CERT Resilience Management Model, Version 1.0

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Resilience budgetA budget specifically developed and funded to support the organization’s resilience activities.[FRM]Resilience managementSee “operational resilience management.”Resilience obligationsAn understanding of a commitment, promise, or duty to follow and enforce the resiliencerequirements of the organization. [HRM]Resilience requirementA constraint that the organization places on the productive capability of an asset to ensure that itremains viable and sustainable when charged into production to support a service.Resilience Requirements Development (RRD)An engineering process area in CERT-RMM. The purpose of Resilience RequirementsDevelopment is to identify, document, and analyze the operational resilience requirements forhigh-value services and related assets.Resilience Requirements Management (RRM)An engineering process area in CERT-RMM. The purpose of Resilience RequirementsManagement is to manage the resilience requirements of high-value services and associated assetsand to identify inconsistencies between these requirements and the activities that the organizationperforms to meet the requirements.Resilience specificationsCriteria that the organization establishes for a working relationship with an external entity, whichmay be incorporated into contractual terms. Typically include the resilience requirements of anyof the organization’s high-value assets and services that are placed in the external entity’s control.Also may include required characteristics of the external entity (e.g., financial condition andexperience), required behaviors of the external entity (e.g., security and training practices), andperformance parameters that must be exhibited by the external entity (e.g., recovery time after anincident and response time to service calls).Resilience staffInternal or external staff who are specifically involved in or assigned to resilience-focusedactivities that are typically found in security, business continuity, and IT operations disciplines.[OTA]Resilience trainingThe process and activities focused on imparting the necessary skills and knowledge to people forperforming their roles and responsibilities in support of the organization’s operational resiliencemanagement process. [OTA]Resilience training needsTraining requirements related to the skills and competencies required at a tactical level to carryout the activities required for managing operational resilience. [OTA]232 | CMU/SEI-2010-TR-012
Resilient Technical Solution Engineering (RTSE)An engineering process area in CERT-RMM. The purpose of Resilient Technical SolutionEngineering is to ensure that software and systems are developed to satisfy their resiliencerequirements.Return on resilience investment (RORI)The return on investment for funding resilience activities. Provides a way to justify resiliencecosts and provides direct support for the contribution that managing operational resilience makesin achieving strategic objectives. [FRM]RiskThe possibility of suffering harm or loss. From a resilience perspective, risk is the combination ofa threat or vulnerability (condition) and the impact (consequence) to the organization if the threator vulnerability is exploited. In CERT-RMM, this definition is typically applied to the asset orservice level such that risk is the possibility of suffering harm or loss due to disruption of highvalueassets and services. [RISK]Risk analysisA risk management process focused on understanding the condition and consequences of risk,prioritizing risks, and determining a path for addressing risks. Determines the importance of eachidentified operational risk and is used to facilitate the organization’s risk disposition andmitigation activities. [RISK]Risk appetiteAn organization’s stated level of risk aversion. Informs the development of risk evaluation criteriain areas of impact for the organization. [RISK] (See related glossary terms “area of impact,” “riskmeasurement criteria,” and “risk tolerance.”)Risk categoryAn organizationally defined description of risk that typically aligns with the various sources ofoperational risk but can be tailored to the organization’s unique risk environment. Risk categoriesprovide a means to collect and organize risks to assist in the analysis and mitigation processes.[RISK]Risk dispositionA statement of the organization’s intention for addressing an operational risk. Typically limited toaccept, transfer, research, or mitigate. [RISK]Risk Management (RISK)An enterprise process area in CERT-RMM. The purpose of Risk Management is to identify,analyze, and mitigate risks to organizational assets that could adversely affect the operation anddelivery of services.Risk managementThe continuous process of identifying, analyzing, and mitigating risks to organizational assets thatcould adversely affect the operation and delivery of services. [RISK]233 | 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
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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
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
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: ProvisioningThe process of assignin
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
Page 255 and 256: OPFOrganizational Process Focus (pr
Page 257 and 258: ReferencesURLs are valid as of the
Page 259: REPORT DOCUMENTATION PAGEForm Appro
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