CERT Resilience Management Model, Version 1.0

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COMP:SG2 Establish Compliance ObligationsThe organization’s compliance obligations are identified, documented, andcommunicated.COMP:SG2.SP1 Identify Compliance ObligationsCompliance obligations are identified and documented.COMP:SG2.SP2 Analyze ObligationsCompliance obligations are analyzed and organized to facilitatesatisfaction.COMP:SG2.SP3 Establish Ownership for Meeting ObligationsThe responsibility for satisfying compliance obligations isestablished.COMP:SG3 Demonstrate Satisfaction of Compliance ObligationsThe organization demonstrates that its compliance obligations are beingsatisfied.COMP:SG3.SP1 Collect and Validate Compliance DataData required to satisfy compliance obligations is collected andvalidated.COMP:SG3.SP2 Demonstrate the Extent of Compliance Obligation SatisfactionThe extent to which compliance obligations are satisfied isdemonstrated through compliance activities.COMP:SG3.SP3 Remediate Areas of Non-ComplianceCOMP:SG4 Monitor Compliance ActivitiesRemediation of areas of non-compliance is performed to ensuresatisfaction of compliance obligations.The organization’s satisfaction of compliance obligations is monitored andadjusted as necessary.COMP:SG4.SP1 Evaluate Compliance ActivitiesSatisfaction of the organization’s compliance obligations isindependently monitored and improved.114 | CMU/SEI-2010-TR-012
CONTROLS MANAGEMENTEngineeringPurposeThe purpose of Controls <strong>Management</strong> is to establish, monitor, analyze, and manage aninternal control system that ensures the effectiveness and efficiency of operations throughassuring mission success of high-value services and the assets that support them.Introductory NotesInternal control is a governance process used by the organization to ensure effective andefficient achievement of organizational objectives and to provide reasonable assurance ofsuccess. The internal control process is pervasive throughout the organizational structurefrom higher level managers to staff and is reflected in all levels of operations—in manycases, down to the transaction level.The organization’s high-level managers have the responsibility to set the tone for internalcontrol so that the objectives of the organization are reflected in all operational activities. Inthis way, the organization ensures success by building in success criteria at all operationallevels.The internal control process is typically reflected in the organization’s internal control system.By definition, the internal control system is the aggregation of the activities an organizationundertakes to ensure success. While this is primarily operational in implementation, there areother broad objectives of the internal control system, including promoting ethical behavior,preventing and detecting fraud, ensuring compliance with laws and regulations, andproviding more predictability in the overall performance of the organization. At theoperational level, the internal control system is the aggregation of the policies, procedures,methods, technologies, and tools that provide assurance that management directives arecarried out. For example, an organization may find it vital to its profitability that all intellectualproperty be kept confidential and only provided to staff who have a justifiable need-to-know.Thus, a policy may be drafted that provides guidance on the effective handling anddistribution of this information. The policy is a means for implementing management’sdirectives and minimizing impact on organizational success and achievement.Internal control in a broad sense is focused on ensuring that the financial condition of anorganization is accurately reflected in its financial and accounting records. However, at anoperational level, internal control relates to implementing policies, procedures, methods,technologies, and tools that support service mission assurance. Typically this involves thedevelopment of high-level control objectives that align with service mission assurancerequirements and strategies to protect and sustain services that satisfy these requirements.Control objectives are then translated into appropriate policies, procedures, methods,technologies, and tools—referred to as operational controls—that are needed to meet eachobjective. From an operational resilience management perspective, these operationalcontrols are critical to protecting assets, sustaining assets, and preventing disruption toassets as they are deployed in the execution of a service. That said, effective controlsmanagement for operational resilience means identifying the most cost-effective strategies115 | 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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Such objectives may be high-level a
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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 and 124: COMM:SG2 Prepare for Communications
Page 125: Related Process AreasA primary comp
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
Page 175 and 176: 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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