CERT Resilience Management Model, Version 1.0

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ORGANIZATIONAL TRAINING AND AWARENESSEnterprisePurposeThe purpose of Organizational Training and Awareness is to promote awareness anddevelop skills and knowledge of people in support of their roles in attaining and sustainingoperational resilience.Introductory NotesOrganizational Training and Awareness is an enterprise process area that seeks to ensurethat the organization’s staff are aware of resilience needs and concerns and that theybehave in a manner consistent with the organization’s operational resilience requirementsand goals. This requires that they be made aware of the organization’s resilience plans andprograms and that they understand their role in these plans and programs. Staff must alsobe provided specialized training on a regular basis that establishes resilience as anorganizational competency and encourages improvement in skill sets relative to their specificor general roles in managing operational resilience.Organizational Training and Awareness focuses exclusively on skills, knowledge, andcognizance for resilience activities, not generalized training across the organization.However, these resilience training and awareness activities should integrate with and besupported by the organization’s overall training and awareness program and plan.Specifically, training refers to imparting the necessary skills and knowledge to people forperforming their roles and responsibilities in support of the organization’s operationalresilience management process. Awareness is aimed at focusing the attention of staffthroughout the organization on resilience issues, concerns, policies, plans, and practices,and increasing their cognizance of and acculturation to resilience. Training imparts skills andknowledge to enable staff to perform a specific resilience function; awareness activitiescreate cognizance to bring about desired behaviors in support of the resilience process andto support a risk-aware culture in the organization.An organizational training and awareness program is a comprehensive capability thattypically includes the following activities:identifying the training and awareness needs of the organizationsourcing training and awareness materialsproviding training and implementing awareness activities, using a variety of methodsestablishing and maintaining records of training and awareness activitiesevaluating the effectiveness of the training and awareness programrevising the program to improve effectiveness and in response to changes in training andawareness needsThe Organizational Training and Awareness process area has four specific goals. TheEstablish Awareness Program goal addresses the creation, planning, and organization of an160 | CMU/SEI-2010-TR-012
awareness program. Conduct Awareness Activities puts awareness plans into actionthroughout the enterprise and evaluates their effectiveness. The Establish Training goaladdresses the creation, planning, and organization of a training capability. Conduct Trainingaddresses the delivery and evaluation of training activities.Organizational Training and Awareness is a complementary process area to the HumanResource Management and People Management process areas. Organizational Trainingand Awareness focuses on general awareness, skill-building, and ongoing training. HumanResource Management is focused on managing the employment life cycle and performancefor an employee in support of operational resilience. People Management identifies key staffand manages their availability to the services they support, ensuring the resilience of the“people” asset.Related Process AreasManaging the resilience of the people in the organization is performed in the PeopleManagement process area.Managing the employment life cycle and performance for an employee in support ofoperational resilience is addressed in the Human Resource Management process area.Awareness activities for third parties such as business partners and vendors are addressedin the External Dependencies Management process area.Awareness communications are addressed in the Communications process area.Tracking awareness activities for compliance purposes is addressed in the Complianceprocess area.Guidance about tracking awareness activities for governance functions is addressed in theEnterprise Focus process area.Summary of Specific Goals and PracticesGoalsOTA:SG1 Establish Awareness ProgramOTA:SG2 Conduct Awareness ActivitiesOTA:SG3 Establish Training CapabilityOTA:SG4 Conduct TrainingPracticesOTA:SG1.SP1 Establish Awareness NeedsOTA:SG1.SP2 Establish Awareness Training PlanOTA:SG1.SP3 Establish Awareness Training CapabilityOTA:SG2.SP1 Perform Awareness ActivitiesOTA:SG2.SP2 Establish Awareness RecordsOTA:SG2.SP3 Assess Awareness Program EffectivenessOTA:SG3.SP1 Establish Training NeedsOTA:SG3.SP2 Establish Training PlanOTA:SG3.SP3 Establish Training CapabilityOTA:SG4.SP1 Deliver TrainingOTA:SG4.SP2 Establish Training RecordsOTA:SG4.SP3 Assess Training Effectiveness161 | 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
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Information AssetsBecause informati
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Ownership of assets typically varie
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ADM:SG2.SP2 Analyze Asset-Service D
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Organizational and operational cond
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Subpractices1. Establish governance
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ADM:GG2.GP3 Provide ResourcesProvid
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Refer to the Human Resource Managem
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ADM:GG2.GP6 Manage Work Product Con
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ADM:GG2.GP8 Monitor and Control the
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ADM:GG2.GP9 Objectively Evaluate Ad
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ADM:GG3.GP2 Collect Improvement Inf
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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 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: OPF:SG2.SP2 Implement Process Actio
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
Page 199 and 200: SC:SG5 Exercise Service Continuity
Page 201 and 202: organization, the organization must
Page 203 and 204: TM:SG4.SP3 Perform Change Control a
Page 205 and 206: them to determine if breakdowns in
Page 207 and 208: Appendix A: Generic Goals and Pract
Page 209 and 210: Subpractices1. Establish governance
Page 211 and 212: GG2.GP3 Provide ResourcesProvide ad
Page 213 and 214: Subpractices1. Identify process ski
Page 215 and 216: GG2.GP8 Monitor and Control the Pro
Page 217 and 218: performing of the process can be ma
Page 219 and 220: Appendix B: Targeted Improvement Ro
Page 221 and 222: 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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