CERT Resilience Management Model, Version 1.0

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Figure 3: CERT-RMM InfluencesAt the descriptive level of the model, the process areas in CERT-RMM have either beendeveloped specifically for the model or sourced from existing CMMI models and modified to beused in the context of operational resilience management. CERT-RMM also draws upon conceptsand codes of practice from other security, business continuity, and IT operations models,particularly at the typical work products and subpractices level. This allows users of these codesof practice to incorporate model-based process improvement without significantly altering theirinstalled base of practices. The CERT-RMM Code of Practices Crosswalk v0.95R [REF Team2008b] details the relationships between common codes of practice and the specific practices inthe CERT-RMM process areas. The Crosswalk is periodically updated to incorporate new andupdated codes of practice as necessary. The Crosswalk can be found at www.cert.org/resilience.Familiarity with common codes of practice or CMMI models is not required to comprehend or useCERT-RMM. However, familiarity with these practices and models will aid in understanding andadoption.8 | CMU/SEI-2010-TR-012
As a descriptive model, CERT-RMM focuses at the process description level but doesn’tnecessarily address how an organization would achieve the intent and purpose of the descriptionthrough deployed practices. However, the subpractices contained in each CERT-RMM processarea describe actions that an organization might take to implement a process, and thesesubpractices can be directly linked to one or more tactical practices used by the organization.Thus, the range of material in each CERT-RMM process area spans from highly descriptiveprocesses to more prescriptive subpractices.In terms of scope, CERT-RMM covers the activities required to establish, deliver, and manageoperational resilience activities in order to ensure the resilience of services. A resilient service isone that can meet its mission whenever necessary, even under degraded circumstances. Servicesare broadly defined in CERT-RMM. At a simple level, a service is a helpful activity that bringsabout some intended result. People and technology can perform services; for example, people candeliver mail, and so can an email application. A service can also produce a tangible product.From an organizational perspective, services can provide internal benefits (such as payingemployees) or have an external focus (such as delivering newspapers). Any service in theorganization that is of value to meeting the organization’s mission should be made resilient.Services rely on assets to achieve their missions. In CERT-RMM, assets are limited to people,information, technology, and facilities. A service that produces a product may also rely on rawmaterials, but these assets are outside of the immediate scope of CERT-RMM. However, the useof CERT-RMM in a production environment is not precluded, since people, information,technology, and facilities are a critical part of delivering a product, and their operational resiliencecan be managed through the practices in CERT-RMM.CERT-RMM does not cover the activities required to establish, deliver, and manage services. Inother words, CERT-RMM does not address the development of a service from requirements or theestablishment of a service system. These activities are covered in the CMMI-SVC model [CMMI2009]. However, to the extent that the management of the service requires a strong resilienceconsideration, CERT-RMM can be used with CMMI-SVC to extend the definition of high-qualityservice delivery to include resilience as an attribute of quality.CERT-RMM contains practices that cover enterprise management, resilience engineering,operations management, process management, and other supporting processes for ensuring activemanagement of operational resilience. The “enterprise” orientation of CERT-RMM does notmean that it is an enterprise-focused model or that it must be adopted at an enterprise level; on thecontrary, CERT-RMM is focused on the operations level of the organization, where services aretypically executed. Enterprise aspects of CERT-RMM describe how horizontal functions of theorganization, such as managing people, training, financial resource management, and riskmanagement, affect operations. For example, if an organization is generally poor at riskmanagement, the effects of this typically manifest at an operational level in poor riskidentification, prioritization, and mitigation, misalignment with risk appetite and tolerances, anddiminished service resilience.CERT-RMM was developed to be scalable across various industries, regardless of their size.Every organization has an operational component and executes services that require a degree ofoperational resilience commensurate with achieving the mission. Although CERT-RMM was9 | CMU/SEI-2010-TR-012
Page 1 and 2: CERT ® Resilience Management Model
Page 3 and 4: Table of ContentsPrefaceAbstractvix
Page 5 and 6: List of FiguresFigure 1: The Three
Page 7 and 8: List of TablesTable 1: Process Area
Page 9 and 10: AcknowledgementsThis report is the
Page 11 and 12: The effect of increased levels of c
Page 13 and 14: Part One: About the CERT ® Resilie
Page 15 and 16: 1 IntroductionOperational resilienc
Page 17 and 18: experience, organizations often ask
Page 19: continuity management, and IT opera
Page 23 and 24: Table 1:Process Areas in CERT-RMM a
Page 25 and 26: their ability to transform the way
Page 27 and 28: 2 Understanding Key Concepts in CER
Page 29 and 30: Historically and often still today,
Page 31 and 32: Operational resilience addresses th
Page 33 and 34: esilience of services is key for mi
Page 35 and 36: Figure 7: Impact of Disrupted Asset
Page 37 and 38: owners are responsible for ensuring
Page 39 and 40: into the “security” function bu
Page 41 and 42: Figure 12: Software/System Asset Li
Page 43 and 44: 3 Model ComponentsThis chapter intr
Page 45 and 46: Table 4:CERT-RMM Components by Cate
Page 47 and 48: Figure 15: A Specific Goal and Spec
Page 49 and 50: Figure 19: Summary of Major Model C
Page 51 and 52: Figure 20: Format of Model Componen
Page 53 and 54: 4 Model RelationshipsSuccessful pro
Page 55 and 56: Figure 21: Relationships That Drive
Page 57 and 58: Asset Resilience ManagementEnvironm
Page 63 and 64: Part Two: Process Institutionalizat
Page 65 and 66: To reach a particular level, an org
Page 67 and 68: perform in the future. In CERT-RMM,
Page 69 and 70: 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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Related Process AreasVisible and ac
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HUMAN RESOURCE MANAGEMENTEnterprise
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Specific Practices by GoalHRM:SG1 E
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IDENTITY MANAGEMENTOperationsPurpos
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Summary of Specific Goals and Pract
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and associated services and require
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IMC:SG2.SP4 Analyze and Triage Even
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KNOWLEDGE AND INFORMATION MANAGEMEN
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Specific Practices by GoalKIM:SG1 E
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MEASUREMENT AND ANALYSISProcessPurp
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MA:SG1.SP4 Specify Analysis Procedu
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supports and enables its monitoring
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ORGANIZATIONAL PROCESS DEFINITIONPr
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ORGANIZATIONAL PROCESS FOCUSProcess
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OPF:SG2.SP2 Implement Process Actio
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awareness program. Conduct Awarenes
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OTA:SG3.SP3 Establish Training Capa
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a steady stream of effective staff
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RISK MANAGEMENTEnterprisePurposeThe
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RISK:SG2 Establish Risk Parameters
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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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