” framework
that will save cost, time, and staff required to conduct
redundant agency security assessments.
 Which RMF role helps to ensure that risk-related
considerations for individual information systems are viewed
from an organization-wide perspective?
 Which RMF role is responsible for ensuring that the
information security requirements necessary to protect the
organization’s core missions and business processes are
adequately addressed in all aspects of enterprise
architecture?
Section D
STEPS IN THE RMF PROCESS
The Risk Management Process
 Well-defined, Risk-related Tasks
– Sequential
– Iterative
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Clearly Defined Roles
Tight Integration with SDLC
Milestone Checkpoints
Level of Effort
– Importance/Criticality of a System
– Categorization, The First Step…
Steps of the RMF
 Step 1 – Categorize Information System
 Step 2 – Select Security Controls
 Step 3 – Implement Security Controls
 Step 4 – Assess Security Controls
 Step 5 – Authorize Information System
 Step 6 – Monitor Security Controls
Gap Analysis
Step 1 – Categorize Information
System
 Security Categorization
 Information System Description
 Information System Registration
Step 2 – Select Security Controls
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Common Control Identification
Security Control Selection
Monitoring Strategy
Security Plan Approval
Step 3 – Implement Security
Controls
 Security Control Implementation
 Security Control Documentation
– Planned Inputs
– Expected Behavior
– Expected Outputs
Step 4 – Assess Security Controls
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Assessment Preparation
Security Control Assessment
Security Assessment Report
Remediation Actions
Step 5 – Authorize Information
System
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Plan Of Action And Milestones
Security Authorization Package
Risk Determination
Risk Acceptance
Step 6 – Monitor Security Controls
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Information System And Environment Changes
Ongoing Security Control Assessments
Ongoing Remediation Actions
Key Updates
Security Status Reporting
Ongoing Risk Determination And Acceptance
Information System Removal And Decommissioning
Risk Management Framework
Key Concepts & Vocabulary
 Section A: SP 800-37r1
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Evolution of Risk Management
Harmonization of International and National Standards
Components of Risk Management
Multitiered Risk Management
 Section B: Risk Management Framework (RMF)
– Characteristics of RMF
– The Fundamentals of RMF
– Steps in the RMF Process
Questions?
Next Module: Gap Analysis