CERT Resilience Management Model, Version 1.0

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RTSE:SG2 Develop Resilient Technical Solution Development PlansPlans for addressing resilience in the development life cycle are based ondocumented guidelines.RTSE:SG2.SP1 Select and Tailor GuidelinesGuidelines are determined for a specific software or systemdevelopment project using selection criteria.RTSE:SG2.SP2 Integrate Selected Guidelines with a Defined Software and SystemDevelopment ProcessSelected resilience guidelines are integrated with a definedsoftware and systems development process and a documentedplan.RTSE:SG3 Execute the PlanProgress against the plan for developing resilient software and systems ismonitored throughout the development life cycle.RTSE:SG3.SP1 Monitor Execution of the Development PlanExecution of the development plan is monitored to ensure thatsoftware and system resilience requirements are satisfied.RTSE:SG3.SP2 Release Resilient Technical Solutions into ProductionSoftware and systems that demonstrate satisfaction of resiliencerequirements are released into production.182 | CMU/SEI-2010-TR-012
SERVICE CONTINUITYEngineeringPurposeThe purpose of Service Continuity is to ensure the continuity of essential operations ofservices and related assets if a disruption occurs as a result of an incident, disaster, or otherdisruptive event.Introductory NotesThe continuity of an organization’s service delivery is a paramount concern in theorganization’s operational resilience activities. The organization can invest considerable timeand resources in attempting to prevent a range of potential disruptive events, but noorganization can mitigate all risk. As a result, the organization must be prepared to deal withthe consequences of a disruption to its operations at any time. Significant disruption canresult in dire circumstances for the organization, even bankruptcy or termination.Service Continuity describes the organizational processes responsible for developing,deploying, exercising, implementing, and managing plans for responding to and recoveringfrom events and restoring operations to business as usual. This requires that theorganization have a plan and program for service continuity, assign adequate and sufficientresources to the plan and program, and have the requisite infrastructure to carry out the planand program. Based on risk appetite and tolerance, the organization must determine whichservice continuity plans it needs to establish, develop the plans, and exercise them on aregular and sufficient basis to ensure they remain viable as long as the service is vital to theorganization.The organization also must consider the range of service continuity activities. Businesscontinuity or contingency plans are developed and implemented to sustain a high-valueservice, while recovery and restoration plans are focused on bringing services back to anacceptable level of business as usual. To ensure that all plans can be executed at will whencalled upon, the organization must also develop sufficient logistics and delivery capabilities.Before the organization can develop, exercise, and position service continuity plans forimplementation, several other organizational activities must occur. These includeidentification of the high-value services and associated assets for which servicecontinuity plans must be developed (This is addressed in the Enterprise Focus and AssetDefinition and Management process areas.)the potential hazards or risks to these high-value services and assets (This is addressedin the Vulnerability Analysis and Resolution and Risk Management process areas.)the consequences of these risks to the organization and its susceptibility to them (This isaddressed in the Risk Management process area.)In managing operational risk and resilience, the Service Continuity process area iscomplementary to Controls Management. Controls Management focuses on “conditionmanagement” to prevent risk, while Service Continuity directs the organization’s attention to183 | 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
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CONTROLS MANAGEMENTEngineeringPurpo
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The identification and implementati
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ENVIRONMENTAL CONTROLOperationsPurp
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EC:SG2 Protect Facility AssetsAdmin
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The relationship between services a
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EXTERNAL DEPENDENCIES MANAGEMENTOpe
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Related Process AreasThe establishm
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EXD:SG4 Manage External Entity Perf
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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
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: Monitoring for events, incidents, a
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
Page 229 and 230: Communications stakeholderA person
Page 231 and 232: Critical success factorsThe key are
Page 233 and 234: External dependencyAn external depe
Page 235 and 236: Identity registrationThe process of
Page 237 and 238: Key control indicatorsOrganizationa
Page 239 and 240: Operational riskThe potential impac
Page 241 and 242: PeopleAll staff, both internal and
Page 243 and 244: 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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