CERT Resilience Management Model, Version 1.0

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TECHNOLOGY MANAGEMENTOperationsPurposeThe purpose of Technology Management is to establish and manage an appropriate level ofcontrols related to the integrity and availability of technology assets to support the resilientoperations of organizational services.Introductory NotesTechnology is a pervasive organizational asset. Few organizational services are untouchedby some aspect of technology—hardware, software, systems, tools, and infrastructure (suchas networks) that support services. Technology assets directly support the automation (andefficiency) of services and are often inextricably tied to information assets because theyprovide the platforms on which information is stored, transported, or processed. For someorganizations, technology is a prominent driver in accomplishing the mission and isconsidered a strategic element. Technology tends to be pervasive across all functions of theorganization and therefore can be a significant contributor to strategic and competitivesuccess.From a broad perspective, technology describes any technology component or asset thatsupports or automates a service and facilitates its ability to accomplish its mission. Examplesof technology assets include software, hardware, and firmware, including physicalinterconnections between these assets such as cabling. Technology has many layers, somewhich are specific to a service (such as an application system) and others which are sharedby the organization (such as the enterprise-wide network infrastructure) to support more thanone service. Organizations must describe technology assets sufficiently to facilitatedevelopment and satisfaction of resilience requirements. In some organizations, this may beat the application system level; in others, it might be more granular, such as at the server orpersonal computer level.The Technology Management process area addresses the importance of technology assetsin the operational resilience of services, as well as unique issues specific to technology suchas integrity and availability management. In this process area, technology assets areprioritized according to their value in supporting high-value organizational services. Physical,technical, and administrative controls that keep technology assets viable and sustainable areselected, implemented, and managed, and the effectiveness of these controls is monitored.In addition, technology asset risks are identified and mitigated in an attempt to preventdisruption where possible.The integrity of technology assets is addressed through mastery of capabilities such asconfiguration, change, and release management. The availability of technology assets,critical for supporting the resilience of services, is established and managed by controllingthe operational environment in which the assets operate, by performing regular maintenanceon these assets, and by limiting the potential effects of interoperability issues. Becausetechnology assets may extend outside of the physical and logical boundaries of the188 | CMU/SEI-2010-TR-012
organization, the organization must address the interaction with external entities that providetechnology assets or support for technology assets to the organization.Related Process AreasThe establishment and management of resilience requirements for technology assets areperformed in the Resilience Requirements Development and Resilience RequirementsManagement process areas.The identification, definition, management, and control of technology assets are addressed inthe Asset Definition and Management process area.The risk management cycle for technology assets is addressed in the Risk Managementprocess area.The management of the internal control system that ensures the protection of technologyassets is addressed in the Controls Management process area.The selection, implementation, and management of access controls for technology assets isperformed in the Access Management process area.The development of service continuity plans for technology assets is performed in theService Continuity process area.The establishment and management of relationships with external entities to ensure theresilience of services that are executed in facilities they own and operate are addressed inthe External Dependencies Management process area.Summary of Specific Goals and PracticesGoalsTM:SG1 Establish and Prioritize TechnologyAssetsTM:SG2 Protect Technology AssetsTM:SG3 Manage Technology Asset RiskTM:SG4 Manage Technology Asset IntegrityTM:SG5 Manage Technology Asset AvailabilityPracticesTM:SG1.SP1 Prioritize Technology AssetsTM:SG1.SP2 Establish Resilience-Focused Technology AssetsTM:SG2.SP1 Assign Resilience Requirements to TechnologyAssetsTM:SG2.SP2 Establish and Implement ControlsTM:SG3.SP1 Identify and Assess Technology Asset RiskTM:SG3.SP2 Mitigate Technology RiskTM:SG4.SP1 Control Access to Technology AssetsTM:SG4.SP2 Perform Configuration ManagementTM:SG4.SP3 Perform Change Control and ManagementTM:SG4.SP4 Perform Release ManagementTM:SG5.SP1 Perform Planning to Sustain Technology AssetsTM:SG5.SP2 Manage Technology Asset MaintenanceTM:SG5.SP3 Manage Technology CapacityTM:SG5.SP4 Manage Technology Interoperability189 | 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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Related Process AreasVisible and ac
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HUMAN RESOURCE MANAGEMENTEnterprise
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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 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: SC:SG5 Exercise Service Continuity
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
Page 245 and 246: Resilient Technical Solution Engine
Page 247 and 248: SensitivityA measure of the degree
Page 249 and 250: 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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