CERT Resilience Management Model, Version 1.0

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Specific Practices by GoalPM:SG1 Establish Vital StaffThe vital staff of the organization are identified and prioritized.PM:SG1.SP1 Identify Vital StaffThe vital staff from a resilience perspective are identified andcharacterized.PM:SG2 Manage Risks Associated with Staff AvailabilityOperational risks related to the availability of staff are identified and managed.PM:SG2.SP1 Identify and Assess Staff RiskRisks to the availability of staff are periodically identified andassessed.PM:SG2.SP2 Mitigate Staff RiskPM:SG3 Manage the Availability of StaffMitigation strategies for the risks related to the availability of staffare developed and implemented.The availability of staff to support high-value services is managed.PM:SG3.SP1 Establish Redundancy for Vital StaffRedundancy for vital staff is established to ensure continuity ofservices.PM:SG3.SP2 Perform Succession PlanningVital management roles and responsibilities are supported throughsuccession planning.PM:SG3.SP3 Prepare for RedeploymentEstablish plans and prepare staff for redeployment to other rolesduring a disruptive event or in the execution of a continuity ofoperations plan.PM:SG3.SP4 Plan to Support Staff During Disruptive EventsPlans are developed and implemented to ensure support isprovided for staff as they are deployed during a disruptive event.PM:SG3.SP5 Plan for Return-to-Work ConsiderationsPlans are developed and implemented to address return-to-workissues for staff after a disruptive event.166 | CMU/SEI-2010-TR-012
RISK MANAGEMENTEnterprisePurposeThe purpose of Risk Management is to identify, analyze, and mitigate risks to organizationalassets that could adversely affect the operation and delivery of services.Introductory NotesRisk management is a basic and essential organizational capability. The organization mustidentify, analyze, and mitigate risk commensurate with its risk tolerances and appetite toensure that it prevents potential disruptions that could interfere with its ability to meet itsmission. At a tactical level, to accomplish this goal the organization must control operationalrisk—the risk that results from operating services and associated assets on a day-to-daybasis. Operational risk encompasses the potential impact that could result fromfailed internal processesinadvertent or deliberate actions of peopleproblems with systems or technologyexternal eventsManaging operational risk significantly influences operational resilience. The risk ofdisruption to any asset potentially renders associated services unable to meet their mission,hence reducing operational resilience. The organization must identify this risk, analyze it, anddetermine the extent to which it could affect operations. Mitigating such risk requires acareful balance between strategies for protecting and sustaining assets and services whileconsidering the cost of these strategies and the value of the asset and service to theorganization.The Risk Management process area establishes the organization’s responsibility to developand implement an operational risk management plan and program that comprehensively andcooperatively covers the high-value assets and services of the organization. Theorganization explicitly establishes its risk tolerances and appetite based on its strategicdrivers, market position, competitive environment, financial position, and other factors. Usingthis appetite as a guide, risks to the assets of the organization are periodically identified,analyzed, and categorized, and mitigation strategies are developed and implemented forthose risks that the organization cannot afford to ignore. The impact of risk is considered andmeasured against the organization’s risk evaluation criteria. Most importantly, the informationgathered in risk assessment can be used to improve the effectiveness of strategies to protectand sustain assets and services.All uses of “risk” in Risk Management refer to operational risk, specifically, risk to theoperation and delivery of services. Other risk categories are beyond the scope of thisprocess area.167 | 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
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COMMUNICATIONSEnterprisePurposeThe
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COMM:SG2 Prepare for Communications
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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 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: a steady stream of effective staff
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
Page 223 and 224: Process AreasRisk ManagementResilie
Page 225 and 226: Glossary of TermsThis document cont
Page 227 and 228: 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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