CERT Resilience Management Model, Version 1.0

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HRM:SG3.SP4 Establish Disciplinary ProcessA disciplinary process is established for staff who violateresilience policies.HRM:SG4 Manage Changes to Employment StatusChanges in the employment status of staff members in the organization aremanaged.HRM:SG4.SP1 Manage Impact of Position ChangesAdministrative controls are established to sustain functions,obligations, and vital roles upon position changes or terminations.HRM:SG4.SP2 Manage Access to AssetsAccess to and possession of organizational assets relative toposition changes is managed.HRM:SG4.SP3 Manage Involuntary TerminationsAdministrative controls and procedures are established to managethe effects of involuntary terminations.136 | CMU/SEI-2010-TR-012
IDENTITY MANAGEMENTOperationsPurposeThe purpose of Identity <strong>Management</strong> is to create, maintain, and deactivate identities thatmay need some level of trusted access to organizational assets and to manage theirassociated attributes.Introductory NotesIdentity management is a process that addresses the life cycle of identities for objects andentities (systems, devices, or other processes) and for persons that need some level oftrusted access to organizational assets (information; systems, servers, and networks; andfacilities).In identity management, identities for persons, objects, and entities are created so that theyare made known to the organization and can be managed throughout their useful life. In thecase of persons, these identities typically represent users of information, systems, andfacilities who have unique identifying names (such as a user ID) and for whom information isknown about their job roles and responsibilities in the organization. The creation of anidentity is a means for profiling the person, object, or entity such that the identity retains aparticular set of specific information (often referred to as the identity’s DNA) as it traversesthe organization and is provided different levels of trusted access to diverse organizationalassets. This concept may even extend beyond the organization’s borders. For example, aparticular person, object, or entity may have more than one identity across differentorganizations that can be accumulated into a single identity (through a process calledfederation).The importance of establishing identities and understanding their DNA is so that they can beassigned access to organizational assets (through a process called provisioning) and so thatthis access can be managed as the operational environment changes. This is tremendouslyimportant to managing operational resilience in that unauthorized or unintended access toorganizational assets may result in unwanted outcomes such asdisclosure of information (resulting in violations of privacy and confidentialityrequirements)unauthorized use of systems and servers (to carry out fraudulent activities)unauthorized entry to secured facilities (which could affect the life, safety, and health ofstaff and customers)destruction or loss of vital information and systems that the organization relies upon dayto-dayto carry out its strategic objectivesBecause the operating environment is complex and the persons, objects, and entities whichneed access to organizational assets are ever-changing, the organization must activelymanage the population of identities to ensure that it is valid. This is a challenging task thatrequires coordination and cooperation between the areas of the organization where identities137 | 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
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Figure 31: Model Scope Options6.3.3
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Figure 33: CERT-RMM Targeted Improv
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Figure 34: Capability Level Ratings
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If the immediate or long-term impro
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ASSET DEFINITION AND MANAGEMENTEngi
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Specific Practices by GoalADM:SG1 E
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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 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: Specific Practices by GoalHRM:SG1 E
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
Page 185 and 186: egularly analyzing the requirements
Page 187 and 188: RESILIENCE REQUIREMENTS MANAGEMENTE
Page 189 and 190: RRM:SG1.SP4 Maintain Traceability o
Page 191 and 192: The functional aspects of software
Page 193 and 194: Monitoring for events, incidents, a
Page 195 and 196: SERVICE CONTINUITYEngineeringPurpos
Page 197 and 198: 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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