CERT Resilience Management Model, Version 1.0

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equirements for services are defined and managed in Resilience Requirements Definition andResilience Requirements Management, respectively. Through the lens of associated assets, theresilience attributes for the service are identified in these processes and carried out through otherprocesses such as Controls Management and Service Continuity. When controls and servicecontinuity plans are established, these processes can be considered early life cycle; conversely,when controls and service continuity plans are implemented and managed, these processes areconsidered to be in the operations phase of the life cycle for services.In addition, changing conditions that affect services in the operations phase are reflected inchanges to controls and service continuity plans. These conditions includechanges in a service’s or asset’s resilience requirementsidentification of new vulnerabilities, threats, and risksasset changes, such as staff changes, changes to information assets and technology, andrelocation of facilitieschanges in a service’s or asset’s protective controlschanges in the plan’s stakeholders, including external entities and public agenciesorganizational changes, including staff and geographic changeschanges in lines of business, industry, or product or services mixsignificant technical infrastructure changeschanges in relationships with external entities such as vendors and business partnerschanges in or additions to regulatory or legal obligationsresults of service continuity plan executionresults of service continuity plan testingOther CERT-RMM Life CyclesOther life cycles are also addressed in CERT-RMM. For example, the incident life cycle is thefocus of the Incident Management and Control process area. In addition, service continuity asdefined in the Service Continuity process area defines a life cycle for creating a service continuityprogram and planning, developing, testing, and executing service continuity plans.2.3 Adapting CERT-RMM Terminology and ConceptsOrganizations adopting the CERT-RMM may decide to replace some of the terminology used inthese key concepts with whatever is comfortable, familiar, and useful to them. However, users ofCERT-RMM are strongly encouraged to interpret and apply the foundational concepts (disruptionand stress, convergence, operational resilience) and the elements of operational resilience(services, business processes, assets, and resilience requirements, strategies to protect and sustain,and life-cycle coverage) to gain the benefits of managing and improving operational resilienceusing the model.30 | CMU/SEI-2010-TR-012
3 Model ComponentsThis chapter introduces the CERT-RMM process areas and their categories and describes theprocess area components and their categories. You will need to fully understand this informationto make use of the process areas contained in Part Three. It may be helpful to skim a few processareas before you read this section to become familiar with their general construction and layout.3.1 The Process Areas and Their CategoriesAs in CMMI models, a process area in the CERT-RMM is “a cluster of related practices in anarea that, when implemented collectively, satisfy a set of goals considered important for makingimprovement in that area” [CMMI Product Team 2009, pg. 10]. The CERT-RMM has 26 processareas (PAs) that are organized into high-level operational resilience categories: Engineering,Enterprise Management, Operations, and Process Management. Table 3 shows the 26 CERT-RMM process areas by category.Table 3: Process Areas by CategoryCategoryEngineeringEngineeringEngineeringEngineeringEngineeringEngineeringEnterprise ManagementEnterprise ManagementEnterprise ManagementEnterprise ManagementEnterprise ManagementEnterprise ManagementEnterprise ManagementOperationsOperationsOperationsOperationsOperationsOperationsOperationsOperationsOperationsProcess ManagementProcess ManagementProcess ManagementProcess ManagementProcess AreaAsset Definition and ManagementControls ManagementResilience Requirements DevelopmentResilience Requirements ManagementResilient Technical Solution EngineeringService ContinuityCommunicationsComplianceEnterprise FocusFinancial Resource ManagementHuman Resource ManagementOrganizational Training and AwarenessRisk ManagementAccess ManagementEnvironmental ControlExternal Dependencies ManagementIdentity ManagementIncident Management and ControlKnowledge and Information ManagementPeople ManagementTechnology ManagementVulnerability Analysis and ResolutionMeasurement and AnalysisMonitoringOrganizational Process DefinitionOrganizational Process FocusCategories are further elaborated and described in Section 4.1.31 | 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 and 20: continuity management, and IT opera
Page 21 and 22: As a descriptive model, CERT-RMM fo
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: Figure 12: Software/System Asset Li
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
Page 71 and 72: Generic Practice Related Process Ar
Page 73 and 74: Such objectives may be high-level a
Page 75 and 76: These four questions can be directl
Page 77 and 78: The purpose of the establishing pha
Page 79 and 80: CERT-RMM has a strong enterprise un
Page 81 and 82: Communications (COMM)—to institut
Page 83 and 84: Figure 31: Model Scope Options6.3.3
Page 85 and 86: Figure 33: CERT-RMM Targeted Improv
Page 87 and 88: Figure 34: Capability Level Ratings
Page 89 and 90: If the immediate or long-term impro
Page 91 and 92: 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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