CERT Resilience Management Model, Version 1.0

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VULNERABILITY ANALYSIS AND RESOLUTIONOperationsPurposeThe purpose of Vulnerability Analysis and Resolution is to identify, analyze, and managevulnerabilities in an organization’s operating environment.Introductory NotesA vulnerability is the susceptibility of an asset and associated service to disruption. Examplesof vulnerabilities are weaknesses in the physical or technical infrastructure of theorganization and flaws in the character of an individual employee. All assets of theorganization that are operationally deployed—people, information, technology, andfacilities—are subject to some level and type of vulnerability.Vulnerabilities can result in operational risks and must be identified and remediated to avoiddisruptions to the organization’s ability to meet its strategic objectives. Vulnerability analysisand resolution is a complementary activity to risk management. It requires that anorganization identify weaknesses to its assets and services and understand the potentialimpact to the organization when these weaknesses are exploited.As organizations have grown more dependent on their technical infrastructures, there hasbeen a corresponding increase in focus on identifying only technical vulnerabilities. However,operational risk emanates from weaknesses in the protection of all types of assets, and thusthe vulnerability analysis and resolution activity must cover not only weaknesses in thetechnical infrastructure but also potential threats to the viability of people, information, andfacilities.The identification and remediation of technical vulnerabilities is a means for mitigatingoperational risk, but it does not fully constitute the activities of risk management. Instead,vulnerability analysis and resolution informs the organization of threats that must beanalyzed in the risk management process to determine whether they pose tangible risk to theorganization based on its unique risk drivers, appetite, and tolerance. In turn, the riskmanagement process informs vulnerability analysis and resolution processes to focusattention on the assets and services that are most critical to meeting strategic objectives.The Vulnerability Analysis and Resolution process area describes the organization’s ability toestablish a vulnerability management strategy and to efficiently and effectively assignenterprise-wide resources to implement that strategy. The organization identifies andanalyzes vulnerabilities across the enterprise and communicates relevant information aboutthese vulnerabilities to other organizational processes that require this information.Strategies are developed to reduce the organization’s exposure to vulnerabilities. In this way,the organization is mitigating risk where the exploited vulnerability has the potential to impactthe organization.Vulnerability Analysis and Resolution provides the organization an important opportunity toimprove processes that may introduce vulnerabilities into the operating environment.Vulnerabilities are logged and tracked, and root-cause analysis and trending is performed on192 | CMU/SEI-2010-TR-012
them to determine if breakdowns in other organizational processes are resulting in exposure.This knowledge is translated into improved strategies for protecting and sustaining assetsand services as well as improvements in the processes.Vulnerabilities may result in events and incidents that the organization must manage. TheIncident Management and Control process area addresses the processes for identifying,analyzing, handling, and responding to incidents.Vulnerability identification and analysis is an important source of potential risks to theorganization. Risks are identified, analyzed, and mitigated (through vulnerability reductionactivities) in the Risk Management process area.Related Process AreasThe risk management cycle for organizational services, processes, and assets is addressedin the Risk Management process area.Monitoring for events, incidents, and vulnerabilities is addressed in the Monitoring processarea.Summary of Specific Goals and PracticesGoalsVAR:SG1 Prepare for Vulnerability Analysisand ResolutionVAR:SG2 Identify and Analyze VulnerabilitiesVAR:SG3 Manage Exposure to VulnerabilitiesVAR:SG4 Identify Root CausesPracticesVAR:SG1.SP1 Establish ScopeVAR:SG1.SP2 Establish a Vulnerability Analysis and ResolutionStrategyVAR:SG2.SP1 Identify Sources of Vulnerability InformationVAR:SG2.SP2 Discover VulnerabilitiesVAR:SG2.SP3 Analyze VulnerabilitiesVAR:SG3.SP1 Manage Exposure to VulnerabilitiesVAR:SG4.SP1 Perform Root-Cause AnalysisSpecific Practices by GoalVAR:SG1 Prepare for Vulnerability Analysis and ResolutionPreparation for vulnerability analysis and resolution activities is conducted.VAR:SG1.SP1 Establish ScopeThe assets and operational environments that must be examinedfor vulnerabilities are identified.VAR:SG1.SP2 Establish a Vulnerability Analysis and Resolution StrategyEstablish and maintain an operational vulnerability analysis andresolution strategy.193 | 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
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IDENTITY MANAGEMENTOperationsPurpos
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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 and 200: SC:SG5 Exercise Service Continuity
Page 201 and 202: organization, the organization must
Page 203: TM:SG4.SP3 Perform Change Control a
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
Page 251 and 252: Acronyms and InitialismsADMAsset De
Page 253 and 254: 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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