CERT Resilience Management Model, Version 1.0

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COMPLIANCEEnterprisePurposeThe purpose of Compliance is to ensure awareness of and compliance with an establishedset of relevant internal and external guidelines, standards, practices, policies, regulations,and legislation, and other obligations (such as contracts and service level agreements)related to managing operational resilience.Introductory NotesRegulations, standards, and guidelines are developed and issued by a variety ofgovernmental, regulatory, and industry bodies. Their purpose is to enforce (and reinforce)acceptable levels of behavior to ensure that organizations and the services they provide tocitizens and customers remain viable and sustainable. In particular, the evolving importanceof security and resilience has resulted in a new wave of regulatory bodies and regulationsthat seek not only to ensure organizational survivability but the survivability of entireindustries and to limit undesirable events that have the potential to affect the socioeconomicstructure of the global economy.“Compliance” characterizes the activities that the organization performs to identify theinternal and external guidelines, standards, practices, policies, regulations, and legislation towhich it is subject and to comply with these obligations in an orderly, systematic, efficient,timely, and accurate manner. Compliance management addresses the policies and practicesin the organization that support the satisfaction of compliance obligations as an enterprisewideactivity that involves more than just legal and administrative activities.Organizations typically focus their efforts on compliance with externally directed obligations,but compliance processes also often address compliance with internally generated standardsand policies such as the organization’s information security policy and internal controlsystem. In addition, compliance is not only important for reinforcing appropriate behaviors; itis also a primary tool in governing the security and resilience activities in the organizationand ensuring they are effectively meeting their goals and objectives.The Compliance process area addresses the organization’s ability to establish a complianceplan and program, to identify relevant regulations, standards, and guidelines (to which it mustcomply), and to develop and implement the proper procedures and activities to ensurecompliance in a timely and accurate manner. Compliance management requires theorganization to understand its obligations and to collect relevant data in a manner thatsupports and enables the satisfaction of obligations in a way that meets the organization’srequirements but does not divert focus from its core service delivery.112 | CMU/SEI-2010-TR-012
Related Process AreasA primary component of the compliance process—governance and oversight—is addressedin the Enterprise Focus process area.Addressing the risks of non-compliance and the risks related to weaknesses identified in thecompliance process is performed in the Risk Management process area.The monitor process, which may provide information about the effectiveness of internalcontrols for compliance purposes, is addressed in the Monitoring process area.Summary of Specific Goals and PracticesGoalsCOMP:SG1 Prepare for ComplianceManagementCOMP:SG2 Establish Compliance ObligationsCOMP:SG3 Demonstrate Satisfaction ofCompliance ObligationsCOMP:SG4 Monitor Compliance ActivitiesPracticesCOMP:SG1.SP1 Establish a Compliance PlanCOMP:SG1.SP2 Establish a Compliance ProgramCOMP:SG1.SP3 Establish Compliance Guidelines and StandardsCOMP:SG2.SP1 Identify Compliance ObligationsCOMP:SG2.SP2 Analyze ObligationsCOMP:SG2.SP3 Establish Ownership for Meeting ObligationsCOMP:SG3.SP1 Collect and Validate Compliance DataCOMP:SG3.SP2 Demonstrate the Extent of Compliance ObligationSatisfactionCOMP:SG3.SP3 Remediate Areas of Non-ComplianceCOMP:SG4.SP1 Evaluate Compliance ActivitiesSpecific Practices by GoalCOMP:SG1 Prepare for Compliance ManagementThe organizational environment and processes for identifying, satisfying, andmonitoring compliance obligations are established.COMP:SG1.SP1 Establish a Compliance PlanA strategic plan for managing compliance to obligations isestablished.COMP:SG1.SP2 Establish a Compliance ProgramA program is established to carry out the activities and practices ofthe compliance plan.COMP:SG1.SP3 Establish Compliance Guidelines and StandardsThe guidelines and standards for satisfying compliance obligationsare established and communicated.113 | CMU/SEI-2010-TR-012
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CERT ® Resilience Management Model
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Table of ContentsPrefaceAbstractvix
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List of FiguresFigure 1: The Three
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List of TablesTable 1: Process Area
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AcknowledgementsThis report is the
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The effect of increased levels of c
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Part One: About the CERT ® Resilie
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1 IntroductionOperational resilienc
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experience, organizations often ask
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continuity management, and IT opera
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As a descriptive model, CERT-RMM fo
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Table 1:Process Areas in CERT-RMM a
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their ability to transform the way
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2 Understanding Key Concepts in CER
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Historically and often still today,
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Operational resilience addresses th
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esilience of services is key for mi
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Figure 7: Impact of Disrupted Asset
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owners are responsible for ensuring
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into the “security” function bu
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Figure 12: Software/System Asset Li
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3 Model ComponentsThis chapter intr
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Table 4:CERT-RMM Components by Cate
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Figure 15: A Specific Goal and Spec
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Figure 19: Summary of Major Model C
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Figure 20: Format of Model Componen
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4 Model RelationshipsSuccessful pro
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Figure 21: Relationships That Drive
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Asset Resilience ManagementEnvironm
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Part Two: Process Institutionalizat
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To reach a particular level, an org
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perform in the future. In CERT-RMM,
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names of the generic goals, except
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Generic Practice Related Process Ar
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Page 75 and 76: These four questions can be directl
Page 77 and 78: The purpose of the establishing pha
Page 79 and 80: CERT-RMM has a strong enterprise un
Page 81 and 82: Communications (COMM)—to institut
Page 83 and 84: Figure 31: Model Scope Options6.3.3
Page 85 and 86: Figure 33: CERT-RMM Targeted Improv
Page 87 and 88: Figure 34: Capability Level Ratings
Page 89 and 90: If the immediate or long-term impro
Page 91 and 92: ASSET DEFINITION AND MANAGEMENTEngi
Page 93 and 94: Specific Practices by GoalADM:SG1 E
Page 95 and 96: Facilities are any physical plant a
Page 97 and 98: Information AssetsBecause informati
Page 99 and 100: Ownership of assets typically varie
Page 101 and 102: ADM:SG2.SP2 Analyze Asset-Service D
Page 103 and 104: Organizational and operational cond
Page 105 and 106: Subpractices1. Establish governance
Page 107 and 108: ADM:GG2.GP3 Provide ResourcesProvid
Page 109 and 110: Refer to the Human Resource Managem
Page 111 and 112: ADM:GG2.GP6 Manage Work Product Con
Page 113 and 114: ADM:GG2.GP8 Monitor and Control the
Page 115 and 116: ADM:GG2.GP9 Objectively Evaluate Ad
Page 117 and 118: ADM:GG3.GP2 Collect Improvement Inf
Page 119 and 120: access controls current and reflect
Page 121 and 122: COMMUNICATIONSEnterprisePurposeThe
Page 123: COMM:SG2 Prepare for Communications
Page 127 and 128: CONTROLS MANAGEMENTEngineeringPurpo
Page 129 and 130: The identification and implementati
Page 131 and 132: ENVIRONMENTAL CONTROLOperationsPurp
Page 133 and 134: EC:SG2 Protect Facility AssetsAdmin
Page 135 and 136: The relationship between services a
Page 137 and 138: EXTERNAL DEPENDENCIES MANAGEMENTOpe
Page 139 and 140: Related Process AreasThe establishm
Page 141 and 142: EXD:SG4 Manage External Entity Perf
Page 143 and 144: Related Process AreasVisible and ac
Page 145 and 146: HUMAN RESOURCE MANAGEMENTEnterprise
Page 147 and 148: Specific Practices by GoalHRM:SG1 E
Page 149 and 150: IDENTITY MANAGEMENTOperationsPurpos
Page 151 and 152: Summary of Specific Goals and Pract
Page 153 and 154: and associated services and require
Page 155 and 156: IMC:SG2.SP4 Analyze and Triage Even
Page 157 and 158: KNOWLEDGE AND INFORMATION MANAGEMEN
Page 159 and 160: Specific Practices by GoalKIM:SG1 E
Page 161 and 162: MEASUREMENT AND ANALYSISProcessPurp
Page 163 and 164: MA:SG1.SP4 Specify Analysis Procedu
Page 165 and 166: supports and enables its monitoring
Page 167 and 168: ORGANIZATIONAL PROCESS DEFINITIONPr
Page 169 and 170: ORGANIZATIONAL PROCESS FOCUSProcess
Page 171 and 172: OPF:SG2.SP2 Implement Process Actio
Page 173 and 174: awareness program. Conduct Awarenes
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OTA:SG3.SP3 Establish Training Capa
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a steady stream of effective staff
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RISK MANAGEMENTEnterprisePurposeThe
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RISK:SG2 Establish Risk Parameters
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RESILIENCE REQUIREMENTS DEVELOPMENT
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egularly analyzing the requirements
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RESILIENCE REQUIREMENTS MANAGEMENTE
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RRM:SG1.SP4 Maintain Traceability o
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The functional aspects of software
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Monitoring for events, incidents, a
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SERVICE CONTINUITYEngineeringPurpos
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Summary of Specific Goals and Pract
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SC:SG5 Exercise Service Continuity
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organization, the organization must
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TM:SG4.SP3 Perform Change Control a
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them to determine if breakdowns in
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Appendix A: Generic Goals and Pract
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Subpractices1. Establish governance
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GG2.GP3 Provide ResourcesProvide ad
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Subpractices1. Identify process ski
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GG2.GP8 Monitor and Control the Pro
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performing of the process can be ma
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Appendix B: Targeted Improvement Ro
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Required CERT-RMM Process AreasCate
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Process AreasRisk ManagementResilie
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Glossary of TermsThis document cont
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Asset-level resilience requirements
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Communications stakeholderA person
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Critical success factorsThe key are
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External dependencyAn external depe
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Identity registrationThe process of
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Key control indicatorsOrganizationa
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Operational riskThe potential impac
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PeopleAll staff, both internal and
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ProvisioningThe process of assignin
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Resilient Technical Solution Engine
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SensitivityA measure of the degree
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Technical controlA type of technica
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Acronyms and InitialismsADMAsset De
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EUDPDEuropean Union Data Protection
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OPFOrganizational Process Focus (pr
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ReferencesURLs are valid as of the
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REPORT DOCUMENTATION PAGEForm Appro
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