CERT Resilience Management Model, Version 1.0

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ENTERPRISE FOCUSEnterprisePurposeThe purpose of Enterprise Focus is to establish sponsorship, strategic planning, andgovernance over the operational resilience management process.Introductory NotesManaging operational resilience requires a vast array of skills and competencies. Theseskills and competencies traverse the organization and must converge to achieve and sustaina desired level of operational resilience.Because resilience is an enterprise concern, the focus and direction for the operationalresilience management process must come from the top: leadership to set direction andethical standards, sponsorship to provide support and resources, and governance to ensurethat the process is achieving its goals as expected. In addition, managing operationalresilience must be aligned with and supportive of the achievement of the organization’sstrategic objectives. Focusing on these objectives provides the rationale for investing inresilience activities—because they enable the organization to achieve its mission.The Enterprise Focus process area seeks to ensure that the enterprise owns the operationalresilience management process and provides the necessary level of leadership andgovernance over the process. The strategic objectives of the organization are explicitlydefined as the alignment factor for resilience plans, programs, and activities. Higher levelmanagers provide sponsorship to ensure resilience activities are properly and adequatelyfunded and to promote and nurture a resilience-aware culture throughout the organization.Finally, the organization’s governance activities are expanded to focus directly onresilience—program objectives are set, standards for acceptable and ethical behavior areestablished, and the process is monitored to ensure it is achieving its goals. Higher levelmanagers also provide input and recommendations when the operational resiliencemanagement process is not performing within established standards.Enterprise Focus establishes the “critical few” for the organization—the high-value servicesthat must be resilient to ensure mission achievement. This sets the focus for all operationalrisk-based activities in the organization. Through an enterprise focus, the direction and targetfor operational resilience management is established, operational risk management activitiesare coordinated, and actions are taken that enable the organization to perform adequately inachieving its targets.Related Process AreasOrganizational risk drivers, risk appetite, and risk tolerance are established in the RiskManagement process area.The establishment of plans and programs to ensure service continuity is addressed in theService Continuity process area.122 | CMU/SEI-2010-TR-012
The relationship between services and assets is addressed in Asset Definition andManagement.The management of compliance activities is addressed in the Compliance process area.The development and achievement of resilience goals and objectives for staff is addressedin the Human Resource Management process area.Providing awareness training for staff, both internal and external to the organization, isaddressed in the Organizational Training and Awareness process area.The Monitoring process area outlines processes for identifying, gathering, andcommunicating relevant data for decision making processes.The establishment of resilience funding needs and the allocation of funds are addressed inthe Financial Resource Management process area.Summary of Specific Goals and PracticesGoalsEF:SG1 Establish Strategic ObjectivesEF:SG2 Plan for Operational ResilienceEF:SG3 Establish SponsorshipEF:SG4 Provide Resilience OversightPracticesEF:SG1.SP1 Establish Strategic ObjectivesEF:SG1.SP2 Establish Critical Success FactorsEF:SG1.SP3 Establish Organizational ServicesEF:SG2.SP1 Establish an Operational Resilience ManagementPlanEF:SG2.SP2 Establish an Operational Resilience ManagementProgramEF:SG3.SP1 Commit Funding for Operational ResilienceManagementEF:SG3.SP2 Promote a Resilience-Aware CultureEF:SG3.SP3 Sponsor Resilience Standards and PoliciesEF:SG4.SP1 Establish Resilience as a Governance Focus AreaEF:SG4.SP2 Perform Resilience OversightEF:SG4.SP3 Establish Corrective ActionsSpecific Practices by GoalEF:SG1 Establish Strategic ObjectivesThe strategic objectives of the organization are established as the foundationfor the operational resilience management process.EF:SG1.SP1 Establish Strategic ObjectivesStrategic objectives are identified and established as the basis forresilience activities.EF:SG1.SP2 Establish Critical Success FactorsThe critical success factors of the organization are identified andestablished.123 | 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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These four questions can be directl
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The purpose of the establishing pha
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CERT-RMM has a strong enterprise un
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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 and 126: Related Process AreasA primary comp
Page 127 and 128: CONTROLS MANAGEMENTEngineeringPurpo
Page 129 and 130: The identification and implementati
Page 131 and 132: ENVIRONMENTAL CONTROLOperationsPurp
Page 133: EC:SG2 Protect Facility AssetsAdmin
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
Page 177 and 178: a steady stream of effective staff
Page 179 and 180: RISK MANAGEMENTEnterprisePurposeThe
Page 181 and 182: RISK:SG2 Establish Risk Parameters
Page 183 and 184: 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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